8330 Federal Register / Vol. 62, No. 36 / Monday, February 24, 1997 / Proposed Rules

DEPARTMENT OF TRANSPORTATION by FRA that are different from those comments. FRA believes that a 60-day affecting other types of passenger comment period is necessary for parties Federal Railroad Administration operations. with interests that were not represented DATES: (1) Written comments: Written by the working group on passenger train 49 CFR Parts 223 and 239 comments must be received on or before emergency preparedness that has been [FRA Docket No. PTEP±1, Notice No. 1] April 25, 1997. Comments received after established by the agency under 49 that date will be considered by FRA and U.S.C. 20133. RIN 2130±AA96 the Passenger Train Emergency Background Preparedness Working Group in Passenger Train Emergency preparing the final rule to the extent The overall safety record of Preparedness possible without incurring additional conventional intercity and commuter passenger train operations in the United AGENCY: Federal Railroad expense or delay. The docket will remain open until the Working Group States has been exemplary. However, Administration (FRA), Department of accidents continue to occur, often as a Transportation (DOT). proceedings are concluded. Requests for formal extension of the comment period result of factors beyond the control of ACTION: Notice of proposed rulemaking. must be made by April 10, 1997. the passenger railroad. Further, the rail passenger operating environment in the SUMMARY: Pursuant to section 215 of the (2) Public hearings: FRA intends to hold two public hearings, and the dates United States is rapidly changing— Federal Railroad Safety Authorization technology is advancing, equipment is Act of 1994, FRA proposes a rule to of these hearings will be published in a forthcoming notice in the Federal being designed for ever-higher speeds, require minimum Federal safety and many potential new operators of standards for the preparation, adoption, Register. Anyone who desires to make an oral statement at either of the passenger equipment are appearing. and implementation of emergency With this more complex operating preparedness plans by railroads hearings must notify the Docket Clerk by telephone (202–632–3198) or mail, environment, FRA must become more connected with the operation of proactive to ensure that operators of passenger trains, including freight and must submit three copies of the oral statement that he or she intends to make passenger train service, as well as railroads hosting the operations of rail freight railroads hosting passenger passenger service. The proposed rule at the hearing. The dates by which the Docket Clerk must be notified about the operations, engage in careful, advance also requires each affected railroad to planning to minimize the consequences instruct its employees on the plan’s oral statement and receive the three copies of this statement will be set forth of emergencies that could occur. Even provisions. Elements of this emergency minor incidents could easily develop preparedness plan would include in the notice announcing the public hearings. into life-threatening events if they are communication, employee training and not addressed in a timely and effective qualification, joint operations, tunnel ADDRESSES: Written Comments: Written comments should identify the docket manner. safety, liaison with emergency In recent years, passenger train number and must be submitted in responders, on-board emergency accidents, such as the tragic ‘‘Sunset triplicate to the Docket Clerk, Office of equipment, and passenger safety Limited’’ passenger train derailment Chief Counsel, Federal Railroad information. The plan adopted by each near Mobile, Alabama in September Administration, 400 Seventh Street, affected railroad would be subject to 1993, have demonstrated the need to S.W., Washington, D.C. 20590. Persons formal review and approval by FRA. improve the way railroads respond in desiring to be notified that their This proposal for emergency emergency situations. On September 22, comments have been received by FRA preparedness regulations, which 1993, at about 2:45 a.m., barges that formalizes a planning requirement and should submit a stamped, self-addressed were being pushed by the towboat identifies certain mandatory elements, postcard with their comments. The Mauvilla in dense fog struck and is the second phase in a four-phase Docket Clerk will indicate on the displaced the Big Bayou Canot railroad process that began in 1994. In the first postcard the date on which the bridge near Mobile, Alabama. At about phase, FRA encouraged railroads to comments were received and will return 2:53 a.m., National Railroad Passenger examine their programs to determine the card to the addressee. Written Corporation (Amtrak) train no. 2, the what improvements could be made, comments will be available for Sunset Limited, en route from Los while in the third phase, FRA will examination, both before and after the Angeles, California to Miami, Florida review the railroad plans to determine closing date for written comments, with 220 persons on board, struck the if all emergency preparedness issues during regular business hours on the displaced bridge and derailed. The three have been adequately addressed within Seventh floor of 1120 Vermont Avenue, locomotive units, the baggage and the varying contexts of railroad N.W. in Washington, D.C. dormitory cars, and two of the six operations. In the fourth phase, FRA FOR FURTHER INFORMATION CONTACT: Mr. passenger cars fell into the water. The will review the implementation and Edward R. English, Director, Office of fuel tanks on the locomotive units effectiveness of the proposed standards Safety Assurance and Compliance, FRA, ruptured, and the locomotive units and and related voluntary developments, 400 Seventh Street, S.W., Washington, the baggage and dormitory cars caught and will address the need for further D.C. 20590 (telephone number: 202– fire. Forty-two passengers and five rulemaking activity. 632–3349), or David H. Kasminoff, Esq., crewmembers were killed, and 103 The proposed rule does not apply to Trial Attorney, Office of Chief Counsel, passengers were injured. The towboat’s tourist and historic railroad operators. FRA, 400 Seventh Street, S.W., four crewmembers were not injured. However, after appropriate consultation Washington, D.C. 20590 (telephone: In a report on the accident released on with the excursion railroad associations 202–632–3191). September 19, 1994, the National to determine appropriate applicability SUPPLEMENTARY INFORMATION: Transportation Safety Board (NTSB) in light of financial, operational, or determined that several circumstances other factors unique to such operations, Request for Comments hampered emergency response efforts. emergency preparedness requirements In accordance with Executive Order NTSB Railroad-Marine Accident Report for these operations may be prescribed 12866, FRA is allowing 60 days for 94/01. In its assessment of emergency Federal Register / Vol. 62, No. 36 / Monday, February 24, 1997 / Proposed Rules 8331 response at the accident site, the NTSB training. In addition, guidelines for programs, and stated that they would noted that the location of the accident passenger train and facility features offer additional, structured ‘‘hands-on’’ was remote (accessible only by rail, intended to shorten emergency response training to their train crews concerning water, or air), fog in the area was dense time, improve the effectiveness of the removal of emergency windows and (requiring the use of radar to navigate evacuating passengers, and minimize passenger evacuation. They also agreed boats), limited modes of transportation the effects of an emergency are to develop programs for recurring were available for bringing in personnel presented. The publication also lists passenger car inspections, emphasizing and equipment, and the magnitude of inter-organizational emergency checking of emergency equipment such the accident was great. Nevertheless, the protocols, which include those of fire as windows, tools, and fire NTSB concluded that, following the departments, emergency medical extinguishers. Further, they agreed to delay while emergency responders services (EMS), police departments, improve their methods of apprising identified the location of the accident, public utilities, hospitals, and local, passengers of emergency information, to emergency response activities were State, regional, and Federal include seat drops, placards inside each efficient and effective. The report did governments. car, and messages in on-board find, however, that Amtrak did not have In an effort to be proactive after the magazines. While FRA is encouraged an effective system in place to apprise accident near Mobile, FRA mailed the that passenger railroads have already passengers of train safety features, Volpe Report to all intercity passenger begun to incorporate the passengers were at a disadvantage and commuter railroads, freight recommendations of the Volpe Report during evacuation due to the absence of railroads, the United Transportation into their own emergency preparedness portable lighting on the passenger cars, Union, and the Brotherhood of plans, more progress by the entire and emergency responders were at a Locomotive Engineers in March 1994 for industry is needed. disadvantage because they were unable their information and guidance. As a result of concerns raised about to obtain an adequate passenger and Concurrent with this mailing, FRA the safety of the operation of rail crew list from Amtrak until the next invited the railroads to attend a passenger service, Congress enacted day. The NTSB also noted that had the roundtable meeting in Washington, section 215 of the Federal Railroad Mobile County Emergency Management D.C., on June 9, 1994, to discuss the Safety Authorization Act of 1994, Public Agency held drills to simulate a train emergency preparedness issues Law No. 103–440, 108 Stat. 4619, 4623– accident, the incident commander may addressed in the publication. The 23- 4624 (November 2, 1994), entitled have known about Amtrak’s procedure member roundtable discussion was ‘‘Passenger Car Safety Standards.’’ for accounting for passengers, and CSX comprised of representatives from the Section 215, as now codified at 49 Transportation, Inc., the owner of the following organizations: U.S.C. 20133, reads as follows: bridge, may have had the correct Amtrak, telephone number to contact the U.S. § 20133. Passenger cars. FRA, Coast Guard. Long Island Rail Road (LIRR), (a) MINIMUM STANDARDS.—The Considerable effort has focused on Secretary of Transportation shall prescribe how to mitigate casualties after a train MTA Metro-North Railroad (METRO- regulations establishing minimum standards accident occurs. In this regard, even NORTH), for the safety of cars used by railroad carriers before the occurrence of the tragic Northeast Illinois Regional Commuter to transport passengers. Before prescribing accident near Mobile, FRA had tasked Railroad Corporation (METRA), such regulations, the Secretary shall Peninsula Corridor Joint Powers Board consider— DOT’s Volpe National Transportation (1) the crashworthiness of the cars; Systems Center (TSC), in Cambridge, (CALTRAIN), Port Authority Trans-Hudson (2) interior features (including luggage Massachusetts, to perform research and restraints, seat belts, and exposed surfaces) to recommend emergency preparedness Corporation (PATH), that may affect passenger safety; guidelines for passenger train operators. Southern California Regional Rail (3) maintenance and inspection of the cars; The results were published at the end of Authority (METROLINK), (4) emergency response procedures and 1993 as a publication entitled Southeastern Pennsylvania equipment; and ‘‘RECOMMENDED EMERGENCY Transportation Authority (SEPTA), (5) any operating rules and conditions that directly affect safety not otherwise governed PREPAREDNESS GUIDELINES FOR Tri-County Commuter Rail Authority (TRI-RAIL), by regulations. PASSENGER TRAINS’’ (Volpe Report), The Secretary may make applicable some which is available to the public through TSC, and or all of the standards established under this the National Technical Information Virginia Railway Express (VRE). subsection to cars existing at the time the Service, Springfield, VA 22161 (DOT/ During the meeting, FRA agreed to regulations are prescribed, as well as to new FRA/ORD–93–24—DOT–VNTSC–FRA– assist the passenger railroads in cars, and the Secretary shall explain in the 93–23). The publication references establishing improved working rulemaking document the basis for making safety recommendations of the NTSB, as relationships with their host freight such standards applicable to existing cars. (b) INITIAL AND FINAL well as many other publications on the railroads. FRA also promised to help the passenger railroads in their emergency REGULATIONS.—(1) The Secretary shall subject of emergency preparedness, and prescribe initial regulations under subsection contains recommended guidelines response efforts in larger metropolitan (a) within 3 years after the date of enactment designed to assist passenger train areas by contacting emergency response of the Federal Railroad Safety Authorization operating systems and emergency agencies and eliciting more cooperation Act of 1994. The initial regulations may response organization management in between them. In addition, FRA stated exempt equipment used by tourist, historic, evaluating and modifying or that it would conduct field visits to scenic, and excursion railroad carriers to supplementing their emergency several passenger railroads to study transport passengers. response plans. A copy of the Volpe their equipment and their emergency (2) The Secretary shall prescribe final response and training programs. regulations under subsection (a) within 5 Report has been placed in the public years after such date of enactment. docket for this rulemaking. At that same meeting, the passenger (c) PERSONNEL.—The Secretary may The Volpe Report recommendations railroads agreed to provide stronger establish within the Department of address guidelines relating to supervisory oversight of their Transportation 2 additional full-time emergency plans, procedures, and emergency response and training equivalent positions beyond the number 8332 Federal Register / Vol. 62, No. 36 / Monday, February 24, 1997 / Proposed Rules permitted under existing law to assist with inspection, testing, and maintenance of consultation process for possible the drafting, prescribing, and implementation passenger equipment; equipment design inclusion in the rule: of regulations under this section. and performance criteria related to • Types of safety equipment that (d) CONSULTATION.—In prescribing passenger and crew survivability in the should be required in each passenger regulations, issuing orders, and making car (e.g., fire extinguishers, saws, amendments under this section, the Secretary event of a train accident; and the safe may consult with Amtrak, public authorities operation of passenger train service— hammers, and flashlights) including operating railroad passenger service, other supplementing existing railroad safety where the equipment should be located, railroad carriers transporting passengers, standards, will be covered by a separate who should have access to it, and how organizations of passengers, and rulemaking and are being addressed by to avoid pilferage; • organizations of employees. A consultation is a separate working group. Persons Training for railroad employees on not subject to the Federal Advisory wishing to receive more information the use of on-board emergency Committee Act (5 U.S.C. App.), but minutes equipment; regarding this other rulemaking should • of the consultation shall be placed in the refer to FRA Docket No. PCSS–1 and Frequency of inspection of on-board public docket of the regulatory proceeding. emergency equipment; contact either Mr. Thomas Peacock, • The Secretary of Transportation has Staff Director, Motive Power and Effective marking of emergency delegated these rulemaking Equipment Division, Office of Safety windows on each passenger car; • Informing passengers about safety responsibilities to the Federal Railroad Assurance and Compliance, RRS–14, procedures and emergency equipment, Administrator. 49 CFR 1.49(m). FRA, 400 Seventh Street, S.W., including locations of exit doors and FRA is committed to the maximum Washington, D.C. 20590 (telephone feasible use of collaborative processes in windows; 202–632–3338), or Daniel L. Alpert, • Demonstrations by on-board the development of safety regulations. Esq., Trial Attorney, Office of Chief Consistent with the intent of Congress crewmembers of emergency procedures Counsel, FRA, 400 Seventh Street, S.W., and exits after major station stops; that FRA consult with the railroad Washington, D.C. 20590 (telephone • industry, FRA invited various Communication capabilities of on- 202–632–3186). board crewmembers; organizations to participate in a working The proposed rule was developed by • Requiring on-board crewmembers group (Working Group) to focus on the FRA in consultation with the Working to be trained to provide cardio- issues related to passenger train Group. The proposal incorporates pulmonary resuscitation (CPR) and/or emergency preparedness and build the comments submitted by the Working first aid treatment; framework for the development of a Group in response to a preliminary draft • Ensuring that on-board Notice of Proposed Rulemaking (NPRM) of the proposed rule text. FRA expects crewmembers have contact telephone and, ultimately, a final rule. FRA held that the Working Group will help FRA numbers for control centers and local its first Working Group meeting on develop the final rule based on a authorities; August 8, 1995. The 33-member consensus process, with facts and • Requiring preparation of an Working Group was comprised of analysis flowing from both the Working emergency preparedness plan, including representatives from the following Group’s deliberations and information periodic exercises to test employee organizations: submitted by commenters on this knowledge of proper procedures American Public Transit Association NPRM. In accordance with 49 U.S.C. involving passenger illness or injury, (APTA), 20133(d), the evolving positions of the stalled trains, evacuation procedures, Amtrak, Working Group members—as reflected derailments, collisions, severe weather, Association of American Railroads in the minutes of the group meetings and security threats; • (AAR), and associated documentation, together Coordinating applicable portions of Brotherhood of Locomotive Engineers with data provided by the membership emergency preparedness plans between (BLE), during their deliberations—will be passenger railroads and freight railroads CALTRAIN, that host these passenger operations; FRA, placed in the public docket of this • rulemaking. All comments submitted in Extent to which safety action plans LIRR, should be regulated in terms of content Maryland Mass Transit Administration response to this NPRM will be provided to the Working Group for their or format, and whether such plans (MARC), should be subject to FRA review and Massachusetts Bay Transportation consideration in preparation of the final rule. approval; Authority (MBTA), • Training for auxiliary individuals METRA, FRA convened the first meeting of the participating in passenger emergencies METRO-NORTH, Working Group on August 8, 1995, by METROLINK, (e.g., control center employees, on-board announcing that the purpose of the service staff, and appropriate National Association of Railroad meeting was to provide an opportunity Passengers (NARP), supervisory and maintenance to collectively focus on evaluating personnel); NTSB, issues related to passenger train • New Jersey Transit Rail Operations, Inc. Training for emergency responders emergency preparedness, as well as to along passenger corridor routes; (NJTR), • Northern Indiana Commuter develop and formulate plans and Accounting for the unique Transportation District (NICTD), programs that would culminate in a emergency preparedness concerns PATH, final rule. The discussion focused on raised by passenger operations through Safe Travel America (STA), the key issues of emergency notification, tunnels, on elevated structures, and in SEPTA, training of railroad employees and electrified territory; TRI-RAIL, emergency responders, suitability of on- • Level of training specificity TSC, board emergency equipment, and the required for each category of employee; United Transportation Union (UTU), Volpe Report. While FRA did not limit • Requiring passenger railroads to and the Working Group’s discussions, the develop and update inter-organizational VRE. agency requested that, at a minimum, emergency protocols with local Regulations covering rail passenger the following topics and issues should communities, in order to augment safety equipment safety standards— be considered and addressed during the action plans; Federal Register / Vol. 62, No. 36 / Monday, February 24, 1997 / Proposed Rules 8333

• Providing emergency responders complying with their emergency specifically focus on whether the with accurate passenger counts; and preparedness plans, many details railroad in fact complied with all of the • Emergency lighting in passenger remain unresolved concerning the written emergency plan procedures for cars (e.g., floor strip lighting, flood enforcement obligations that FRA will implementing each plan element. FRA lighting, and emergency exit lighting), impose in the final rule. Among the invites commenters to address the including standards for testing and broad range of possibilities, the final questions of what compliance reliability. rule could impose a ‘‘reasonable care’’ obligations should exist in the final rule, FRA deliberated at length with standard and focus on achieving in the context of requiring railroads to members of the Working Group about substantial compliance, with an adopt and implement procedures for what the proposed rule would demand emphasis on determining whether each achieving emergency preparedness, and of affected railroads, in order to achieve railroad has demonstrated a general what enforcement policy should be the goal of optimizing their level of effort to fulfill each of the elements of exercised by the agency regarding those preparedness when faced with its emergency preparedness plan. Under obligations. Commenters are also asked passenger train emergencies. The this approach, for example, FRA would to review the language of the section-by- consensus was that the final rule needed verify whether a railroad has established section analysis and rule text of the to be flexible in its requirements to a training program for its employees on proposed rule and to offer suggestions allow each railroad to address the the applicable provisions of the on whether FRA’s expectations for unique characteristics of its individual emergency preparedness plan, and compliance with the emergency operation. The Working Group could impose a civil penalty on a preparedness plan elements are too recommended that FRA require each railroad for failing to comply with this rigid, or not strict enough. affected railroad to prepare a formal basic element of emergency In drafting the final rule, FRA also emergency preparedness plan covering preparedness. However, if FRA expects to incorporate all relevant broad elements, such as: employee and concluded that the railroad had information derived from the emergency responder training; on-board properly adopted a training program, investigation of the accident involving crewmember responsibilities; but during the occurrence of an actual Amtrak train no. 1, the ‘‘Sunset communication between the train crew emergency several employees failed Limited,’’ which occurred in Hyder, and the control center, and between the (under the stress of the situation) to Arizona on October 9, 1995. In that control center and the emergency fulfill all of their responsibilities under accident, the initial notification was responders; delineation of passenger the emergency preparedness plan, FRA made by the Amtrak locomotive railroad and freight railroad would not penalize the railroad. Also, if engineer to the Southern Pacific responsibilities in cases of joint a railroad failed to designate an Transportation Company (SP) train operations; and operations in tunnels or employee to maintain a current list of dispatcher’s office in Denver, Colorado, over elevated structures. However, the emergency telephone numbers, for use which then notified the appropriate group urged FRA to afford railroads by control center personnel to notify local emergency response agencies. The considerable latitude to design and outside emergency responders, adjacent SP yardmaster in Phoenix Yard also administer emergency preparedness rail modes of transportation, and dialed 911 after hearing the engineer’s plans that best address each railroad’s appropriate railroad officials that a radio transmissions to the train specific safety issues and concerns, with passenger train emergency has occurred, dispatcher. each plan then subject to review and While the local emergency responders FRA could clearly penalize the railroad approval by FRA. stated that the accident was handled for this omission. However, if a FRA incorporated the Working well by all parties involved, the Group’s recommendations into a draft railroad’s plan properly provided for the responders noted that they were NPRM, and mailed the draft to the maintenance of the list of emergency hampered in reaching the accident site group on December 14, 1995, along with telephone numbers, but one telephone by extremely rough terrain, initially a copy of the minutes of the first number on a long list of accurate negotiable only by four-wheel drive meeting of the Working Group. Copies numbers was found by FRA to be out of vehicles until graders and earth movers of both documents, and other relevant date, and thus incorrect, the railroad created a trail for conventional vehicles. enclosures, have been placed in the would not face the imposition of a civil The responders were somewhat public docket for this rulemaking. The penalty. confused by being provided with only a 34-member Working Group held its As an alternative, FRA could maintain milepost location instead of a more second meeting on February 6–7, 1996, strict oversight by requiring compliance familiar identifier. The responders were and was comprised of representatives with every individual element of the also frustrated by the lack of an accurate from the same organizations in emergency preparedness plan, and passenger count, but Amtrak has stated attendance at the first Working Group impose a civil penalty in every instance that once it has satellite cellular meeting. The Working Group reviewed in which a railroad fails to achieve telephone capabilities train conductors the draft and presented its comments, compliance. Accordingly, under this will report passenger counts to a central and a copy of the minutes of the second approach, a railroad could be penalized telephone number after leaving each meeting of the group has also been for failing to constantly update its list of station. In addition, the responders included in the rulemaking docket. The emergency telephone numbers, indicated that, although the emergency Working Group’s comments were then neglecting to distribute applicable lighting did not function on the incorporated into this NPRM. Through portions of its emergency preparedness overturned passenger cars, passengers subsequent communication with the plan to all on-line emergency were able to disembark through the car Working Group, additional specificity responders, or operating a train with an doors and emergency windows. has been incorporated into this incorrect type of on-board emergency FRA also expects to include proposal. equipment. Rather than stress the requirements in the final rule relating to While FRA has focused on crafting a concept of determining the overall level emergency egress from passenger trains, rule containing comprehensive of emergency preparedness achieved by based upon information obtained from requirements in connection with a railroad before the emergency occurs, the investigations of the two recent train railroads adopting, implementing, and this enforcement philosophy would accidents in New Jersey and Maryland. 8334 Federal Register / Vol. 62, No. 36 / Monday, February 24, 1997 / Proposed Rules

In the first accident, a near-head-on identifiable and operable when they are MARC’s Sumitomo rail cars are located collision occurred on February 9, 1996 needed. Accordingly, the order requires that in a secured cabinet some distance from between NJTR trains 1254 and 1107 at any emergency windows that are not already the doors that they control, and the milepost 2.8, on the borderline of legibly marked as such on the inside and emergency controls for each door are outside be so marked, and that a Secaucus and Jersey City, New Jersey. representative sample of all such windows be not readily accessible and identifiable. Of the 331 passengers and crew on both examined to ensure operability. (FRA Safety The NTSB recommends that emergency trains, two crewmembers and one Glazing Standards, 49 CFR Part 223, require quick-release mechanisms for exterior passenger were fatally injured, and an that each passenger car have a minimum of doors on MARC cars be well marked additional 162 passengers reported four emergency window exits ‘‘designed to and relocated, so that they are minor injuries. In the second accident, permit rapid and easy removal during a crisis immediately adjacent to the door a near-head-on collision occurred on situation.’’) control and readily accessible for February 16, 1996 between MARC train 61 FR 6880, Feb. 22, 1996. emergency escape. The NTSB also noted 286 and Amtrak train 29 on CSX On February 29, 1996, FRA issued that the left and right rear exterior side Transportation, Inc., at Silver Spring, Notice No. 2 to Emergency Order No. 20 doors of the first car and the front Maryland, milepost 8.3. The accident to refine three aspects of the original interior end door and the right front resulted in 11 fatalities, consisting of order, including providing more exterior door of the second car were three crewmembers and eight detailed guidance on the emergency jammed, and observed that none of the passengers, and at least 12 non-fatal egress sampling provision. 61 FR 8703, car doors had removable windows or injuries to passengers of the MARC Mar. 5, 1996. In pertinent part, Notice pop-out emergency escape panels (kick train. No. 2 of the Emergency Order stated: panels) for use in an emergency. While many of the questions raised by The original order required but did not set In addition, the NTSB stated that the New Jersey and Maryland train parameters for testing a representative several train passengers were unaware accidents are being addressed by the sample of emergency exits. The alteration to of the locations of emergency exits, and working group which is considering the emergency egress provisions requires that none knew how to operate them. The regulations covering rail passenger sampling of emergency window exits be NTSB found that the interior emergency equipment safety standards, the conducted in conformity with either of two window decals were not prominently important issue of emergency egress alternate methods commonly recognized for displayed and that one car had no such efforts. This modification provides a must be addressed by this rulemaking. degree of uniformity industry wide. These interior emergency window decals. Specifically, the Silver Spring accident methods require sampling meeting a 95 Also, the exterior emergency decals raised serious concerns as to whether percent confidence level that all emergency were often faded or obliterated, and the MARC passengers had sufficient window exits operate properly (i.e., the information on them, when legible, information about the location and methods do not accept a defect rate of 5 directed emergency responders to operation of emergency exits to enable percent). Although the original order would another sign at the end of the car for them to find and use those exits in an have required testing all exits on a specific instructions on how to open emergency emergency or accident. FRA believes series or type of car if one such car had a exits. The NTSB recommends that all that all commuter and intercity defective window exit, the amended order permits the use of these commonly accepted emergency exits be clearly identified, passenger railroads should review their sampling techniques to determine how many with easily understood operating practices, in addition to marking the additional windows in [sic] test. In general, instructions prominently located on exits, for providing this information. On these principles require that the greater the each car’s interior for use by passengers February 20, 1996, FRA issued percentage of windows initially found and on the exterior for use by Emergency Order No. 20 (Notice No. 1), defective, the greater the percentage of emergency responders. which required prompt action to windows that will have to be tested. Based upon its investigation, the immediately enhance passenger train In addition, FRA has modified the NTSB recommends that FRA: operating rules and emergency egress emergency egress portion of the order to clarify that the exterior marking requirement Inspect all commuter rail equipment to and to develop an interim system safety applies to those windows that may be determine whether it has: (1) easily plan addressing cab car forward and employed for access by emergency accessible interior emergency quick-release multiple unit (MU) operations. 61 FR responders, which may be windows other mechanisms adjacent to exterior passageway 6876, Feb. 22, 1996. In pertinent part, than, or in addition to, those designed for doors; (2) removable windows or kick panels Notice No. 1 of the Emergency Order emergency egress for passengers. In addition, in interior and exterior passageway doors; stated: FRA has modified the interim system safety and (3) prominently displayed retroreflective plan portion of the order to require signage marking all interior and exterior [T]here is a need to ensure that emergency discussion of the railroad’s programs and emergency exits. If any commuter equipment exits are clearly marked and in operable plans for liaison with and training of lacks one or more or these features, take condition on all passenger lines, regardless of emergency responders with respect to appropriate emergency measures to ensure the equipment used or train control system. emergency access to passengers. The original corrective action until these measures are FRA’s regulations generally require that all order required discussion only of methods incorporated into minimum passenger car passenger cars be equipped with at least four used to inform passengers of the location and safety standards. (Class 1, Urgent Action) (R– emergency opening windows, which must be method of emergency exits. 96–7) designed to permit rapid and easy removal during a crisis situation. The investigation of 61 FR 8703, Mar. 5, 1996. Safety Recommendation R–96–7 at page the Silver Spring accident has raised some On March 12, 1996, in response to the 3. concerns that at least some of the occupants MARC train accident in Silver Spring, On March 26, 1996, FRA convened a of the MARC train attempted unsuccessfully Maryland on February 16, 1996, the joint meeting of the Passenger Train to exit through the windows. Whether those NTSB issued ‘‘Safety Emergency Preparedness Working same people eventually were among those Recommendations’’ to both the Group and the Passenger Equipment who exited safely, or whether those persons were attempting to open windows that were Maryland Mass Transit Administration Safety Standards Working Group to not emergency windows is not known at this (R–96–4 through R–96–6) and FRA (R– discuss the NTSB’s recommendations time. However, there is sufficient reason for 96–7). The NTSB was concerned and incorporate the Safety Board’s concern to require that measures be taken to because the emergency quick-release findings, as appropriate, into each ensure that such windows are readily mechanisms for the exterior doors on working group’s rulemaking proceeding. Federal Register / Vol. 62, No. 36 / Monday, February 24, 1997 / Proposed Rules 8335

Fifty-seven members from 21 different (f) Incorporates safety goals and specifically address communication organizations attended the joint objectives into the overall corporate facilities and procedures, with a strong meeting. Although some of the strategic plan. emphasis on passenger train emergency recommendations involving structural APTA’s Commuter Railroad Committee requirements. FRA expects that that modifications to rail equipment will be letter at pages 1 and 2. group will report recommendations to dealt with by the Passenger Equipment As part of the ongoing review process the RSAC early in 1997. FRA anticipates Safety Standards Working Group, the within DOT, and subsequent to the that those recommendations will remaining NTSB recommendations Working Group’s previous opportunities address the issue of whether there involving marking, inspection, to review the proposed rule text, FRA should be redundant communications capability on all passenger trains. maintenance, and repair of emergency implemented changes to the draft Although that rulemaking will establish exits are reflected in proposed regulatory text and preamble. FRA minimum safety requirements with § 223.9(d), entitled ‘‘Requirements for initiated these changes in order to respect to communications equipment, new or rebuilt equipment,’’ and strengthen the rule’s requirements and it should be noted that intercity and proposed § 239.17, entitled ‘‘Emergency establish more objective criteria for commuter railroads already make exits.’’ The Section-by-Section Analysis FRA’s review of each railroad’s extensive provision for ensuring contains a detailed discussion of FRA’s emergency preparedness plan. In a letter communication capabilities during proposed requirements, particularly in dated December 27, 1996, FRA sent a emergencies. light of the two recent accidents in New copy of the revised regulatory text to Jersey and Maryland and the NTSB’s FRA plans a four-phase process to members of the Working Group, and address emergency preparedness. In safety investigations and requested comments on issues that the recommendations. 1994, FRA distributed the Volpe Report members wished to see included in the described above and encouraged In a letter to FRA dated June 24, 1996, preamble section of the proposal. FRA railroads to examine their existing Mr. Donald N. Nelson, President of requested that all comments be programs to determine what Metro-North and Chairperson of APTA’s submitted to FRA by the close of improvements could be made. This Commuter Railroad Committee, business on January 8, 1997. rulemaking represents the second step announced that commuter railroads in this process, formalizing a planning nationwide are implementing a series of Development of the Passenger Safety Program requirement and identifying certain rail passenger safety initiatives building mandatory elements. The third phase on the safety provisions of FRA’s As discussed above, this proposed will begin as FRA reviews railroad plans Emergency Order No. 20 and the rule is one element of a comprehensive to determine that the issues presented NTSB’s Safety Recommendations R–96– effort to address the safety of rail by the Volpe Report and the rule have 4 through R–96–7. In pertinent part, all passenger service. In addition to this been adequately addressed within the commuter rail authorities have rulemaking, FRA is currently addressing varying contexts of the commuter committed to early voluntary related issues in several contexts. authority operations. FRA will conduct implementation of the emergency Recent actions addressing passenger a detailed review of each plan. preparedness requirements proposed in safety needs have included, for instance, Following review and formal approval this NPRM, including requiring Emergency Order No. 20, which of written plan submissions, it will also inspection and testing of all emergency addressed on an interim basis key issues be necessary for FRA to determine how window exits as part of routine car regarding railroad operating rules, the program is being implemented in maintenance to ensure correct operation inspection of required emergency the field. FRA will also be interested in and ease of egress, offering emergency window exits, and emergency exit determining how this effort is being responder training for every jurisdiction signage and marking. integrated into the overall system safety within each commuter railroad’s service In the Passenger Equipment Safety planning process that commuter area, and educating passengers on the Standards Working Group, FRA is authorities have agreed to undertake. use of emergency exits on commuter examining possible requirements for FRA is optimistic that this approach trains. The commuter railroads also improved emergency egress features for will yield positive results, promoting indicated that each one will ensure the both retrofit and new construction. creativity and cross-fertilization of the safety of its operation by adopting a Affected railroads have already emergency preparedness planning comprehensive system safety plan that: completed, or will complete by the end process through FRA, APTA, and other (a) Defines the overall safety effort, of this calendar year, the removal of channels. This give-and-take approach how it is to be implemented and the latches requiring special tools for access should facilitate standardization of staff required to maintain it; to manual releases on powered doors. matters involving interface with (b) Establishes the safety interface Separately, FRA is reviewing the totality passengers, while permitting continued within the railroad, as well as with its of emergency egress requirements and adaptation of programs to local needs. key outside agencies; the issue of their overall adequacy, The fourth phase would involve including the relocation of manual FRA’s review, after having gained at (c) Clearly indicates Senior releases to locations immediately least a full year of actual experience Management support for implementing adjacent to end vestibule doors. FRA under the standards proposed here, of the safety plan and the railroad’s overall anticipates that these efforts will be the implementation and effectiveness of commitment to safety; advanced through a collaborative the standards and related voluntary (d) Establishes the safety philosophy rulemaking process. However, if developments. In this phase of activity, of the organization and provides the necessary to ensure prompt action, FRA FRA would work with interested parties means for implementation; may propose specific requirements to evaluate whether further rulemaking (e) Defines the authority and based upon its own staff analysis. or other action might be necessary to responsibilities of the safety In the context of improving railroad ensure that, for each program element, organization and delineates the safety communications, the Railroad Safety standards and practices are sufficiently related authority and responsibilities of Advisory Committee (RSAC) has precise and stringent to achieve the other departments; and established a working group to desired improvements in emergency 8336 Federal Register / Vol. 62, No. 36 / Monday, February 24, 1997 / Proposed Rules preparedness. Further, this review will and understandable instructions for responders to participate in evacuation determine whether experience in their use at the designated locations. planning or strategy with the railroads, working with emergency responders Paragraph 223.9(d)(1) requires that the the railroads would be required to offer indicates that additional program emergency windows be conspicuously liaison assistance. FRA is working to elements should be addressed. and legibly marked on the inside of the identify an appropriate marking that car with luminescent material. FRA might be capable of universal Section-by-Section Analysis realizes that during an emergency the recognition. Although the proposed rule FRA proposes to amend Part 223 to main power supply to the passenger allows a marking that could consist of Title 49, Code of Federal Regulations by cars may become inoperative and that a symbol or words (such as ‘‘RESCUE adding three new definitions and crewmembers with portable flashlights ACCESS’’), FRA reserves the right to be requiring railroads operating passenger may be unavailable. Since lack of clear more prescriptive in the final rule based train service to clearly mark emergency identification or lighting could make it upon a uniform pattern. windows. FRA also proposes to add Part difficult for passengers to find the The proposed rule requires railroads 239 to Title 49, Code of Federal emergency exits, the proposed rule to post clear and understandable Regulations specifically devoted to requires luminescent material on all instructions at designated locations prescribing minimum Federal safety emergency windows to assist and speed describing how to operate the standards concerning the preparation, passenger egress from the train during emergency windows. This paragraph adoption, and implementation of an emergency. The marking of the does not mandate that railroads use emergency preparedness plans by emergency windows must be specific words or phrases to guide the railroads connected with the operation conspicuous enough so that a passengers and emergency responders. of passenger trains. reasonable person, even while enduring Instead, each railroad should evaluate 1. Definitions: Section 223.5 the stress and panic of an emergency the operational characteristics of its evacuation, can determine where the emergency windows, and select key Section 223.5 would be reorganized closest and most accessible emergency words or diagrams that adequately and definitions of three important terms route out of the car is located. In inform the individuals who must use employed in the proposed passenger addition, while this proposed section them. While railroads are encouraged to train emergency preparedness does not prescribe a particular brand, post comprehensive instructions, FRA regulations would be added. The three type, or color of luminescent paint or also realizes that during an emergency new defined terms are ‘‘emergency material that a railroad must use to situation every additional moment responder,’’ ‘‘passenger train service,’’ identify a window exit, FRA expects devoted to reading and understanding and ‘‘railroad.’’ For ease of reference, each railroad to select a material durable access or egress information places lives FRA proposes to define the term enough to withstand the daily effects of at risk. In addition, FRA would already ‘‘railroad’’ so as to include the statutory passenger traffic, such as the contact expect passengers and emergency (49 U.S.C. 20102) definitions of both that occurs as passengers enter and responders to be familiar with the ‘‘railroad’’ and ‘‘railroad carrier’’ and to leave the cars. location and operation of the railroad’s clarify that those who provide railroad METROLINK, in noting that the last emergency windows as a result of transportation directly or through an line of paragraph 223.9(d) requires emergency responder liaison activities operating contractor are railroad ‘‘each railroad [to] post clear and legible and passenger awareness programs carriers. Thus, the term ‘‘railroad’’ is operating instructions at or near such conducted in accordance with §§ 239.13 clearly intended to include commuter exits,’’ stated that it assumes that the (a)(5) and (a)(7) of this chapter. authorities. These terms are intended to referenced instructions relate to the have the same meaning as in proposed doors rather than the windows. 3. Appendix B to 49 CFR Part 223 part 239 of this chapter. Paragraph 223.9(d)(2) requires that the FRA plans to revise Appendix B to 49 Of course, the term ‘‘railroad,’’ as emergency windows intended for CFR Part 223—Schedule of Civil used by FRA in the context of regulating emergency access by emergency Penalties, to include penalties for passenger train emergency responders for extrication of passengers violations of the provisions of § 223.9(d) preparedness, is not controlled by the be marked with retroreflective material. to be included in the final rule. Because definitions of ‘‘rail carrier’’ and Since FRA recognizes that not every such penalty schedules are statements ‘‘railroad’’ set forth in 49 U.S.C. 20102 window will be equipped for emergency of policy, notice and comment are not (5) and (6). Likewise, FRA does not access, railroads are required to choose required prior to their issuance. See 5 intend for its definition of ‘‘railroad’’ to a retroreflective, unique and easily U.S.C. 553(b)(3)(A). Nevertheless, have any bearing on how the term is recognizable symbol that will readily commenters are invited to submit used for purposes of the regulatory attract the attention of emergency suggestions to FRA describing the types activities of the Surface Transportation responders. The proposed rule does not of actions or omissions that would Board. require a specific size or shape for the subject a person to the assessment of a symbol, but FRA expects the railroad’s civil penalty. Commenters are also 2. Requirements for New or Rebuilt emergency preparedness plan invited to recommend what penalties Equipment: Section 223.9 developed pursuant to § 239.13 of this may be appropriate, based upon the In accordance with the requirements chapter to contain a provision detailing relative seriousness of each type of of 49 CFR 223.9(c) and 223.15(c), all emergency responder access (along with violation. passenger cars must be equipped with at passenger car egress), consistent with least four emergency windows, which the evacuation strategy formulated 4. Purpose and Scope: Section 239.1 must be designed to permit rapid and jointly by the passenger train operator Section 239.1(a) states that the easy removal during a crisis situation. and the emergency responder purpose of this part is to reduce the Proposed paragraph 223.9(d) requires organizations, in accordance with the magnitude of casualties in railroad that all windows intended by a railroad emergency responder liaison provision operations by ensuring that railroads to be used during an emergency set forth in § 239.13(a)(5) of this chapter. involved in passenger train operations situation be properly marked inside and Of course, while the proposed rule can effectively and efficiently manage outside, and that the railroad post clear would not require emergency emergencies. Subsection (b) states that Federal Register / Vol. 62, No. 36 / Monday, February 24, 1997 / Proposed Rules 8337 these regulations provide minimum tourist and historic railroad operators in of Proposed Rulemaking addressing standards for the subjects addressed, the context of this rulemaking, FRA has issues in several dockets that pertain to and the affected railroads may adopt not yet had the opportunity to fully these smaller passenger operations. more stringent requirements, so long as consult with those railroads and their In § 239.3(b)(2), FRA proposes that the they are not inconsistent with this part. associations to determine appropriate requirements of this part would not FRA does not in any way intend that the applicability in light of financial, apply to the operation of private subject matter of 49 CFR Part 239, operational, or other factors that may be passenger train cars, including business Passenger Train Emergency unique to such railroad operations. or office cars and circus trains. While Preparedness, be read to impose After appropriate consultation with the FRA believes that a private passenger burdens or requirements on emergency excursion railroad associations takes car operation should be held to the same responders who either participate with place, emergency preparedness basic level of emergency preparedness railroads in emergency simulations requirements for these operations may planning as other passenger train involving the operation of passenger be prescribed by FRA that are different operations, FRA intends to take into train service or respond to actual from those affecting other types of account the financial burden imposed emergency situations, or on any other passenger train operations. These by requiring private passenger car person who may be involved with the requirements may be more or less owners and operators to conform to the aftermath of a passenger train onerous, or simply different in detail, requirements of this part. Private emergency not specified in proposed depending in part on the information passenger cars are often hauled by host § 239.3 concerning applicability. gathered during FRA’s consultation railroads such as Amtrak and commuter Accordingly, FRA does not intend to process. railroads, and these hosts often impose restrict a State from adopting a law, The Federal Railroad Safety their own safety requirements on the rule, regulation, order, or standard Authorization Act of 1994 instructed operation of the private passenger cars. affecting emergency responders. FRA to examine the unique Pursuant to this part, the host railroads circumstances of tourist railroads when would already be required to have 5. Application: Section 239.3 establishing safety regulations. The Act, emergency preparedness plans in place As a general matter, FRA proposes which amended 49 U.S.C. 20103, stated to protect the safety of their own that this rule apply to all railroads that that: passengers; the private car passengers operate passenger train service on the In prescribing regulations that pertain to would presumably benefit from these general railroad system of railroad safety that affect tourist, historic, plans even without the rule directly transportation, provide commuter or scenic, or excursion railroad carriers, the covering private car owners or other short-haul passenger train service Secretary of Transportation shall take into operators. In the case of non-revenue in a metropolitan or suburban area, or consideration any financial, operational, or passengers, including employees and host the operations of such passenger other factors that may be unique to such guests of railroads that are transported train service. A public authority that railroad carriers. The Secretary shall submit in business and office cars, as well as indirectly provides passenger train a report to Congress not later than September 30, 1995, on actions taken under this passengers traveling on circus trains, the service by contracting out the actual subsection. railroads would provide for their safety operation to another railroad or in accordance with existing safety independent contractor would be Public Law No. 103–440, § 217, 108 operating procedures and protocols regulated by FRA as a railroad under the Stat. 4619, 4624 (November 2, 1994). In relating to normal freight train provisions of the proposed rule. addition, section 215 of that Act operations. Although the public authority would specifically permits FRA to exempt ultimately be responsible for the equipment used by tourist, historic, 6. Preemptive Effect: Section 239.5 development and implementation of an scenic, and excursion railroads to Section 239.5 informs the public as to emergency preparedness plan (along transport passengers from the initial FRA’s views regarding the preemptive with all related recordkeeping regulations that must be prescribed by effect of the proposed rule. While the requirements), the railroad or other November 2, 1997. 49 U.S.C. presence or absence of such a section independent contractor that operates the 20133(b)(1). In its report to Congress does not in itself affect the preemptive authority’s passenger train service entitled ‘‘Regulatory Actions Affecting effect of this part, it informs the public would be expected to fulfill all of the Tourist Railroads,’’ FRA responded to concerning the statutory provision responsibilities under this part with the direction in the statutory provision which governs the preemptive effect of respect to emergency preparedness and also provided additional these rules. Section 20106 of title 49 of planning, including implementation. information related to tourist railroad the United States Code provides that all The proposed rule is structured to safety for consideration of the Congress. regulations prescribed by the Secretary apply to intercity and commuter service, FRA will address the emergency relating to railroad safety preempt any not tourist operations. At a later time, preparedness concerns for these unique State law, regulation, or order covering FRA may propose application of the types of operations at a later date in a the same subject matter, except a rule, or some portion thereof, to tourist, separate rulemaking proceeding. To provision necessary to eliminate or scenic, historic, and excursion railroads. facilitate resolution of this issue, and a reduce an essentially local safety hazard FRA’s regulatory authority permits it to significant number of related issues, the that is not incompatible with a Federal tailor the applicability sections of its Railroad Safety Advisory Committee law, regulation, or order and that does various regulations so as to expand or (RSAC) has established a Tourist and not unreasonably burden interstate contract the populations of railroads Historic Railroads Working Group. As a commerce. With the exception of a covered by a particular set of matter of cost efficiency, the Working provision directed at an essentially local regulations. FRA has had jurisdiction Group may elect to cover emergency safety hazard, 49 U.S.C. 20106 preempts over all railroads since the Federal preparedness planning for tourist any State regulatory agency rule Railroad Safety Act of 1970 was railroads as part of a package of tourist- covering the same subject matter as enacted. specific safety proposals during a multi- these regulations proposed today. In considering the issue of requiring day consultation on several rulemaking Of course, the subject matter of these emergency preparedness planning by dockets. FRA would then issue a Notice regulations covers only the preparation, 8338 Federal Register / Vol. 62, No. 36 / Monday, February 24, 1997 / Proposed Rules adoption, and implementation of are remote from the right-of-way. These 8. Responsibility for Compliance: emergency preparedness plans for facilities should consist of the necessary Section 239.9 passenger train operations. Accordingly, command, control, and communications Section 239.9 clarifies FRA’s position States are in no way preempted from equipment to maintain normal train that the requirements contained in the regulating any of the training operations, to control electric traction, proposed rules are applicable to any requirements or other activities of the and to maintain communications ‘‘person,’’ including a contractor, that non-railroad emergency responders who throughout the passenger train system. performs any function required by the arrive at the scene of an emergency after In addition to these functions, the proposed rules. Although all sections of a railroad’s emergency preparedness control center should help coordinate the proposed rule address the duties of plan has been activated. responses to emergencies by using a railroad, FRA intends that any person 7. Definitions: Section 239.7 equipment such as radio who performs any action required by communications systems, direct This section contains an extensive set this part on behalf of a railroad is ‘‘hotline’’ telephones, wayside power of definitions to introduce the required to perform that action in the regulations. FRA intends these removal controls, and ventilation same manner as required of a railroad or definitions to clarify the meaning of controls under the direction of be subject to FRA enforcement action. important terms as they are used in the emergency responders, according to the For example, if an independent text of the proposed rule. The proposed protocols and procedures of the contractor is hired by a railroad to definitions are carefully worded in an emergency preparedness plan. maintain its records of inspection, attempt to minimize the potential for Typical emergency scenarios maintenance, and repair of emergency misinterpretation of the rule. Several of encompassed by the term ‘‘emergency’’ window and door exits, pursuant to the definitions introduce new concepts or ‘‘emergency situation’’ involving a proposed § 239.17, the contractor would which require further discussion. significant threat to the safety or health be required to perform those duties in Although the definition of of one or more persons requiring the same manner as required by a ‘‘crewmember’’ is primarily intended to immediate action may include one or railroad. cover persons who either perform on- more of the following: illness or injury; 9. Penalties: Section 239.11 board functions connected with the a stalled train in a tunnel or on a bridge; Section 239.11 identifies the penalties movement of a train (e.g., a locomotive collision with a person, including engineer, conductor) or provide on- that FRA may impose upon any person, suicides; collision or derailment; fire; including a railroad or an independent board service (e.g., an Amtrak food collision or derailment with a fire; service employee or sleeping car contractor providing goods or services collision or derailment with water to a railroad, that violates any attendant), a deadheading employee is immersion; severe weather conditions; covered by the definition as well. requirement of this part. These penalties natural disasters; and security situations Accordingly, such an employee could are authorized by 49 U.S.C. 21301, (e.g., bombings, bomb threats, hijacking, count as a ‘‘qualified’’ employee under 21304, and 21311, formerly contained in civil disorders, and other acts of § 239.101(a)(2)(iv) for purposes of § 209 of the Federal Railroad Safety Act meeting a railroad’s minimum on-board terrorism). of 1970 (Safety Act) (49 U.S.C. 20101– staffing requirements for its emergency The term ‘‘qualified,’’ as used in the 20117, 20131, 20133–20141, 20143, preparedness plan. However, during a rule, means employees who are trained 21301, 21302, 21304, 21311, 24902, and passenger train emergency situation, off- under an applicable emergency 24905, and §§ 4(b)(1), (i), and (t) of duty employees would also be expected preparedness plan’s components and Public Law 103–272, formerly codified to assume their appropriate roles under implies no provision or requirement for at 45 U.S.C. 421, 431 et seq.). The the railroad’s emergency preparedness Federal certification of persons who penalty provision parallels penalty plan and assist the passengers. perform those functions. provisions included in numerous other regulations issued by FRA under METROLINK indicated that on some The definition of ‘‘railroad’’ is based authority of the provisions of law trains it has conductors who perform upon 49 U.S.C. 20102 (1) and (2), and formerly contained in the Safety Act. the function of fare enforcement, and encompasses any person providing Essentially, any person who violates any recommended that FRA exclude these railroad transportation directly or requirement of this part or causes the individuals from the definition of indirectly, including a commuter rail violation of any such requirement will ‘‘crewmember.’’ METROLINK also authority that provides railroad be subject to a civil penalty of at least requested that FRA exclude contract transportation by contracting out the $500 and not more than $10,000 per food workers from the definition of operation of the railroad to another violation. Civil penalties may be ‘‘crewmember.’’ person, as well as any form of The term ‘‘control center’’ envisions assessed against individuals only for nonhighway ground transportation that not only the traditional railroad concept willful violations, and where a grossly runs on rails or electromagnetic of a train dispatcher’s office, but also negligent violation or a pattern of guideways, but excludes urban rapid railroad offices that are identified as repeated violations creates an imminent transit not connected to the general ‘‘control centers’’ but only monitor hazard of death or injury to persons, or system. railroad operations, and modern system causes death or injury, a penalty not to operations centers such as those of CSX The terms explained here are not exceed $20,000 per violation may be Transportation, Inc., in Jacksonville, exhaustive of the definitions that are assessed. In addition, each day a Florida and the Burlington Northern proposed for inclusion in § 239.7. This violation continues will constitute a Santa Fe Corporation in Ft. Worth, introduction merely provides a separate offense. Finally, a person may Texas. The term does not include a sampling of the most important be subject to criminal penalties for location on a railroad with concepts of the proposed rule. Many knowingly and willfully falsifying responsibility for the security of railroad other terms are defined and explained reports required by these regulations. property, personnel, or passengers. in the section-by-section analysis when FRA believes that the inclusion of It is very likely that control center analyzing the actual proposed rule text penalty provisions for failure to comply personnel are located at facilities which to which they apply. with the regulations is important in Federal Register / Vol. 62, No. 36 / Monday, February 24, 1997 / Proposed Rules 8339 ensuring that compliance is achieved plans, and exclude recommendations and public address systems. In addition, not only in terms of developing and only after judicious consideration. the operational environment (e.g., a implementing emergency preparedness While FRA stresses that each railroad train is located in a tunnel, on an plans, but also to better determine if should retain latitude in developing an elevated structure, or in electrified railroads are planning ahead to emergency preparedness plan territory), and the type of right-of-way minimize the consequences of appropriate for its operations, the plan structure or wayside facility must be emergencies that could occur. must provide a comprehensive addressed, as appropriate, in each The final rule will include a schedule overview, make clear and positive railroad’s emergency preparedness plan. of civil penalties in an Appendix A to statements to railroad employees, and The emergency preparedness plan 49 CFR Part 239, to be used in contain implementation details should establish a chain of command connection with this part. Because such concerning the roles, responsibilities, which assigns functions and penalty schedules are statements of and expectations for employee responsibilities to appropriate passenger policy, notice and comment are not participation. The plan does not have to railroad operating personnel, while required prior to their issuance. See 5 be one single document with every recognizing the authority and U.S.C. 553(b)(3)(A). Nevertheless, section applying to every railroad responsibilities of emergency commenters are invited to submit employee and location; instead, the plan responders. Coordination is important suggestions to FRA describing the types may consist of multiple documents, to the ability of all parties to respond of actions or omissions under each with a separate section of the plan appropriately to an emergency, regulatory section that would subject a detailing the specific responsibilities for regardless of its size and location. person to the assessment of a civil each job category or function. In Documentation, including applicable penalty. Commenters are also invited to instances where a freight railroad hosts portions of the emergency preparedness recommend what penalties may be the operations of a passenger railroad, plan, protocols, and procedures within appropriate, based upon the relative both railroads would have to address rulebooks, manuals, and guidelines for seriousness of each type of violation. issues of emergency preparedness. control center employees and on-board However, the rule would require the personnel, provides the basic framework 10. Emergency Preparedness Plan: hosting freight railroad to develop only for coordination between all internal Section 239.101 the applicable portions of an emergency parties responding to an emergency. In drafting the proposed rule, FRA preparedness plan uniquely dealing This internal documentation should with the passenger operations not recognized that the operations of each address at least the following issues: otherwise addressed. • individual passenger train system must Delineation of functions and The majority of passenger train be considered in the development and responsibilities during emergencies for operational difficulties are handled passenger railroad operating personnel, implementation of effective emergency effectively and do not become preparedness programs. Factors which including control center personnel; emergencies. Since in many instances a • Telephone numbers of railroad should be considered include system train crew can immediately take action personnel and emergency responders sizes and route locations, types of to resolve a problem and potential who need to be notified; passenger cars and motive power units, emergency without evacuating the train, • Criteria for determining whether an types of right-of-way structures and existing emergency preparedness emergency exists and requires wayside facilities, and numbers of policies de-emphasize immediate assistance from emergency responders; passengers carried, as well as internal evacuation from trains located between • Procedures for determining the railroad organizations and outside stations unless passengers and crews are specific type, location, and severity of emergency response resources. Under in immediate danger. Accordingly, in the emergency, and thus which the proposed rule, each railroad subject most situations, after notifying the response is appropriate; to the regulation is required to establish control center that a problem exists and • Procedures for notifying emergency an emergency preparedness plan receiving permission, the train crew will responders; and designed to safely manage emergencies move the train to the nearest station or • Procedures and decision-making and minimize subsequent trauma and safe location (e.g., outside a tunnel) criteria for transferring incident injury to passengers and on-board before taking further action. If the train responsibility from the passenger railroad personnel. The plan must crew is unable to resolve the situation, railroad operator to emergency reflect the railroad’s policies, plans, and railroad personnel or outside emergency responders. readiness procedures for addressing responders may be sent to the Section 239.101 sets forth the general emergencies. The railroad is expected to emergency scene to provide mechanical requirement that railroads shall develop employ its best efforts, under the aid, alternate transportation, or medical and comply with their own emergency circumstances of the emergency assistance. preparedness plans and written situation, to execute the provisions of its The effectiveness of a railroad’s procedures to implement their own plan. overall response under its emergency plans for addressing issues of In their development of emergency preparedness plan will be greatly emergency preparedness, that meet preparedness plans, FRA encourages influenced by the type of emergency Federal minimum standards. Paragraph railroads to integrate, as practicable, the with which the train crew is presented 239.101(a) requires all railroads affected recommended guidelines contained in (e.g., injury or illness, stalled train, by this proposed part to develop and the Volpe Report. The report provides a suicide or accidental collision with a implement written procedures to fulfill comprehensive degree of specificity. person, derailment or collision, smoke each applicable element of this section. While the proposed rule does not or fire, severe weather conditions or Depending on the nature of a railroad’s require the special level of detail natural disasters, and vandalism or operations, as well as on whether its reflected in the Volpe Report, FRA sabotage). The response will also be operations involve a host freight advocates that railroads voluntarily affected by the characteristics and type railroad, different elements of this incorporate such elements and items as of train involved and the functional proposed section may be fulfilled by appropriate into the development of status of electrical and mechanical more than one entity. While FRA their own emergency preparedness systems, including lighting, ventilation, requires all elements of this section to 8340 Federal Register / Vol. 62, No. 36 / Monday, February 24, 1997 / Proposed Rules be addressed for each passenger train Paragraph 239.101(a)(1) sets forth the course of drafting the final rule text, operation, the rule does not mandate requirement that the passenger train FRA may elect to incorporate that every element be addressed in each crewmembers must communicate recommended practices as specific affected entity’s emergency immediately and effectively with each directives to railroads concerning how preparedness plan. Accordingly, if a other, as well as with the control center they must respond to the various types passenger train service operator relies and the passengers. Typically, in an of emergency situations most likely to on its freight railroad host to notify emergency situation the proposed rule occur during passenger operations, such outside emergency responders after an requires an on-board train crewmember as on-board fires, downed electrical emergency occurs, FRA would permit to immediately contact the control power sources, or passenger injuries the freight railroad’s emergency center via a dependable on-board radio from a derailment. preparedness plan to address this or an alternate means of communication Although the proposed rule does not element. Provided that both entities (e.g., wayside railroad telephone, public require a railroad to use a specific properly coordinate their emergency telephone, private residence telephone, means of communication, FRA expects preparedness plans (and include cross- or cellular telephone) to advise the railroad to select a method that is reference citations to each other’s plan), appropriate railroad officials of the effective and capable of reaching the passenger train service operator’s nature of the emergency and the type of pertinent railroad control centers and plan could omit this item and still be in assistance required. After this initial on-board locations in order to comply compliance with the proposed rule. notification to the control center occurs, with the notification requirement of this The proposed rule would not require the passengers must be informed of the subsection. FRA further expects that that the public authority and the emergency and provided directions. As railroads will voluntarily build operating railroad or independent appropriate, all passengers should be redundancy into their emergency contractor each file a separate accounted for (particularly in sleeping preparedness plans by outfitting their emergency preparedness plan with FRA compartments) so as to expedite crewmembers with an immediately if the operating railroad or independent evacuation, if necessary, and to avoid available backup means of contractor is the only party performing needless effort to search for ‘‘missing’’ communication, in the event that a function under the regulation. persons. primary communications systems are However, each party’s responsibility for either damaged during the emergency or METROLINK stated that the train compliance with this part must be otherwise rendered inoperative. For crewmember should notify the clearly spelled out in the emergency example, a cellular telephone could be preparedness plan or plans that are filed passengers after consultation with the made available for use by on-board with FRA for approval covering the control center and the control center crewmembers to contact the control entire passenger train service operation. officer, unless the train must be center in the event the locomotive radio After approval of the plan or plans, FRA evacuated immediately. Also, the LIRR is inoperative. Also, on-board may hold the public authority or the recommended that FRA revise crewmembers could still maintain other entity or both responsible for paragraph 239.101(a)(1) in the final rule proper communication with the compliance with this part. to require an on-board crewmember to passengers, in the event that regular or FRA proposes to establish the remove all occupants of the train from emergency power was unavailable to parameters for such a plan and defer to imminent danger as a first step after he operate the train’s public address the expertise of each individual railroad or she quickly and accurately assesses system, by using portable megaphones. to adopt a suitable emergency the passenger train emergency situation. Commenters are asked to discuss preparedness plan for its railroad, in FRA recognizes that each emergency whether the final rule should expand accordance with these parameters. As situation is unique, and may require the subsection’s language requiring noted previously in the preamble to this rapid decisionmaking by on-board notification to mandate a specific proposed rule, the emergency crewmembers on how best to ensure the primary means of communication, and/ preparedness plan may consist of safety of the passengers. Moreover, it is or whether the final rule should also multiple documents, with a separate FRA’s expectation that railroads will require each affected railroad to equip document detailing the responsibilities properly train their employees to its passenger trains with a secondary of each category of employee under the perform the requisite life-saving means of communication in the event railroad’s plan. Each railroad is also functions after an emergency (e.g., that the primary means is unavailable. encouraged to review the suggestions relocation of passengers from a smoke- This issue may be resolved in this provided in the Volpe Report before filled car to a safer section of the train proceeding or in the context of the developing an emergency preparedness or evacuation of the passengers from a forthcoming revision of the Radio plan in accordance with the derailed car), in conjunction with their Standards and Procedures in 49 CFR requirements set forth in this section. In responsibilities to assess the nature of Part 220. That rulemaking was tasked to developing the plan, railroads are the emergency and notify the control the RSAC on April 1, 1996. reminded that the goal of the proposed center as soon as practicable thereafter. It is FRA’s understanding that many rule is to maximize the safety of Accordingly, while FRA may conclude railroads publish an emergency toll-free passengers, railroad personnel, in the course of investigating a specific telephone number in the employee emergency response personnel, train incident or accident that a timetable which connects with the property, and the general public which particular employee’s egregious control center office. Amtrak also has a come in contact with the railroad by mishandling of an emergency situation nationwide toll-free telephone number providing for immediate notification of warrants individual enforcement action which connects the caller to the outside law enforcement officials and and/or enforcement action against the national Amtrak police desk in emergency responders. Railroads should railroad, we are reluctant to strictly Washington, DC, which is manned not instruct their on-board employees to impose the precise order or manner in around the clock. The rule does not substitute as professional emergency which on-board crewmembers must require that notification to either the responders and delay notification of execute their individual responsibilities control center or the train passengers appropriate railroad and outside under the railroad’s emergency occur within a precisely measured officials. preparedness plan. However, in the number of minutes, rather it uses the Federal Register / Vol. 62, No. 36 / Monday, February 24, 1997 / Proposed Rules 8341 words ‘‘as soon as practicable’’ in order provisions, this subsection requires that calendar year or other more restrictive to give railroads maximum flexibility. the emergency preparedness plan state or specific requirement for periodic FRA expects that in the totality of the how the railroad will achieve the training in the proposed rule. Moreover, circumstances of the emergency appropriate notifications. assuming that FRA elects to specify in situation, the train crewmembers will Paragraph 239.101(a)(2) requires that the final rule that the upper limit of the exercise their best judgment using the the emergency preparedness plan term ‘‘periodic’’ will remain at two railroad’s own emergency preparedness provide for initial and periodic training years, anytime the provisions of an plan procedures. at least once every two years of all emergency preparedness plan are Under current practice, Amtrak’s railroad employees who have invoked during an actual emergency, we notification of the emergency responsibilities under the plan, and that would count that event toward the responders will vary slightly depending the training address the role of each training requirement for those affected on whether or not the passenger train affected employee. Adequate training is employees. emergency occurs in Amtrak-dispatched integral to any safety program. This FRA is interested in receiving territory. In territory where trains are subsection recognizes that the comments from railroads on the costs of dispatched by Amtrak, either the control successful implementation of an implementing the on-board personnel center will directly notify the emergency preparedness plan depends training requirements of the proposed emergency responder or the control upon the knowledge of the on-board and rule. Specifically, FRA wants to center will notify Amtrak police, who control center personnel about the determine the extent of the current will then, as appropriate, notify system route characteristics, passenger training that railroads already provide to pertinent emergency responders, state cars and motive power units, and their on-board employees (including and federal agencies, and Amtrak emergency plans, protocols, procedures, emergency preparedness training) as supervisors. In territory where trains are and on-board emergency equipment. An part of regular operating rules training not dispatched by Amtrak, the host employee who has not been trained to programs. Comments are requested railroad control center will directly react properly during an emergency concerning the estimated dollar amount notify the appropriate emergency situation may present a significant risk of the incremental additional costs responders, government agencies, and to railroad personnel and passengers. connected with modifying existing host railroad supervisors. Which Employees must receive ‘‘hands-on’’ training programs to comply with this emergency responders and agencies are instruction concerning the location, proposal. FRA is interested in notified depends on the nature of the function, and operation of on-board ascertaining whether the proposed emergency. Most control centers have emergency equipment, stressing the training requirements will add merely emergency telephone numbers already following: de minimis costs to each railroad’s in their computer systems, usually • Opening emergency window, roof, existing training program or if listed alphabetically by city, with hard and door exits, with an emphasis on compliance would entail moderate or copy backups. operating them during adverse significant additional costs. FRA is aware that each railroad’s conditions such as when a rail car is As discussed in the analysis of operations are somewhat unique, and overturned; proposed § 239.103, FRA expects that the appropriate persons and • Use of emergency tools and fire railroads operating passenger train organizations who must be notified will extinguishers; service to conduct emergency vary based upon the railroad’s • Use of portable lighting when the simulations to evaluate their overall individual operating characteristics and main power source is unavailable on a emergency response capabilities and the actual type of emergency that passenger train; and ensure that emergency preparedness occurs. Accordingly, paragraph • Use of megaphones and public plans, procedures, and equipment 239.101(a)(1)(ii) does not specify address systems (if they are provided by address the particular needs of various emergency responder organizations the railroad for communication types of passengers. Emergency (e.g., fire departments, helicopter rescue purposes). simulations can help railroads achieve groups) or job titles or duties of The proposed rule affords the theses goals through careful selection of appropriate railroad officials whom the passenger railroad operator a time the time and location of the simulation control center must contact. The period of up to two years to provide and participation by personnel from the subsection also does not specify which each session of ‘‘periodic’’ training after railroads, outside emergency responder control center employees may be the operator provides initial training in organizations, and ‘‘volunteer designated by the railroad to maintain the emergency preparedness plan’s passengers’’. In addition to classroom the list of emergency telephone provisions to its employees. The training, simulations provide employees numbers; METROLINK recommended periodic training requirement is with a practical and realistic that FRA require that the railroad intended to inform railroad personnel of understanding of rules, procedures, designate an employee function or changes in procedures and equipment trains, and right-of-way structures/ position to be responsible for and ensure that their skills remain at a wayside facilities as they relate to maintaining current emergency level that enables them to effectively emergency response. FRA expects that telephone numbers, rather than a execute their responsibilities under the the employee training provided in particular employee. In addition, the emergency preparedness plan. In accordance with paragraph term ‘‘adjacent’’ is not defined (e.g., a addition, the recurrent training will 239.101(a)(2) will include instruction on distance measurement from the reinforce segments of the emergency the importance of emergency passenger train experiencing the preparedness plan for individuals who simulations in achieving successful emergency to adjacent rail modes) for have not performed properly. implementation of the emergency purposes of determining which other FRA concludes that the unique preparedness plan. rail modes must be notified. Instead, operating characteristics of all the The proposed rule does not require consistent with the Working Group’s different railroads subject to the on-board personnel to receive training recommendation that the proposed rule proposed rule, as well as the financial in first aid or in CPR. Although FRA should provide each affected railroad costs involved with providing training, initially considered including these with flexibility to implement the rule’s would make it impractical to include a items as training requirements in the 8342 Federal Register / Vol. 62, No. 36 / Monday, February 24, 1997 / Proposed Rules proposed rule, or at least mandating that without requiring employees to actually show to the railroad sufficient railroads offer employees the use this training during an emergency. understanding of the emergency opportunity to receive this training, the Under this scenario, a railroad employee preparedness plan subject area for consensus of the Working Group was who offered no assistance during an which he or she is responsible, and that that both first aid and CPR training emergency, because he or she feared the employee can perform the duties should be excluded from the rule. The coming into contact with an injured or required under the plan in a safe and Working Group stressed that the goal of ill passenger’s bodily fluids, would not effective manner. Proficiency must be the proposed rule is to ensure that violate these regulations. (The demonstrated by successful completion emergency responders arrive promptly experience of the American Red Cross is of a written examination, but in at the scene of an emergency, not to that volunteers who receive first aid and addition may be illustrated by an train on-board personnel to act as CPR training, and appropriate interactive training program using a emergency responders. The Working equipment, are motivated to provide computer, a practical demonstration of Group also stated that even if FRA needed assistance when the time understanding and ability, or an requires a railroad to offer first aid and comes.) The second option would be not appropriate combination of these in CPR training, no railroad can literally only to require railroads to train their accordance with this section. force an on-board crewmember to assist employees in first aid and CPR, but also This section permits railroads an ailing passenger. Further, trains with to mandate that employees use this discretion to design the tests that will be heavier passenger loadings are likely to training during an emergency. employed (which for most railroads will have on board one or more medical The proposed rule also does not entail some modification of their professionals whose skills will be more require railroads to record the number existing ‘‘book of rules’’ examination to extensive, and better practiced, than of passengers riding on their trains at include new subject areas), provided those of a crewmember whose primary any given time or to record how many that the design addresses all relevant and recurring duties do not include people get on and off at each train stop. elements of the emergency preparedness medical emergencies. Although lack of an exact passenger plan. This section does not specify During the Working Group meeting on manifest may delay emergency things like the number of questions to February 7, 1996, Amtrak stated that it responders in determining when every be asked or the passing score to be is spending between $2.5 to $3 million passenger has been removed from a obtained. It does, however, contain the by fiscal year 1998 to train the chiefs of derailed or disabled train, the frequency requirement that the test not be on-board service and to provide for at with which many passenger trains pick conducted with open reference books least one employee on every train being up and discharge passengers would unless use of such materials is part of trained to administer first aid and create logistical difficulties for a train a test objective. This section also perform CPR. Under the Amtrak plan, operator. A train crew can usually requires that the test be in writing. In employees will not be required to use provide a good estimate to emergency deciding to require a written test, FRA this training, merely to receive it. responders, so that they can respond was aware that the test taking skills of Despite the extent of Amtrak’s with the necessary personnel and some individuals may be deficient and commitment to voluntarily providing equipment. Moreover, it is doubtful that that some persons may have literacy extensive first aid and CPR training, emergency responders would simply problems. However, FRA believes that Amtrak did not want these items trust an exact passenger count provided minimum reading and comprehension required in the final rule. Another by a train crew and cease looking for skills are needed to assure proper member of the Working Group, additional survivors of an emergency. execution of an emergency preparedness Metrolink, stated that it has served Commenters are invited to offer plan. approximately eight million passengers proposals for training on-board Paragraph 239.101(a)(2)(iv) requires in three years of operation, and has crewmembers to track the exact number that at least one on-board crewmember never had a passenger require CPR. of passengers present on a train at any be qualified under the applicable Metrolink also noted that commuter given moment, and to include provisions of the railroad’s emergency railroads generally operate in populated suggestions on cost-efficient technology preparedness plan. For example, a areas, with professional emergency for achieving this goal. commuter railroad operates with a responders in most cases only minutes The proposed rule also requires three-person crew fully trained under away. The LIRR stated that it offers CPR appropriate training of control center the applicable provisions of the training to newly hired employees and personnel who affect the railroad’s emergency preparedness plan, shows a refresher film to employees implementation of a railroad’s but includes an engineer trainee in the every five years, but acknowledged that emergency response plan. FRA expects locomotive cab who is not qualified it cannot force employees to administer the railroad to provide training only for under the plan’s provisions. Since the CPR. The railroad also noted that it the requisite control center employees train already has a fully trained and would never want the engineer to leave designated under the plan to convey the qualified crew operating the train, the the controls of the locomotive during an nature and extent of a passenger train’s commuter railroad is in full compliance emergency. NJTR indicated that its train emergency to the emergency responder with the proposed rule even though one crews already have many duties to organizations. Accordingly, FRA does on-board crewmember is not qualified perform during an emergency and that not wish to require training of other under the emergency preparedness plan. first aid and CPR should be performed control center employees who perform This paragraph may also apply if, for by emergency medical services merely incidental functions, e.g., a example, a fully-trained passenger train personnel. clerical or other office employee who crew turns over the operation of its train FRA invites commenters to submit receives a telephone call from a stalled to a freight railroad train crew that is not their views on whether the final rule train. qualified under the passenger railroad’s should include the issues of first aid The term ‘‘accurately measure’’ is emergency preparedness plan. Provided and CPR training. If FRA does decide to used in proposed paragraph that the passenger train is operated by address these issues, one option would 239.101(a)(2)(iii) relative to employee the freight crew with at least one on- be to mandate that railroads offer their qualification in a broad sense to mean board crewmember of the passenger employees first aid and CPR training, that the employee being tested will train present who is qualified under the Federal Register / Vol. 62, No. 36 / Monday, February 24, 1997 / Proposed Rules 8343 passenger railroad’s emergency impediments to the safe and orderly have knowledge of or observe an preparedness plan, there would be no withdrawal of passengers from a emergency in a common corridor, e.g., violation of the proposed rule. Although disabled train, tunnels of less than 1,000 fire, derailment, or intrusion by rapid the proposed rule requires only one feet are excluded. This limitation is transit rail equipment or vehicles, must qualified crewmember, FRA anticipates reasonable, considering that intercity be required by the plan to immediately that railroads will voluntarily elect to passenger trains seldom consist of less notify the control center with details. train most, if not all, on-board than four cars and often have many The control center must attempt to crewmembers in emergency response more cars than this, implying a determine the exact location of the procedures. minimum total train length of 400 or incident, any condition that would Paragraph 239.101(a)(3) contains the more feet. Most likely, a train of this or affect safe passage by affected trains or requirement that freight railroads must greater length will have either the head road vehicles, and whether hazardous prepare emergency preparedness plans or rear end close to or outside of a materials are involved, and then initiate addressing instances when they host the tunnel portal should an unplanned stop appropriate responsive action. operations of rail passenger service over occur in a tunnel less than 1,000 feet Many emergencies require response their lines. Even though freight railroads long. from outside emergency responder may neither provide nor operate rail Over the years, passenger train organizations in addition to the railroad. passenger service themselves, and emergencies have occurred in tunnels Proper coordination of roles between all therefore not be subject to most where existing emergency procedures of the organizations that may respond to requirements of the proposed rule, these and tunnel characteristics, such as an emergency is essential to ensure railroads still have certain significant lighting and communication timely and effective response, since the emergency preparedness capabilities, were determined to be number of passengers carried and the responsibilities. The emergency inadequate. In order to better evaluate railroad operating environment may be preparedness plans for freight railroads tunnel safety issues related to quite different according to the type of must, at a minimum, include emergency preparedness, FRA requested service and routes. Paragraph procedures for making emergency additional information from the railroad 229.101(a)(5) recognizes that the responder notifications, and discuss industry. The results were summarized successful implementation of any their general capabilities for rendering in a report entitled ‘‘Tunnel Safety emergency preparedness plan depends assistance to the involved passenger Analysis’’ (Tunnel Report), which was upon the affected railroads maintaining railroads during emergency situations. published by FRA in February 1990. A current working relationships with the The hosting freight railroads must copy of the report was also made emergency responder organizations, so address any physical and operating available to the rail passenger railroads that each party can learn of the full characteristics of their rail lines that for their information and guidance, and preparedness capabilities that the other may affect the safety of these rail has been placed in the docket for this can offer during an emergency. In this passenger operations, e.g., evacuating rulemaking. FRA encourages all regard, each railroad’s emergency passengers from a train stalled in a railroads required to address tunnel preparedness plan must provide for tunnel or on an elevated structure. safety in their emergency preparedness distribution to emergency responders of FRA expects a railroad that operates plans to consult the Tunnel Report for railroad equipment diagrams and rail passenger service over the line of a guidance. FRA is also aware that many manuals, right-of-way maps, freight railroad to review all of the State and local jurisdictions already information on physical characteristics requirements imposed by the proposed impose site-specific regulations to such as tunnels, bridges, and electrified rule with the host railroad, and address tunnel safety, and that most territory, and other related materials. In coordinate their respective roles in railroads with operations involving order to continually reinforce the implementing a coherent response to an tunnels have long-standing internal familiarization of the emergency emergency situation. While FRA emergency tunnel procedures. responder organizations with the presumes that the freight railroad will Paragraph 239.101(a)(4)(ii) proposes railroads’ protocols, procedures, bear primary responsibility for ensuring that railroads operating on elevated operations, and equipment, the the emergency preparedness of any structures, over drawbridges, and in proposed rule requires railroads to railroad permitted to operate intercity electrified territory, incorporate periodically distribute applicable passenger or commuter trains over its emergency preparedness procedures portions of the plan to emergency line, the proposed rule does not restrict into their plans to address these unique responders at least once every three the host railroad and the operating physical characteristics. For example, in years, even if no changes have been railroad from assigning responsibility an emergency in electrified territory, the implemented. Further, since the for compliance with this part via a control center should be responsible for knowledge and ability to carry out private contractual arrangement. FRA issuing instructions to deenergize the procedures and use emergency included the coordination requirement electrical power. Also, the train crew equipment are essential to the success of to ensure that all railroads involved in and emergency responders should know emergency response actions, the a particular rail passenger service how, when, and when not to remove on- proposal requires the railroads to operation understand each other’s board power from the train, including promptly notify emergency responders crucial role in planning for emergency traction power, train-lined (head-end) whenever material alterations to the preparedness. power to individual cars, and battery plan occur (e.g., revisions to emergency Paragraph 239.101(a)(4)(i) addresses source power. exit information, pertinent changes in FRA’s expectations for compliance with Paragraph 239.101(a)(4)(iii) recognizes system route characteristics or railroad this part from railroads with operations that the emergency preparedness plans equipment operated on the system, or that include tunnels of considerable of certain freight and passenger updates to names and telephone length, where immediate passenger railroads will need to address the numbers of relevant contact officials on egress is not feasible. In order to limit unique safety concerns posed by the railroad). the number of structures covered by this adjacent rail modes of transportation. FRA wants to ensure that the proposed paragraph to the longer ones For example, employees of a freight emergency responders will receive the that could be expected to present more railroad to which this part applies, who maximum amount of available 8344 Federal Register / Vol. 62, No. 36 / Monday, February 24, 1997 / Proposed Rules information about a railroad’s have difficulty complying with this minimums set forth in the text of the operations in advance of an emergency, paragraph. proposed rule or decide to broaden the and hopes that emergency responders While FRA considers the coverage and requirements of will voluntarily study the material establishment of liaison relationships § 239.101(a)(6) by specifying additional distributed and participate in between railroads involved with rail types and/or quantities of on-board emergency simulations. However, the passenger operations and emergency emergency equipment that some or all proposed rule would only require that responders crucial to achieving the railroads must carry on each passenger affected railroads make the operations goals of the proposed rule, the agency is car. information available to emergency also fully aware of the unique This paragraph does not require responders, and that the responders circumstances of Amtrak’s operations. railroads to instruct their passengers merely be invited to participate in Commenters are invited to suggest about either the location or use of the emergency simulations. FRA has no either how Amtrak can best comply on-board emergency equipment. As authority to penalize an emergency with the emergency responder liaison stated, FRA is committed to crafting a responder organization if it chooses to requirement as set forth in the proposed final rule that avoids micromanagement ignore the distributed information or rule, or whether the final rule should of the provisions of a railroad’s refuses to attend simulations with the establish a different standard for emergency preparedness plan. FRA railroad. Likewise, the proposed rule railroads that operate in territories with recognizes that passengers might benefit would not hold a railroad accountable large numbers of potential emergency from receiving routine instructions for an emergency responder responders to contact. Any commenter about the location and operation of on- organization’s unwillingness to enter proposing two or more sets of standards board emergency equipment during into a liaison relationship, provided that should also suggest what numerical or each train trip, in the event that the the railroad made the liaison mileage criteria should be used to crewmembers are injured or otherwise opportunities known and available to distinguish the railroads, and state how unable to access the equipment before the responders. these differing standards would still the outside emergency responders In its comments on the revised ensure adequate levels of safety and arrive. However, FRA is also aware from regulatory text, METROLINK questioned emergency preparedness. its consultations with the Working Paragraph 239.101(a)(6) states that the meaning in paragraph Group that pilferage of on-board each railroad’s emergency preparedness 239.101(a)(5)(ii) of the phrase emergency equipment is a serious plan shall indicate the types of on-board problem on many passenger railroads, ‘‘maintaining an awareness of each emergency equipment and the location and that specifically focusing the emergency responders’ capability.’’ on each passenger car. Although the attention of passengers on where the METROLINK noted that its operations proposed rule requires a minimum of equipment is located would only include 33 different fire districts, over only one fire extinguisher and one pry exacerbate the problem. Clearly, the 50 ambulance companies, and 45 police bar per passenger car, and one flashlight equipment can only help both agencies, and contended that per on-board crewmember, FRA would crewmembers and passengers during an maintaining this type of awareness is strongly encourage each railroad to emergency if it is available for proper not a railroad function. METROLINK voluntarily supplement this list of on- use. Also, members of the Working also stressed that the proposed rule does board emergency equipment. Further, Group stressed that regular riders on not require emergency responders to FRA recognizes that there may be intercity or commuter operations are notify each affected railroad when their special local interests that might need to probably already familiar with the on- capabilities change, and stated that it is be accommodated, particularly in cases board emergency equipment by virtue of the responsibility of the emergency of public authorities operating their frequent presence on the train, and responders to establish mutual aid with passenger train service within only one would not benefit from any additional other local agencies when emergency territory. While national uniformity to required information. situations exceed their capabilities. In the extent practicable of laws, Since the rulemaking on rail addition, METROLINK indicated that it regulations, and orders related to passenger equipment safety standards is lacks the technical capacity to know or railroad safety is important, FRA does still ongoing, FRA is unable to state understand when a significant change not wish to decrease the level of whether railroads will be required to may occur in an emergency responder’s emergency preparedness already in install permanent or auxiliary response capability. place on a passenger railroad. emergency lighting on their rail cars. FRA is aware of the great number of FRA must determine whether the However, whatever requirements jurisdictions that intercity trains operate final rule should specifically address eventually appear in a new set of through, and that it is neither simple special circumstances that may exist in regulations at 49 CFR Part 238, nor inexpensive for passenger train local jurisdictions throughout the paragraph 239.101(a)(6)(ii) states that operators to provide material and country on a categorical basis, which are auxiliary portable lighting must be familiarization to every outside currently subject to more stringent available for assistance in an emergency emergency response organization within requirements than the minimum and should be routinely maintained and all individual communities along each quantities of on-board emergency replaced as necessary. The proposed route. Some commuter train operators equipment set forth in the proposed rule does not require that every rail have developed booklets and videotapes rule. Accordingly, FRA invites passenger car have such lighting, but the to illustrate equipment and describe comments on what types and quantities train itself must carry enough portable entry and evacuation procedures for its of on-board emergency equipment lighting capable of fostering passenger trains and certain right-of-way facilities. railroads are currently required to carry evacuation. In its comments on However, Amtrak stated at the Working pursuant to laws in the local paragraph 239.101(a)(6)(ii) of the Group meetings that because it operates jurisdictions in which they operate. revised regulatory text, METROLINK through thousands of jurisdictions with FRA also invites comments on the stated that FRA needs to define the thousands of potential emergency reasons for these more stringent phrase ‘‘auxiliary portable lighting must responder organizations located requirements. Depending on the be accessible,’’ and questioned whether throughout the United States, it would comments received, FRA may adopt the a flashlight is an acceptable form of Federal Register / Vol. 62, No. 36 / Monday, February 24, 1997 / Proposed Rules 8345 such lighting. FRA intends for a disseminate safety awareness the railroad could direct its employees handheld flashlight, such as a flashlight information to passengers, FRA to wait at either station stops or onboard with a ‘‘D’’ cell, to be one of the means encourages railroads to employ as many trains and orally read the questions to of satisfying the auxiliary portable of the options as possible based on selected members of the traveling public lighting requirement. operating and budgetary considerations. who voluntarily agree to participate. Finally, paragraph 239.101(a)(7) The information in the various The oral responses would then be requires railroads to make passengers sources of passenger safety awareness recorded by the railroad in writing on aware of emergency procedures to information must be consistent in records that would be maintained at the follow before an emergency situation content and sufficient for first-time system headquarters for the railroad and develops, thus enabling them to respond users of the railroad, but not so at the division headquarters for each properly during the emergency. All overwhelming as to arouse undue division where the surveys were passenger awareness efforts must concern. All information must be conducted (i.e., the records availability emphasize that passengers must follow printed or spoken in English, but must be division specific). The records the directions of the train crew during railroads serving large non-English can consist of multiple documents, and an emergency. If passengers are on a speaking communities should consider may contain separate sections covering disabled train, but are not injured or providing information in other locations of the safety information on facing imminent danger, they could languages as well. Materials for persons the cars and knowledge of the safety safely await the arrival of trained who are visually impaired should be procedures to follow in an emergency. emergency responders with appropriate printed in large type format and in Additionally, railroads must make these evacuation equipment. However, in a braille. Finally, for persons with other survey records available to duly serious emergency involving smoke or types of disabilities, appropriate authorized FRA representatives for fire, passengers may have to evacuate passenger awareness materials should inspection and copying (e.g., the train before emergency responders provide information about evacuation photocopying or handwritten arrive. Thus, operators of rail passenger policies and procedures and other notetaking) during normal business service should take steps to increase emergency actions, to the extent hours. passenger awareness about basic practicable. The proposal specifies that a railroad evacuation procedures. Since Passenger awareness education must survey a representative sample of passengers could inadvertently should include information that may passengers at least once during each jeopardize their own safety, it is permit passengers to accomplish the calendar year to determine the appropriate for them to take the following: effectiveness of its passenger awareness initiative only if the crewmembers are • Recognize and immediately report activities. FRA is not proposing a incapacitated. potential emergencies to crewmembers; methodology for conducting this Passenger railroads must educate • Recognize hazards; sampling, nor is it requiring that the passengers about their role in • Recognize and know how and when surveys be distributed at every station cooperating in emergencies by to operate appropriate emergency- stop or along particular major lines. conspicuously and legibly posting related features and equipment, such as FRA is confident that each railroad will emergency instructions inside each fire extinguishers, train doors, and use due dilgence in surveying a passenger car, and by utilizing at least emergency exits; and statistically significant cross section of one of the additional methods • Recognize the potential special its customer population in order to designated in this paragraph to provide needs of fellow passengers during an periodically update and improve its safety awareness information. These emergency, such as children, the passenger safety awareness information methods include distributing elderly, and disabled persons. and amend its emergency preparedness pamphlets, posting information in Paragraph 239.101(a)(7)(iii) requires plan, as appropriate. Although FRA is stations on signs or on video monitors, railroads to perform surveys of their proposing that railroads conduct the and the review of procedures by passengers in order to learn how surveys at least annually, we expect that crewmembers via public address successful the passenger awareness after the initial education effort takes announcements. All brochures and program activities have been in place in the first year that the rule is in signage must emphasize that passengers apprising passengers of the procedures effect the ridership awareness level will must follow the directions of the train that must be followed during an reach a percentage in the range of crew during an emergency. emergency. In addition to verifying that between 60 to 75 percent. If this Although paragraph passengers can locate and operate the increased awareness level occurs, as 239.101(a)(7)(ii)(A) permits a railroad to emergency window and door exits in reflected in a high rate of correct survey fulfill the secondary passenger the event of an evacuation, the surveys responses, FRA believes that the education requirement of the proposed must determine that passengers know requirement could be modified to rule by making on-board where the safety information is posted permit railroads to conduct the surveys announcements, the proposed language in the car and that during an emergency at least once every three years. FRA does not specify the frequency with they must follow the directions of the seeks public comment on both whether which these announcements must be train crew. the final rule should permit railroads to made during a train run. While FRA Although the railroad is required to conduct surveys less frequently than believes that, with regard to intercity maintain records of the information annually, and if so, on what would be service, announcements are appropriate obtained from its passenger surveys, the an appropriate minimum percentage of after at least each major passenger pick- proposal does not mandate that public awareness that must be reached up point, commenters are invited to railroads ask passengers to complete before less frequent surveying would be suggest ways of providing safety written questionnaires. Instead of justified. information to all new riders without handing out questionnaire surveys at Since the issue of passenger surveys becoming repetitious to the remaining station stops and hoping that passengers was not fully developed with the passengers. In addition, while the will voluntarily elect to either provide Working Group during the drafting of proposed rule requires railroads to responses in narrative form or fill in this proposal, FRA looks forward to utilize only one additional method to answers to multiple choice questions, working with the members of the 8346 Federal Register / Vol. 62, No. 36 / Monday, February 24, 1997 / Proposed Rules

Working Group during the final rule safety awareness information are urged, organizations and will involve the phase to develop the most effective if possible, to provide scientific or expenditure of funds for both the means of verifying that the passenger sociological data and/or cost estimates training and actual full-scale exercise. awareness program activities will to support their suggested time Recording or videotaping the scenes and achieve their objectives. In this regard, intervals. conversations in key areas of the FRA seeks comments on whether the 11. Passenger Train Emergency exercise itself will serve as valuable survey process anticipated by this Simulations: Section 239.103 classroom training for later years. A full- proposal can be a reliable measure of scale exercise is the total application of the effectiveness of the passenger Section 239.103 recognizes that one of the resources of the passenger railroad information programs or whether there the most effective training techniques is operator and the voluntarily are more efficient or less expensive a simulation of specific emergency participating emergency response means than surveys to determine the scenarios. Simulations may vary from a organizations. Such an exercise can success of these programs, such as focus small-scale drill or tabletop exercise for reveal the degree of familiarity of both groups or unstructured meetings and just one train crew or control center the passenger train system and discussions with members of the operator, to a full-scale emergency emergency response organization traveling public. Commenters from exercise involving several levels of personnel with train operations, the railroads are urged to discuss what railroad management that includes the physical layout of trains, right-of-way sampling techniques they currently use voluntary participation of fire structures and wayside facilities, when they conduct customer departments, ambulance and emergency emergency exits, and emergency satisfaction surveys in order to assist medical service units, local police, equipment. Thus, shortcomings in the them in improving passenger comfort, sheriff and state police organizations, emergency preparedness plan and determining if railroad employees are local emergency auxiliary groups, and specific response protocols and providing proper customer service, and state and federal regulatory agencies. procedures, as well as equipment, can planning timetable schedules. While simulations are primarily be identified and corrected. designed to demonstrate that railroad Since proposed paragraph employees can quickly and efficiently FRA is seriously evaluating whether 239.101(a)(7)(ii) requires railroads to manage an emergency situation to tabletop exercises should be afforded utilize an additional method of ensure that emergency responders arrive the same weight in the final rule as full- providing safety information without quickly, simulations are also intended scale simulations for purposes of specifying how frequently the to determine whether train crews are demonstrating the readiness of a information must be provided, properly trained to get passengers out of railroad to successfully react to a commenters are encouraged to address an imperiled train. passenger train emergency, and we are this issue by indicating whether each The tabletop exercise is the simplest considering requiring that each railroad railroad should be allowed to study the to stage, as it involves only a meeting conduct a minimum number of its results of the passenger surveys in order room and knowledgeable managers and simulations as full-scale exercises. In to determine the effectiveness and employees from the passenger train this regard, FRA is skeptical as to proper timing of passenger safety operator and the appropriate responding whether a tabletop exercise can equal awareness program activities organizations who voluntarily the comprehensiveness of a full-scale appropriate for its operation. participate. For an imaginary exercise and be a highly effective means Accordingly, instead of specifying a emergency, the actions to be taken by of determining whether a railroad is fixed maximum time interval between the appropriate personnel are described; adequately prepared for the likely utilization of the additional forms of the time, equipment, and personnel variety of emergency scenarios that program activity, FRA could elect to necessary are estimated; and potential could occur on its lines, as well as an require that railroads determine the problems are predicted. Conflicts of important training tool for the train optimal frequency that best serves their functional areas, lack of equipment, crews, control center employees, and passengers. In addition, it is expected procedural weaknesses or omissions, members of the emergency responder that as the traveling public grows more communication difficulties, and community who elect to participate. In accustomed to reading and confusing terminology are among the considering whether to strengthen the understanding the emergency problems which can be identified. emergency simulation requirement, FRA instructions posted inside all passenger Passenger train operators can drill is aware that realistic full-scale cars on bulkhead signs, seatback decals, their train crews, other on-board simulations that enable all participants or seat cards the need for redundant personnel, supervisors, and control to practice using the on-board reminders (e.g., on-board center operators on emergency operating emergency equipment and emergency announcements, ticket envelope safety procedures by posing a hypothetical exits, and encourage the emergency information, or public service emergency for employees to resolve responders to become personally announcements), especially at frequent without dispatching emergency familiar with passenger equipment and time intervals, will greatly diminish. responders to the scene. A drill could applicable railroad operations, could Moreover, depending on the additional also involve the voluntary participation prove invaluable in helping railroads method selected, different time intervals of personnel of a particular response and the emergency responder may be appropriate. For example, while organization, e.g., a fire department. The community to manage real emergencies it may be suitable for a railroad to same type of problems as indicated for in ways that tabletop exercises cannot. distribute safety awareness information the tabletop exercise can be identified, However, FRA is also aware that the on a seat drop every three months, the and the actual response capabilities of financial and logistical costs of railroad may conclude that it should personnel in terms of their knowledge of conducting full-scale simulations are arrange for public service procedures and equipment can be undoubtedly higher, including the need announcements on a weekly basis. evaluated. to close railroad tracks during the hours Commenters recommending inclusion Full-scale emergency exercises of the simulation, opportunity costs for of fixed timeframes for providing require weeks of carefully organized the railroads due to lost use of the passengers with additional methods of plans involving all participating passenger equipment that is employed Federal Register / Vol. 62, No. 36 / Monday, February 24, 1997 / Proposed Rules 8347 in the simulations, unavailability of specific in terms of their familiarity any appropriate improvements and/or firefighting and rescue equipment for with a railroad’s operations, it is crucial amendments to the plan. As part of this other emergencies while the simulations that each affected railroad provide review process, FRA expects the are being conducted, and salary costs for adequate opportunities along all of its railroad to revise its training program many or all of the simulation major lines for its employees and the and liaison relationships with the participants. responder community to obtain emergency responder community, in In order to best determine whether the emergency simulation training. While accordance with proposed § 239.101. final rule should require full-scale FRA anticipates that each commuter or Accordingly, while the proposed rule emergency simulations in conjunction short-haul railroad will conduct does not mandate that affected railroads with tabletop exercises, or perhaps in emergency simulations as frequently as conduct numerous simulations all along place of such exercises, FRA must possible on its entire system, the the major lines so as to include every carefully weigh the expected costs and proposal applies only to operations over possible participant, FRA concludes potential benefits of all available major lines so that the railroad can best that the lessons learned from the options. FRA therefore seeks public reach the most heavily traveled portions required debriefing and critique comment on the perceived effectiveness of its system while conserving limited sessions will have far reaching benefits. of both full-scale emergency simulations resources. In this regard, FRA In order to ensure that each affected and tabletop exercises, including a recognizes that emergency responder railroad evaluates its overall emergency discussion of whether tabletop exercises organizations tend to be densely located response capabilities through careful can achieve the equivalent level of along the major lines of commuter and selection of the appropriate scenarios emergency preparedness as full-scale short-haul railroad operations. and locations on each of its main lines simulations. FRA is particularly FRA seeks public comment on for the emergency simulations, the interested in receiving comments from whether the final rule should require a proposal requires each railroad to the emergency responder community, different timetable for accomplishing organize simulations that will especially from those members who emergency simulations along each major adequately test the performance of the have participated in either emergency route and/or require a greater total railroad’s program under the variety of simulations or actual emergency number of emergency simulations emergency situations that could situations with railroads. during any given calendar year. In this reasonably be expected to occur on the To achieve a maximum level of regard, since emergency simulations are operation. For example, a railroad effectiveness, drills and exercises such an important means for a railroad operating in territory that includes should reinforce classroom training in to measure its degree of emergency underground tunnels will need to emergency response and passenger preparedness, FRA is considering conduct simulations to test the evacuation for the passenger train strengthening the final rule to require railroad’s ability to ensure employee operator personnel and the emergency that each railroad conduct a sufficient and passenger safety during an response units who voluntarily number of emergency simulations so emergency situation occurring in this participate. Procedures should also be that each major line will be included at unique environment. Adequate lighting included to teach personnel to identify least once during every calendar year, and sources of air in tunnels and the emergency and distinguish its instead of only once during every two underwater tubes are critical for unique demands, and to follow through calendar years. successful passenger evacuation during with the appropriate responses. In Although the proposal sets forth a emergencies. Further, emergency addition, the drills and exercises should requirement for each commuter and responders depend on sufficient lighting be planned to minimize hazards which short-haul railroad to perform for visibility during fire suppression and could create an actual emergency or emergency simulations on all of its rescue operations. If the railroad intends cause injuries and to provide a major lines, FRA does not expect the to evacuate passengers by using cross mechanism for simultaneous testing and railroad to require all employees along passages and/or fire doors leading to the reinforcement of emergency operating those lines who are trained under the opposite track area, or a separate center procedures for specific types of emergency preparedness plan to attend passageway between the adjacent track emergencies and evacuation procedures. the simulations, nor do we expect the areas, the simulation should include Moreover, the drills and exercises railroad to invite all potential practice in the requisite evacuation should test the communication emergency responders along those lines protocols and procedures. capabilities and coordination of the to participate. While FRA hopes that In the case of a railroad providing passenger operator with the emergency over the long term all railroad intercity passenger service involving a responders, as well as the operability employees involved in the operation of number of lines operated over long and effectiveness of emergency passenger train service, as well as the distances, such as the coast-to-coast equipment. applicable members of the emergency service provided by Amtrak, the need Paragraph (b) requires each railroad responder community, will have the for the railroad to carefully plan its that provides commuter or other short- opportunity to participate in this simulations and concurrently examine haul passenger train service to conduct valuable training exercise and enhance the effectiveness of its emergency an emergency simulation at least once their individual emergency preparedness plan under a variety of during every two calendar year on all preparedness skills, the simulations are scenarios becomes crucial. Many of major lines, and include at least 50 also intended to identify shortcomings Amtrak’s lines run for hundreds of percent of the major lines in the total in each railroad’s emergency miles through remote locations that number of simulations held during any preparedness plan and specific response could include risks from tunnel given calendar year. Since FRA has protocols and procedures. The railroad mishaps, natural disasters (e.g., fires, determined that a train crew on a must discuss the identified weaknesses floods, and earthquakes), hazardous commuter or other short-haul operation and overall effectiveness of the material leaks, and/or acts of terrorism. will usually operate a train along the emergency preparedness plan with the Further, because of the length of time same line for an extended period of simulation participants at the debriefing required to travel these lines, the same time, and that emergency responder and critique session held under train will be operated by more than one organization personnel tend to be line- proposed § 239.105, and then initiate crew and may involve operation over 8348 Federal Register / Vol. 62, No. 36 / Monday, February 24, 1997 / Proposed Rules the line of a freight railroad. Since emergency simulations can best achieve simulated victims, if any) who can offer Amtrak’s lines traverse numerous the rule’s emergency preparedness valuable insights and thus help the populated communities throughout the objectives in a cost beneficial manner railroad to revise its procedures. The United States, an emergency situation that does not compromise rail safety. In debriefing session should help to could require the assistance of any recommending an optimal minimum determine what emergency number of potentially thousands of number of emergency simulations, preparedness or response procedures emergency responders from these commenters are specifically urged to could not be used because of the special locations. opine on how a passenger railroad as circumstances of either the train or the While FRA is not proposing at this diverse as Amtrak, which operates passengers, and whether coordination time to require operators of intercity coast-to-coast service under a wide between the railroad and the emergency service to conduct additional emergency variety of operating conditions through responders requires improvement. simulations along its lines in order to the jurisdictions of numerous The above method of conducting post- reach a greater proportion of employees emergency responders, can best achieve simulation debriefing and critique and members of the emergency response the emergency preparedness goals of sessions should also be used by community (equivalent to the number this section throughout its entire system railroads to evaluate reactions to actual required on the major lines of railroads without expending a disproportionate emergencies. Weaknesses in emergency that provide commuter or other short- amount of its limited resources. preparedness procedures and haul service), we do expect such equipment and areas for improving railroads to plan simulations that 12. Debriefing and Critique: Section training should be identified, and the sufficiently test the elements of their 239.105 railroad shall amend its emergency emergency preparedness plan under the Section 239.105 recognizes the value preparedness plan in accordance with variety of circumstances that could of conducting a formal evaluation proposed § 239.201. All persons occur in intercity service. Although FRA process after the occurrence of either an involved should be debriefed. recognizes that the length and diversity actual emergency situation or an Although the term ‘‘emergency or of Amtrak’s operations limit the emergency simulation such as a full- emergency situation’’ is defined in potential benefits from resources spent scale or tabletop exercise to determine proposed § 239.7 to include a collision on conducting emergency simulations, what lessons can be learned. To increase with a person, including suicides, FRA the proposed rule requires Amtrak to the effectiveness of the evaluation of an does expect a railroad to conduct a conduct at least two full-scale or emergency simulation, railroad debriefing and critique session after tabletop exercises per year on each of its personnel should be designated as every grade crossing accident. While the business units. However, FRA is evaluators to provide a perspective on railroad would still be expected to considering imposing more rigorous how well the emergency preparedness invoke its emergency preparedness plan requirements in the final rule on plan and procedures were carried out. in the event of a grade crossing accident, operators of intercity service such as Although not required by the proposed the goal of this proposed rule is to Amtrak in order to ensure the requisite rule, railroads are also encouraged to ensure that railroads effectively and level of emergency preparedness. By invite outside emergency response efficiently manage passenger train considering each of the emergency organizations and other outside emergencies. Accordingly, FRA does not scenarios that could possibly occur on observers to participate as evaluators. intend for the debriefing and critique the different segments of the railroad Evaluators should be given copies of the requirements of this section to apply (e.g., simulations of a derailment at a railroad’s emergency preparedness plan when an emergency situation involves remote location where emergency before the simulation is conducted, and only a motorist or pedestrian who has responder assistance is not immediately a preliminary meeting should be held to been injured or killed, and does affect available, an on-board fire inside a familiarize the evaluators with the drill the passengers onboard the train. In tunnel or on a bridge, a derailment or exercise and assign functional areas addition, a railroad cannot count its involving a freight train carrying a of concern for evaluation (e.g., activation of the emergency hazardous materials spill, etc.), Amtrak communications, evacuation times). preparedness plan under these can carefully design a program to fulfill Depending on the elaborateness of the circumstances for purposes of satisfying its overall emergency response needs. simulation, evaluators may also choose the emergency simulation requirements While we recognize that the term to use video cameras to record the of § 239.103. While a significant ‘‘business unit’’ represents the current sequence of events, actions of derailment with one or more injured organizational structure of Amtrak in personnel, and use of emergency passengers or a fire on a passenger train 1997, and have therefore incorporated equipment. would undoubtedly involve significant that concept into the proposed rule, The purpose of a debriefing and threats to passenger safety, and therefore FRA expects to craft a term for inclusion critique session is to review with require a debriefing and critique in the final rule that has broader railroad personnel the reports of session, the proposed rule leaves open applicability. evaluators, present comments or the question of what other types of While the proposal requires railroads observations from other persons, and to emergency situations would trigger the that provide intercity passenger train assess the need for any remedial action, requirements of this section. Since the service to conduct two emergency either to correct deficiencies or to threshold issue of what constitutes a simulations on each business unit or generally improve the effectiveness of ‘‘significant threat’’ to the safety or other major organizational element the emergency operations and health of one or more persons requiring during each calendar year, FRA seeks procedures. Persons responsible for immediate action has not been fully public comment on whether this conducting the sessions should be determined by either FRA or the number should be increased in the final instructed by the railroad to ask Working Group, FRA is seeking public rule. Commenters, especially those questions that will test emergency comment on what sorts of situations to representing members of the emergency preparedness procedures, assess include in the final rule under the response community, are encouraged to training, and evaluate equipment. After definition of ‘‘emergency’’ or discuss how their recommended a simulation, these persons should ‘‘emergency situation’’ set forth in minimum number of required debrief all participants (including proposed § 239.7. Federal Register / Vol. 62, No. 36 / Monday, February 24, 1997 / Proposed Rules 8349

The proposed rule does not require • Did on-board personnel identify either or both of the car vestibule side railroads to use a prescribed FRA form him/herself to the control center by doors from the normal key control or other specific document at the name and location? station in the car. If side-door debriefing and critique sessions, nor • Did on-board personnel report the emergency controls permit opening of does the proposed rule set forth specific number (approximate or actual, as only one sliding door, it could prove questions that railroads must ask after a appropriate) and status of the difficult to move certain individuals simulation or actual emergency. passengers? through it. Also, if the vestibule side However, as a result of whatever • Did on-board personnel make doors cannot be opened immediately means the railroad selects to ascertain audible, appropriate announcements to from either the inside or the outside, the effectiveness of its emergency passengers? How many minutes elapsed persons may panic and could be injured preparedness plan, paragraph (b) after the simulation or emergency began as others attempt to leave the car. requires the railroad to determine the before the first announcement was Commuter railroads have agreed to functional capabilities of the on-board made? FRA’s request that arrangements communications equipment, the • Did on-board personnel properly requiring hand tools (coins and pencils) timeliness of the required emergency operate the fire extinguishers? be retrofitted. Two railroads with notifications, and the overall efficiency • Did on-board personnel request significant numbers of affected cars are of the emergency responders and the deenergization of the third rail or already completing this work, and this emergency egress of the passengers. catenary power? issue will be separately addressed in the In order to achieve the goals of this • Did on-board personnel request the forthcoming NPRM on Passenger proposed section, and to comply with halting of train movements? Equipment Safety Standards. The the debriefing and critique • How long did it take for the first Passenger Equipment Safety Standards recordkeeping requirement of paragraph emergency response unit to arrive at the Working Group will be evaluating other (c), evaluators should be provided with emergency scene? improvements in door design and critique sheets, to be collected and used • How long did it take to completely operation. Paragraph 239.107(a) requires in the debriefing and critique sessions evacuate the train or right-of-way that all doors intended by a railroad to conducted by the railroads. At a structure or wayside facility and/or be used during an emergency situation minimum, whatever documentation the extinguish a fire (real or simulated)? be properly marked inside and outside, railroad selects to comply with In its comments on the revised and that the railroad post clear and paragraph (c) should contain the date(s) regulatory text, METROLINK stated that understandable instructions for their and location(s) of the simulation and the if a commuter railroad performs a use at the designated locations. debriefing and critique session, and tabletop exercise or simulation it cannot Paragraph 239.107(a)(1) requires that should include the names of all follow the criteria for a debriefing and the emergency egress exits be participants. Under the proposed rule, critique session set forth in this section. conspicuously and legibly marked on the critique sheets, or equivalent Specifically, METROLINK contends that the inside of the car with luminescent records, would then be maintained by during field drill and tabletop exercise material or be properly lighted. FRA the railroad at its system and applicable simulations the railroads usually do not realizes that during an emergency the division headquarters, and be made involve real passengers and do not main power supply to the passenger available for FRA inspection and notify the emergency responders via the cars may become inoperative and that copying during normal business hours. normal means of communication. crewmembers with portable flashlights FRA invites comments on whether the Moreover, the emergency responders do may be unavailable. Since lack of clear final rule should specify additional not respond with lights and sirens as identification or lighting could make it types of issues that must be addressed they would under real emergency difficult for passengers to find the by railroads at debriefing and critique conditions. emergency door exits, the proposed rule requires luminescent material on all sessions (in addition to the five issues 13. Emergency Exits: Section 239.107 required to be addressed in proposed emergency egress door exits (or paragraph (b)), or whether each railroad In the course of normal passenger secondary auxiliary lighting near these should retain some flexibility to develop train operations, persons enter and exit exits) to assist and speed passenger it own approach to conducting these passenger cars at a station platform egress from the train during an sessions. In this regard, FRA encourages through doors on the side of the train. emergency. The marking of the comments on the relative value of the However, when a disabled train cannot emergency door exits must be final rule requiring discussion and be moved to the nearest station, conspicuous enough so that a documentation of any or all of the alternative evacuation methods must be reasonable person, even while enduring following questions: employed. Emergency access to and the stress and panic of an emergency • Did on-board personnel try to egress from a passenger car may be evacuation, can determine where the initiate a radio call immediately? achieved through outside doors, end closest and most accessible emergency • How long did it take for on-board doors, and windows. In some route out of the car is located. In personnel to reach and inform the emergencies, such as when a fire is addition, while this proposed section control center of the emergency confined to a single passenger car, does not prescribe a particular brand, situation? persons may be moved through the end type, or color of luminescent paint or • What was the method of door(s) to an adjacent car. In other material that a railroad must use to notification to the control center? Was emergencies, transfer of all the identify an exit, FRA expects each the method an on-board radio or a passengers from the disabled train may railroad to select a material durable wayside radio (if equipped)? be required. enough to withstand the daily effects of • Was there adequate radio Not all passenger cars have vestibule passenger traffic, such as the contact communication equipment? Was it used side doors on both ends, and in some that occurs as passengers enter and properly? Did it work properly? equipment, operation of these doors has leave the cars. • Did on-board personnel know the required considerable effort, including Paragraph 239.107(a)(2) requires that proper emergency telephone number to hand tools. If a power loss occurs, the emergency door exits intended for call from the wayside telephone? crewmembers may be unable to open emergency access by emergency 8350 Federal Register / Vol. 62, No. 36 / Monday, February 24, 1997 / Proposed Rules responders for extrication of passengers perform these tasks in accordance with emergency window exits on its cars at be marked with retroreflective material, a specific timetable or methodology, least once during every 180 days to so that the emergency responders can except with respect to the periodic verify their proper operation. However easily distinguish them from the sampling requirement for emergency commenters are encouraged to address nonaccessible doors simply by shining window exits discussed below, FRA this issue by indicating whether the their flashlights or other portable expects each railroad to develop and sampling should occur on an annual lighting on the marking or symbol implement procedures for achieving the basis, or on a less frequent basis. selected by the railroad. Again, while goals of this paragraph. Visual Commenters are also urged, if possible, this proposed section does not prescribe inspections must be performed to provide scientific data and/or cost that a railroad use a particular brand, periodically to verify that no emergency estimates to support their suggested type, or color of retroreflective material exit has a broken release mechanism or sampling interval. to identify an access location, FRA other overt sign that would render it The inspection, maintenance, and expects each railroad to select a material unable to function in an emergency. repair records concerning emergency durable enough to withstand the daily Maintenance, including lubrication or window and door exits must be retained effects of weather and passenger scheduled replacement of depreciated at the system headquarters for the contact, and capable of resisting, to the parts or mechanisms, must be railroad and at the division extent possible, the effects of heat and performed in accordance with standard headquarters for each division where fire. If all doors are equally operable industry practice and/or manufacturer the inspections, maintenance, or repairs from the exterior, no designation would recommendations. All emergency exits are performed (i.e., the records be useful, nor would any be required. In that are found during the course of an availability must be division specific). a separate rulemaking, FRA’s Passenger inspection or maintenance cycle to be The records can consist of multiple Equipment Safety Standards Working broken, disabled, or otherwise incapable documents, and may contain separate Group (FRA Docket No. PCSS–1) will of performing their intended safety sections covering inspection, address appropriate requirements for function must be repaired before the maintenance, and repair or separate periodic maintenance and replacement railroad may return the car to passenger sections covering different types of of the emergency door exit markings. service. passenger equipment. Additionally, The proposed rule requires railroads Carrying forward requirements railroads must make these inspection, to post clear and understandable currently contained in FRA’s Emergency maintenance, and repair records instructions at designated locations Order No. 20, the proposed rule also available to duly authorized FRA describing how to operate the requires each railroad to periodically representatives for inspection and emergency door exits. This section does test a representative sample of copying (e.g., photocopying or not mandate that railroads use specific emergency window exits on its handwritten notetaking) during normal words or phrases to guide the passenger cars to verify their proper business hours. passengers and emergency responders. operation. The sampling of these METROLINK commented that in Instead, each railroad should evaluate emergency window exits must be order to avoid the unnecessary burden the operational characteristics of its conducted in conformity with either of of maintaining duplicate records, the emergency door exits, and select key two commonly recognized alternate rule should require railroads to store all words or diagrams that adequately methods, which will provide a degree of of the maintenance records for the inform the individuals who must use uniformity industry wide. Both methods emergency window and door exits at the them. While railroads are encouraged to require sampling meeting a 95-percent site of the inspections. In METROLINK’s post comprehensive instructions, FRA confidence level that all emergency case, that site would be the applicable also realizes that during an emergency window exits operate properly (i.e., the division headquarters, which is no more situation every additional moment methods do not accept a defect rate of than 15 miles from its system devoted to reading and understanding 5 percent). Rather than require railroads headquarters. METROLINK also noted access or egress information places lives to test all window exits on a specific that paragraph 239.107(c) does not at risk. In addition, FRA would already type or series of car if one car has a indicate for how long the inspection expect passengers and emergency defective window exit, the proposed records must be retained, and responders to be familiar with the rule permits the railroads to use recommended that since the current location and operation of the railroad’s commonly accepted sampling rule calls for major service inspections emergency door exits as a result of techniques to determine how many to be retained for 180 days (or until the emergency responder liaison activities additional windows to test. In general, next inspection is performed) the final and passenger awareness programs these principles require that the greater rule should establish a similar conducted in accordance with proposed the percentage of windows exits that a timeframe. § 239.101 (a)(5) and (a)(7). railroad finds defective, the greater the 14. Emergency Preparedness Plan; Paragraph (b) requires each railroad percentage of windows that the railroad Filing and Approval: Section 239.201 operating passenger train service to will have to test. Specifically, sampling properly consider the nature and must be conducted to meet a 95-percent Section 239.201 specifies the process characteristics of its operations and confidence level that no defective units for review and approval of each passenger equipment to plan for routine remain in the universe and be in accord railroad’s emergency preparedness plan and scheduled inspection, maintenance, with either Military Standard MIL– by FRA. The intent of the review and and repair of all windows and door exits STD–105(D) Sampling for Attributes or approval is to be constructive, rather intended for either emergency egress or American National Standards Institute than restrictive. It is anticipated that the rescue access by emergency responders. ANSI–ASQC Z1.4–1993 Sampling railroads will develop and implement In the case of emergency window exits, Procedures for Inspections by varied plans based upon the special the inspection, maintenance, and repair Attributes. Defective units must be circumstances involving their activities should be performed repaired before the passenger car is individual operations. Under the consistent with the requirements of part returned to service. proposal, FRA would also require that 223 of this chapter. While the proposed The proposal specifies that a railroad the railroad summarize its internal rule does not require railroads to must test a representative sample of discussions and deliberative processes Federal Register / Vol. 62, No. 36 / Monday, February 24, 1997 / Proposed Rules 8351 to explain how the railroad’s unique effect. FRA requests comment on handwritten notetaking) during normal and individual operating characteristics whether there are any categories of plan business hours. determined how each issue was finally amendments that should be permitted to 16. Operational (efficiency) tests: addressed in the emergency go into effect immediately, prior to Section 239.301 preparedness plan. Specifically, FRA review and approval, because they expects the railroad to include a review constitute improvements for which Section 239.301 contains the of the analysis that led to each element implementation delay should be requirement that railroads monitor the of the emergency preparedness plan it avoided. routine performance of employees who submits to FRA for approval, including All persons, such as contractors, who have individual responsibilities under a consideration of the expected perform any action on behalf of a the emergency preparedness plan to monetary costs and anticipated safety railroad will be required to conform to verify that the employee can perform benefits associated with each section of the emergency preparedness plans in the duties required under the plan in a the plan. effect on the railroads upon which they safe and effective manner. It permits the In its comments, METROLINK stated are working. Persons whose employees railroad to test proficiency by requiring that the term ‘‘analysis’’ in the phrase are working under a railroad’s approved the employee to complete a written or ‘‘shall include a summary of the emergency preparedness plan need not oral examination, an interactive training railroad’s analysis supporting each plan submit a separate plan to FRA for program using a computer, a practical element and describing how each review and approval. For example, if a demonstration of understanding and ability, or an appropriate combination of condition on the railroad’s property is railroad hires an outside independent these in accordance with this section. addressed in the plan’’ is vague and contractor to conduct an emergency This testing can also involve check rides lacking in direction. METROLINK then simulation pursuant to 49 CFR 239.103, and control center visits, along with asked whether FRA expects to receive a the contractor must perform this task in unannounced, covert observation of the cost benefit analysis, systems approach, accordance with the railroad’s plan. or safety value analysis. In addition, employees. However, if a freight railroad train crew This section requires a railroad to METROLINK questioned whether the operates a passenger train for a term ‘‘condition on the railroad’s keep a record of the date, time, place, commuter rail authority, the freight and result of each operational property’’ concerns elements of the plan railroad must coordinate the applicable such as earthquakes, wind, and power (efficiency) test that was performed in portions of its emergency preparedness accordance with its emergency outages. plan with the corresponding portions of FRA will conduct a review of each preparedness plan. Each record must the commuter rail authority’s, unless an identify the railroad officer plan so that there can be an open assignment of responsibility for discussion of the plan’s provisions from administering the test of each employee. compliance is made under 49 CFR Accordingly, by identifying the specific which all concerned parties can benefit. 239.101(a)(3). However, in order to ensure compliance data points that each record must The proposed rule does not with minimum plan requirements FRA provide, this section will promote the specifically call for the involvement of will review each plan in detail prior to examination of relevant information railroad employees or their approval and implementation. FRA from captured data sources, enabling representatives in the process of expects to involve members of the FRA to better determine the designing or reviewing the emergency Passenger Train Emergency effectiveness of a railroad’s emergency preparedness plan, because the Preparedness Working Group in preparedness plan. Written or electronic responsibility for having a plan that developing benchmark criteria for plan records must be kept of these conforms with this rule lies with the approvals to simplify plan development operational (efficiency) tests for one employer. However, it should be noted and approval. It is anticipated that this calendar year after the end of the year that the success of an emergency criteria will address program elements in which the test was conducted, preparedness plan will require the that include the following: available for inspection and copying by • Specific course content for training willing cooperation of all persons whose FRA during normal business hours. programs of on-board personnel, control duties or personal safety are affected by the plan. 17. Electronic recordkeeping: Section center personnel, and other key 239.303 employees; 15. Retention of Emergency • Minimum requirements for Preparedness Plan: Section 239.203 Section 239.303 authorizes railroads emergency exercises, including to retain their operational (efficiency) frequency and content of drills with The emergency preparedness plan test records by electronic recordkeeping, emergency responders and simulations and all subsequent amendments must be subject to the conditions set forth in that to determine rapidity of emergency retained at the system headquarters for provision. This provision provides an evacuations under varying scenarios; the railroad and at the division alternative for railroads retaining certain • Specific means for providing headquarters for each division where information, as required in proposed emergency safety information to the plan is in effect (i.e., the records § 239.301. FRA realizes that requiring passengers, similar to on-board briefings availability must be division specific). railroads to retain the information in provided in commercial aviation; The emergency preparedness plan may paper form would impose additional • Detailed requirements for tunnel consist of multiple documents or administrative and storage costs, and safety, including lighting and booklets and may contain separate that computer storage of these equipment; and sections covering the varying job documents would also enable railroads • Additional attention to emergency functions and plan responsibilities of to immediately update any amendments equipment, by prescribing types and on-board and control center personnel. to their operational testing programs. numbers of various kinds of equipment Additionally, railroads must make their Each participating railroad must have that may be useful under varying emergency preparedness plan records the essential components of a computer operating scenarios. available to duly authorized FRA system, i.e., a desktop computer and FRA will also review all plan representatives for inspection and either a facsimile machine or a printer amendments prior to their going into copying (e.g., photocopying or connected to retrieve and produce 8352 Federal Register / Vol. 62, No. 36 / Monday, February 24, 1997 / Proposed Rules records for immediate review. The in the database, each railroad must 12866 and DOT policies and procedures material retrieved in hard copy form indicate the source authorized to make (44 FR 11034; February 26, 1979). FRA must contain relevant information such changes. Each railroad must also has prepared and placed in the docket organized in usable format to render the designate who will be authorized to a regulatory analysis addressing the data completely understandable. The authenticate the hard copies produced economic impact of the proposed rule. documents must be made available for from the electronic format. In short, It may be inspected and photocopied at FRA inspection during normal business each railroad electing to electronically the Office of Chief Counsel, FRA, hours, which FRA interprets as the retain its records must ensure the Seventh Floor, 1120 Vermont Avenue, times and days of the week when integrity of the information and prevent N.W., in Washington, D.C. Photocopies railroads conduct their regular business possible tampering of data, enabling may also be obtained by submitting a transactions. Nevertheless, FRA reserves FRA to fully execute its enforcement written request to the FRA Docket Clerk the right to review and examine the responsibilities. at Office of Chief Counsel, Federal documents prepared in accordance with Regulatory Impact Railroad Administration, 400 Seventh the Passenger Train Emergency Street, S.W., Washington, D.C. 20590. Preparedness regulations at any Executive Order 12866 and DOT reasonable time if situations warrant. Regulatory Policies and Procedures As part of the benefit-cost analysis, Additionally, each railroad must FRA has assessed quantitative provide adequate security measures to This proposed rule has been measurements of costs and benefits limit employee access to its electronic evaluated in accordance with existing expected from the adoption of the data processing system and must policies and procedures. Due to the proposed rule. The Net Present Value prescribe who can create, modify, or intense public interest in the subject (NPV) of the total 20-year costs which delete data from the database. Although matter of the proposed rule, the the industry is expected to incur is FRA does not identify the management proposed rule is considered to be $4.285 million. Following is a position capable of instituting changes significant under both Executive Order breakdown of the costs by requirement.

Section Requirement Cost

239.101, 201, 203 .. Emergency Preparedness Plan (EPP) ...... $105,754 Control Center Notification ...... 957 On-board Personnel Training ...... 0 Control Center Personnel Training ...... 55,520 Joint Operations ...... 16,562 Parallel Operations ...... 1,297 Emergency Responder Liaison ÐProvide EPP to Responders ...... 12,741 ÐAwareness of Responder Capabilities ...... 56,928 On-board Emergency Equipment ÐOne Fire Extinguisher/Car ...... 147,801 ÐOne Pry Bar/Car ...... 92,066 ÐInstruction on Pry Bar Use ...... 242,868 Passenger Safety Awareness ÐPermanent On-board Procedures ...... 65,611 ÐPeriodic Reinforcement ...... 0 ÐAnnual Customer Surveys ...... 26,616 239.103, 105 ...... Passenger Train Emergency Simulations ...... 969,140 239.107 ...... Emergency Exits ÐMarkingÐInterior ...... 450,525 ÐMarkingÐExterior ...... 1,347,505 ÐInspection and Recordkeeping ...... 327,948 239.301 ...... Operational Efficiency Tests ...... 590,441

Total ...... 4,510,280

Each year there are passenger train fatalities were to be avoided over a appreciate receiving information and accidents which result in one or more twenty-year period then the rule would comments regarding the benefits that fatalities. In the last ten years there have be cost beneficial. Accordingly, while would result from complying with the been about seven passenger train FRA cannot predict with confidence the distinct requirements proposed. It accidents which resulted in a significant likelihood of particular accident should be noted that FRA expects total loss of life. FRA does not know how circumstances in which particular rule benefits to exceed total costs for the many commuter or intercity train elements will be useful, FRA believes proposed rule, and that the rule’s accidents will occur in the future. that it is reasonable to expect that the provisions are necessary components of Although the passenger rail industry has measures called for in this proposal FRA’s overall initiatives for passenger a very high level of safety, the potential would prevent or mitigate the severity train emergency preparedness. for injuries and loss of life in certain of injuries greater in value than the costs Included within the $4,510,280 total emergency situations is very high. FRA of developing and implementing cost figure are proposed requirements believes that the proposed rule emergency preparedness plans. for equipping each passenger car with a represents a cost-effective approach to Monetary benefit levels associated pry bar, marking and inspecting providing a reasonable level of with several of the proposed emergency exits, and providing protection against known threats to requirements are not estimated due to passengers with emergency situation human life, and that if only two lack of data. FRA would greatly procedures that will ensure that each Federal Register / Vol. 62, No. 36 / Monday, February 24, 1997 / Proposed Rules 8353 passenger is able to escape from a life cost associated with the requirements in a car would be afforded enough threatening situation on his or her own aimed at ensuring that in a life opportunity to escape safely is $1.2 initiative. The NPV of the twenty-year threatening situation passengers trapped million.

Section Requirement Cost

239.101 ...... Pry Bars ÐOne Pry Bar per Car ...... $ 92,066 ÐInstruction on Pry Bar Use ...... 242,868 Passenger Safety Awareness ÐPermanent Car Procedures ...... 65,611 ÐPeriodic Reinforcement ...... 0 Annual Customer Surveys ...... 26,616 239.107 ...... Marking Emergency ExitsÐInterior ...... 450,525 Inspection of Emergency Exits ...... 327,948

Total ...... 1,193,820

These costs would be justified if the Amtrak, individual commuter railroads, appropriate consultation with the next passenger train emergency and APTA. excursion railroad associations takes situation is handled in such a way that Entities impacted by the proposed place, emergency preparedness loss of life is contained. rule are governmental jurisdictions or requirements for these operations may As previously noted, FRA is allowing transit authorities, none of which are be proposed by FRA that are different 60 days for comments and invites public small for purposes of the United States from those affecting other types of comment on the issue of regulatory Small Business Administration (i.e., no passenger train operations. These impact. FRA seeks comment and/or data entity operates in a locality with a requirements may be more or less to help identify or quantify other factors population of under 50,000 people). onerous, or simply different in detail, that may affect the benefits or costs of Smaller commuter railroads will not be depending in part on the information the proposal, including alternatives that affected disproportionately. The level of gathered during FRA’s consultation were not explored by the Working costs incurred by each organization process. Group and any costs or benefits should vary in proportion to the associated with such alternatives. organization’s size. For instance, Paperwork Reduction Act railroads with fewer employees and Regulatory Flexibility Act fewer passenger cars will have lower The proposed rule contains The Regulatory Flexibility Act of 1980 costs associated with both employee information collection requirements. (5 U.S.C. 601 et seq.) requires an efficiency testing and emergency exit FRA has submitted these information assessment of the impacts of proposed inspections. collection requirements to the Office of rules on small entities. This proposed Smaller passenger rail operations Management and Budget (OMB) for rule affects intercity and commuter such as tourist, scenic, excursion, and review and approval in accordance with passenger railroads. Commuter railroads historic railroads are excepted from the the Paperwork Reduction Act of 1995 are part of larger transit organizations proposed rule. The proposed rule does (44 U.S.C. 3507(d) et seq.). FRA has that receive Federal funds. The not affect small entities. endeavored to keep the burden American Public Transit Association A joint FRA/industry working group associated with this proposal as simple (APTA) represents the interests of formed by the RSAC is currently and minimal as possible. The proposed commuter railroads in regulatory developing recommendations regarding sections that contain the new and/or matters. Further, the proposed standards the applicability of FRA regulations, revised information collection were developed by FRA in consultation including this one, to tourist, scenic, requirements and the estimated time to with a Working Group that included historic, and excursion railroads. After fulfill each requirement are as follows:

Respondent Total annual Total annual CFR section universe Total annual responses Average time per response burden hours burden cost

223..9d/ 239.107: A. Emergency egress ..... 17 RRs ...... 1,300 new decals ...... 4 minutes ...... 621 $18,630 4,575 replace decals ...... 7 minutes ...... 1,300 new decals ...... B. Emergency exits ...... 17 RRs ...... 6,320 new decals ...... 4 minutes ...... 824 24,720 ...... 7 minutes ...... 239.107(b) ...... 17 RRs ...... 1,800 tests ...... 20 minutes (18 minutes to 600 18,000 perform test and 2 minutes for recordkeeping). 239.101/239.201 ...... 17 RRs ...... 17 plans ...... 158 hours ...... 2,685 90,168 17 RRs ...... 17 amendments ...... 1.6 hours ...... 27 756 239.101 (1)(i) ...... 17 RRs ...... N/A ...... Usual and customary proce- N/A N/A dureÐNo new paperwork. 239.101 (1)(ii) ...... 17 RRs ...... N/A ...... Usual and customary proce- N/A N/A dureÐNo new paperwork. 239.101 (1)(ii) ...... 5 RRs ...... 5 updates of records ...... 1 hour ...... 5 140 239.101 (a)(3) ...... 33 RRs ...... 33 negotiations ...... 16 hours ...... 528 19,800 239.101 (a)(7)(ii) ...... 5 RRs ...... 1,300 passenger cars ...... 5 minutes per bulkhead card 108 2,808 8354 Federal Register / Vol. 62, No. 36 / Monday, February 24, 1997 / Proposed Rules

Respondent Total annual Total annual CFR section universe Total annual responses Average time per response burden hours burden cost

5 safety messages ...... 1 hour per RR to develop 5 190 safety message. 239.105 ...... 17 RRs ...... 66 records ...... 30 minutes per record ...... 33 924 239.301/ 239.303 ...... 17 RRs ...... 11,600 tests ...... 8 minutes per test ...... 1,547 58,786 239.101 (a)(5) ...... 16 RRs ...... 16 reponses to distribute info 2 hours ...... 32 896 to emergency responders. 1 RR (Am- 1 response to distribute info 100 hours ...... 100 2,800 trak). to emergency responders. 16 RRs ...... 16 updates of emergency re- 30 minutes per updated ...... 8 224 sponder records. 1RR (Am- 1 update of emergency re- 5 hours ...... 5 140 trak). sponder records.

All estimates include the time for of publication. The final rule will List of Subjects reviewing instructions; searching respond to any OMB or public 49 CFR Part 223 existing data sources; gathering or comments on the information collection maintaining the needed data; and requirements contained in this proposal. Railroad safety, Glazing standards. reviewing the information. Pursuant to FRA is not authorized to impose a 49 CFR Part 239 44 U.S.C. 3506(c)(2)(B), FRA solicits penalty on persons for violating comments concerning: whether these Railroad safety, Passenger train information collection requirements information collection requirements are emergency preparedness. which do not display a current OMB necessary for the proper performance of Request for Public Comments the functions of FRA, including whether control number, if required. FRA the information has practical utility; the intends to obtain current OMB control FRA proposes to amend part 223 and accuracy of FRA’s estimates of the numbers for any new information adopt a new part 239 of Title 49, Code burden of the information collection collection requirements resulting from of Federal Regulations, as set forth requirements; the quality, utility, and this rulemaking action prior to the below. FRA solicits comments on all clarity of the information to be effective date of a final rule. The OMB aspects of the proposed rule whether collected; and whether the burden of control number, when assigned, will be through written submissions, or collection of information on those who announced in the Federal Register. participation in the public hearing, or are to respond, including through the both. FRA may make changes in the Environmental Impact use of automated collection techniques final rule based on comments received or other forms of information FRA has evaluated these proposed in response to this notice. technology, may be minimized. For regulations in accordance with its The Proposed Rule information or a copy of the paperwork procedures for ensuring full In consideration of the foregoing, FRA package submitted to OMB, please consideration of the environmental contact Ms. Gloria Swanson at 202–632– proposes to amend chapter II of Title 49, impact of FRA actions, as required by Code of Federal Regulations as follows: 3318. the National Environmental Policy Act Organizations and individuals (42 U.S.C. 4321 et seq.), and related PART 223Ð[AMENDED] desiring to submit comments on the directives. This notice meets the criteria collection of information requirements that establish this as a non-major action 1. The authority citation for part 223 should submit their views in writing to for environmental purposes. is revised to read as follows: the Office of Management and Budget, Authority: 49 U.S.C. 20102–20103, 20105– Attention: Desk Officer for the Federal Federalism Implications 20114, 20133, 20701, 21301–21302, and Railroad Administration, Office and 21304; Sec. 215, Pub. L. No. 103–440, 108 Information and Regulatory Affairs, This proposed rule has been analyzed Stat. 4623–4624 (49 U.S.C. 20133); and 49 New Executive Office Building, 726 in accordance with the principles and CFR 1.49(c), (g), (m). criteria contained in Executive Order Jackson Place, N.W., Washington, D.C. 2. By revising § 223.5 to read as 12612, and it has been determined that 20503, and should also send a copy of follows: their comments to Ms. Gloria D. the proposed rule does not have Swanson, Federal Railroad sufficient federalism implications to § 223.5 Definitions. Administration, RRS–21.1, 400 Seventh warrant the preparation of a Federalism As used in this part— Street, S.W., Washington D.C. 20590. Assessment. The fundamental policy Caboose means a car in a freight train Copies of any such comments should decision providing that Federal intended to provide transportation for also be submitted to the docket of this regulations should govern aspects of crewmembers. rulemaking at the mailing address for service provided by municipal and Certified glazing means a glazing the Docket Clerk provided above. public benefit corporations (or agencies) material that has been certified by the OMB is required to make a decision of State governments is embodied in the manufacturer as having met the testing concerning the collection of information statute quoted above. FRA has made requirements set forth in Appendix A of requirements contained in this NPRM every effort to provide reasonable this part and that has been installed in between 30 and 60 days after flexibility to State-level decision making such a manner that it will perform its publication of this document in the and has included commuter authorities intended function. Federal Register. Therefore, a comment as full partners in development of this Designated service means exclusive to OMB is best assured of having its full proposed rule. operation of a locomotive under the effect if OMB receives it within 30 days following conditions: Federal Register / Vol. 62, No. 36 / Monday, February 24, 1997 / Proposed Rules 8355

(1) The locomotive is not used as an include rapid transit operations in an PART 239ÐPASSENGER TRAIN independent unit or the controlling unit urban area that are not connected to the EMERGENCY PREPAREDNESS is a consist of locomotives except when general railroad system of transportation moving for the purpose of servicing or and Subpart AÐGeneral Sec. repair within a single yard area; (2) A person that provides railroad (2) The locomotive is not occupied by 239.1 Purpose and scope. transportation, whether directly or by operating or deadhead crews outside a 239.3 Application. single yard area; and contracting out operation of the railroad 239.5 Preemptive effect. (3) The locomotive is stenciled to another person. 239.7 Definitions. ‘‘Designated Service—DO NOT 239.9 Responsibility for compliance. Rebuilt locomotive, caboose or 239.11 Penalties. OCCUPY’’. passenger car means a locomotive, Emergency opening window means caboose or passenger car that has Subpart BÐSpecific Requirements that segment of a side facing glazing undergone overhaul which has been 239.101 Emergency preparedness plan. location which has been designed to identified by the railroad as a capital 239.103 Passenger train emergency permit rapid and easy removal during a expense under Surface Transportation simulations. 239.105 Debriefing and critique. crisis situation. Board accounting standards. Emergency responder means a 239.107 Emergency exits. Side facing glazing location means qualified member of a police or fire Subpart CÐReview, Approval, and department, or other organization any location where a line perpendicular Retention of Emergency Preparedness involved with public safety, who to the plane of the glazing material Plans responds to a passenger train makes an angle of more than 50 degrees 239.201 Emergency preparedness plan; emergency. with the centerline of the locomotive, filing and approval. End facing glazing location means any caboose or passenger car. 239.203 Retention of emergency location where a line perpendicular to Windshield means the combination of preparedness plan. the plane of the glazing material makes individual units of glazing material of Subpart DÐOperational (Efficiency) Tests; a horizontal angle of 50 degrees or less the locomotive, passenger car, or Inspection of Records and Recordkeeping with the centerline of the locomotive, caboose that are positioned in an end 239.301 Operational (efficiency) tests. caboose or passenger car. Any location facing glazing location. 239.303 Electronic recordkeeping. which, due to curvature of the glazing material, can meet the criteria for either Yard is a system of auxiliary tracks Appendix A to Part 239ÐSchedule of Civil a front facing location or a side facing used exclusively for the classification of Penalties (Reserved) location shall be considered a front passenger or freight cars according to Authority: 49 U.S.C. 20102–20103, 20105– facing location. commodity or destination; assembling 20114, 20133, 21301, 21304, and 21311; Sec. Locomotive means a self-propelled of cars for train movement; storage of 215, Pub. L. No. 103–440, 108 Stat. 4623– unit of equipment designed primarily cars; or repair of equipment. 4624 (49 U.S.C. 20133); and 49 CFR 1.49 (c), (g), (m). for moving other equipment. It does not Yard caboose means a caboose that is include self-propelled passenger cars. used exclusively in a single yard area. Subpart AÐGeneral Locomotive cab means that portion of the superstructure designed to be Yard locomotive means a locomotive § 239.1 Purpose and scope. that is operated only to perform occupied by the crew while operating (a) The purpose of this part is to the locomotive. switching functions within a single yard area. reduce the magnitude and severity of Passenger car means a unit of rolling casualties in railroad operations by equipment intended to provide 3. In § 223.9, paragraph (d) is added ensuring that railroads involved in transportation for members of the to read as follows: passenger train operations can general public and includes self- § 223.9 Requirements for new or rebuilt effectively and efficiently manage propelled cars designed to carry passenger train emergencies. baggage, mail, express and passengers. equipment. Passenger train service means the * * * * * (b) This part prescribes minimum transportation of persons (other than Federal safety standards for the (d) Marking. Each railroad providing preparation, adoption, and employees, contractors, or persons passenger train service shall ensure that: riding equipment to observe or monitor implementation of emergency railroad operations) in intercity (1) All emergency windows are preparedness plans by railroads passenger service, commuter or other conspicuously and legibly marked with connected with the operation of short-haul service. luminescent material on the inside of passenger trains, and requires each Railroad means: each car to facilitate passenger egress. affected railroad to instruct its (1) Any form of non-highway ground Each railroad shall post clear and legible employees on the plan’s provisions. transportation that runs on rails or operating instructions at or near such This part does not restrict railroads from electromagnetic guideways, including: exits. adopting and enforcing additional or (i) Commuter or other short-haul rail more stringent requirements not (2) All windows intended for inconsistent with this part. passenger service in a metropolitan or emergency access by emergency suburban area and commuter railroad responders for extrication of passengers § 239.3 Application. service that was operated by the are marked with a retroreflective, Consolidated Rail Corporation on (a) Except as provided in paragraph unique, and easily recognizable symbol January 1, 1979, and (b), this part applies to all: (ii) High speed ground transportation or other clear marking. Each railroad (1) Railroads that operate intercity or systems that connect metropolitan areas, shall post clear and understandable commuter passenger train service on without regard to whether those systems window access instructions either at standard gage track which is part of the use new technologies not associated each window or at the car ends. general railroad system of with traditional railroads, but does not 4. Part 239 is added to read as follows: transportation; 8356 Federal Register / Vol. 62, No. 36 / Monday, February 24, 1997 / Proposed Rules

(2) Railroads that provide commuter department, or other organization § 239.9 Responsibility for compliance. or other short-haul rail passenger train involved with public safety, who Although the requirements of this part service in a metropolitan or suburban responds to a passenger train are stated in terms of the duty of a area [as described by 49 U.S.C. emergency. railroad, when any person, including a 20102(1)], including public authorities Emergency window means that contractor for a railroad, performs any operating passenger train service; and segment of a side facing glazing location function required by this part, that (3) Freight railroads hosting the which has been designed to permit person (whether or not a railroad) is operation of passenger train service rapid and easy removal in an emergency required to perform that function in described in paragraph (a)(1) or (a)(2) of situation. accordance with this part. this section. Joint operations means rail operations § 239.11 Penalties. (b) This part does not apply to: conducted by more than one railroad on (1) Rapid transit operations in an the same track regardless of whether Any person who violates any urban area that are not connected with such operations are the result of: requirement of this part or causes the the general railroad system of (1) Contractual arrangements between violation of any such requirement is transportation; the railroads; subject to a civil penalty of at least $500 and not more than $10,000 per (2) Operation of private cars, (2) Order of a governmental agency or violation, except that: Penalties may be including business/office cars and a court of law; or circus trains; or assessed against individuals only for (3) Any other legally binding (3) Tourist, scenic, historic, or willful violations, and, where a grossly directive. excursion operations, whether on or off negligent violation or a pattern of the general railroad system. Passenger train service means the repeated violations has created an transportation of persons (other than imminent hazard of death or injury to § 239.5 Preemptive effect. employees, contractors, or persons persons, or has caused death or injury, Under 49 U.S.C. 20106 [formerly riding equipment to observe or monitor a penalty not to exceed $20,000 per § 205 of the Federal Railroad Safety Act railroad operations) by railroad in violation may be assessed. Each day a of 1970 (45 U.S.C. 434)], issuance of intercity passenger service, commuter, violation continues shall constitute a these regulations preempts any State or other short-haul passenger service. separate offense. A person may also be law, rule, regulation, order, or standard Private car means a rail passenger car subject to the criminal penalties covering the same subject matter, except used to transport non-revenue provided for in 49 U.S.C. 21311 a provision necessary to eliminate or passengers on an occasional contractual (formerly codified in 45 U.S.C. 438(e)) reduce an essentially local safety basis, and includes business/office cars for knowingly and willfully falsifying hazard, that is not incompatible with and circus trains. reports required by this part. Appendix Federal law or regulation and does not Qualified means a status attained by A contains a schedule of civil penalty unreasonably burden interstate an employee who has successfully amounts used in connection with this commerce. completed any required training for, has part. demonstrated proficiency in, and has § 239.7 Definitions. been authorized by the employer to Subpart BÐSpecific Requirements As used in this part— perform the duties of a particular Adjacent rail modes of transportation position or function. § 239.101 Emergency preparedness plan. includes other railroads, trolleys, light Railroad means: (a) Each railroad to which this part rail, and heavy transit. (1) Any form of non-highway ground applies shall adopt and comply with Crewmember means a person, other transportation that runs on rails or written emergency preparedness plan than a passenger, who performs either: electromagnetic guideways, including: procedures for implementing each plan (1) On-board functions connected element, including those listed below. with the movement of the train or (i) Commuter or other short-haul rail (1) Communication. (i) Initial and on- (2) On-board service. passenger service in a metropolitan or board notification. An on-board Control center means a central suburban area and commuter railroad crewmember shall quickly and location on a railroad with service that was operated by the accurately assess the passenger train responsibility for directing the safe Consolidated Rail Corporation on emergency situation and then notify the movement of trains. January 1, 1979, and control center as soon as practicable by Division headquarters means the (ii) High speed ground transportation the quickest available means. The train location designated by the railroad systems that connect metropolitan areas, crewmember shall then inform the where a high-level operating manager without regard to whether those systems passengers about the nature of the (e.g., a superintendent, division use new technologies not associated emergency and indicate what corrective manager, or equivalent), who has with traditional railroads, but does not countermeasures are in progress. jurisdiction over a portion of the include rapid transit operations in an (ii) Notifications by control center. railroad, has an office. urban area that are not connected to the The control center shall promptly notify Emergency or emergency situation general railroad system of transportation outside emergency responders, adjacent means an unexpected event related to and rail modes of transportation, and the operation of passenger train service (2) A person that provides railroad appropriate railroad officials that a involving a significant threat to the transportation, whether directly or by passenger train emergency has occurred. safety or health of one or more persons contracting out operation of the railroad Each railroad shall designate an requiring immediate action. to another person. employee responsible for maintaining Emergency preparedness plan means Railroad officer means any current emergency telephone numbers one or more documents focusing on supervisory employee of a railroad. for use in making such notifications. preparedness and response in dealing System headquarters means the (2) Employee training and with a passenger train emergency. location designated by the railroad as qualification. (i) On-board personnel. Emergency responder means a the general office for the railroad The railroad’s emergency preparedness qualified member of a police or fire system. plan shall address individual employee Federal Register / Vol. 62, No. 36 / Monday, February 24, 1997 / Proposed Rules 8357 responsibilities, and provide for initial reflect readiness procedures designed to (iii) Maintenance. Each railroad’s and periodic training at least once every ensure passenger safety in an emergency emergency preparedness plan shall two years on the applicable plan situation occurring in a tunnel of 1,000 provide for scheduled maintenance and provisions, including, as a minimum: feet or more in length. The railroad’s replacement of on-board emergency (A) Rail equipment familiarization; emergency preparedness plan shall equipment and lighting. (B) Situational awareness; address, as a minimum, availability of (7) Passenger safety information. (i) (C) Passenger evacuation; emergency lighting, access to emergency General. Each railroad’s emergency (D) Coordination of functions; and evacuation exits, benchwall readiness, preparedness plan shall provide for (E) ‘‘Hands-on’’ instruction concerning ladders for detraining, effective radio or passenger awareness of emergency the location, function, and other communication between on-board procedures, to enable passengers to operation of on-board emergency crewmembers and the control center, respond properly during an emergency. equipment. and options for assistance from other (ii) Passenger awareness program (ii) Control center personnel. The trains. activities. Each railroad shall (ii) Other operating considerations. railroad’s emergency preparedness plan conspicuously and legibly post When applicable, the railroad’s shall require initial and periodic emergency instructions inside all emergency preparedness plan shall training at least once every two years of passenger cars (e.g., on car bulkhead address passenger train emergency responsible control center personnel on signs, seatback decals, or seat cards) and procedures involving operations on appropriate courses of action for each shall utilize one or more of the elevated structures, including following additional methods to provide potential emergency situation. drawbridges, and in electrified territory. (iii) Testing of on-board and control safety awareness information: (iii) Parallel operations. When (A) On-board announcements; center personnel. A railroad shall have applicable, the railroad’s emergency procedures for testing a person being (B) Laminated wallet cards; preparedness plan shall provide for (C) Ticket envelopes; evaluated for qualification under the coordination of emergency efforts where emergency preparedness plan. The (D) Timetables; adjacent rail modes of transportation (E) Station signs or video monitors; testing methods selected by the railroad run parallel to either the passenger (F) Public service announcements; or shall be: railroad or freight railroad hosting (G) Seat drops. (A) Designed to accurately measure an passenger operations. (iii) Passenger surveys. Each railroad individual employee’s knowledge of his (5) Liaison with emergency shall survey representative samples of or her responsibilities under the plan; responders. Each railroad to which this passengers at least once during each (B) Objective in nature; part applies shall establish and maintain calendar year to determine the (C) Administered in written form; and a working relationship with the on-line effectiveness of its passenger awareness (D) Conducted without reference to emergency responders by, as a open reference books or other materials program activities, and shall improve its minimum: program, as appropriate, in accordance except to the degree the person is being (i) Distributing applicable portions of tested on his or her ability to use such with the information developed. its current emergency preparedness plan (A) The survey shall be designed to reference books or materials. at least once every three years, or examine passenger awareness of the (iv) On-board staffing. Each passenger whenever the railroad materially location(s) on the passenger car of the train shall have a minimum of one on- changes its plan in a manner that could available safety information and verify board crewmember who is qualified reasonably be expected to affect the passenger knowledge of the safety under the applicable emergency railroad’s interface with the on-line procedures to be followed in the event preparedness plan’s provisions. emergency responders, whichever of an emergency. (3) Joint operations. (i) Each freight occurs earlier, including documentation (B) The railroad shall inform each railroad hosting passenger train service concerning the railroad’s equipment and surveyed passenger that completion of shall have an emergency preparedness the physical characteristics of its line, the survey is strictly voluntary. plan addressing its specific necessary maps, and the names and (C) Each railroad shall maintain responsibilities consistent with this telephone numbers of relevant railroad records of its passenger surveys at its part. officers to contact; system headquarters and applicable (ii) Each railroad that operates (ii) Maintaining an awareness of each division headquarters. These records passenger train service over the line of emergency responders’ capabilities; and shall be made available to a freight railroad shall coordinate the (iii) Inviting emergency responders to representatives of FRA for inspection applicable portions of its emergency participate in emergency simulations, and copying during normal business preparedness plan with the including tabletop exercises. hours. corresponding portions of the freight (6) On-board emergency equipment. (b) [Reserved] railroad’s emergency preparedness plan, (i) General. Each railroad’s emergency to ensure that an optimum level of preparedness plan shall designate the § 239.103 Passenger train emergency preparedness is achieved. Nothing in types of on-board emergency equipment simulations. this paragraph shall restrict the ability and indicate their location(s) on each (a) General. Each railroad operating of the railroads to provide for an passenger car. This equipment shall passenger train service shall conduct appropriate assignment of responsibility include, at a minimum: emergency simulations, either full-scale for compliance with this part among (A) One fire extinguisher per or tabletop exercises, in order to those railroads through a joint operating passenger car; determine its capability to execute the agreement or other binding contract. (B) One pry bar per passenger car; and emergency preparedness plan under the However, the assignor shall not be (C) One flashlight per on-board variety of scenarios that could relieved of responsibility for compliance crewmember. reasonably be expected to occur on its with this part. (ii) On-board emergency lighting. operation, and ensure coordination with (4) Special circumstances. (i) Tunnels. Consistent with the requirements of 49 all emergency responders who When applicable, the railroad’s CFR Part 238, auxiliary portable lighting voluntarily agree to participate in the emergency preparedness plan shall must be accessible. emergency simulations. 8358 Federal Register / Vol. 62, No. 36 / Monday, February 24, 1997 / Proposed Rules

(b) Frequency of the emergency (c) Records. Each railroad shall telephone number of the primary person simulations. Each railroad that provides maintain records of its debriefing and to be contacted with regard to review of commuter or other short-haul passenger critique sessions at its system the plan, and shall include a summary train service shall conduct a sufficient headquarters and applicable division of the railroad’s analysis supporting number of emergency simulations so headquarters. These records shall be each plan element and describing how that each major line will be included at made available to representatives of each condition on the railroad’s least once during every two calendar FRA for inspection and copying during property is addressed in the plan. Each years and the number of simulations normal business hours. subsequent amendment to a railroad’s performed during any given calendar emergency preparedness plan shall be year will include at least 50 percent of § 239.107 Emergency exits. filed with FRA not less than 60 days the total number of major lines. Each (a) Marking. Each railroad operating prior to the proposed effective date. railroad that provides intercity passenger train service shall ensure that (b) Approval. (1) Within 180 days of passenger train service shall conduct at each of the following occur. receipt of each initial plan, and within least two emergency simulations during (1) All door exits intended for 60 days in the case of a railroad each calendar year for each business emergency egress are either lighted or commencing or hosting passenger unit or other major organizational conspicuously and legibly marked with operations after the initial deadline for element. luminescent material on the inside of plan submissions, FRA will conduct a (c) Definition. As used in this section, the car. Each railroad shall post clear formal review of the emergency in the case of a railroad that provides and understandable instructions at or preparedness plan. FRA will then notify commuter or other short-haul passenger near such exits. the primary railroad contact person of train service, major line includes each (2) All door exits intended for the results of the review, whether the principal route and its branches. emergency access by emergency emergency preparedness plan has been (d) Actual emergency situations. responders for extrication of passengers approved by FRA, and if not approved, Provided that a railroad conducts a are marked with retroreflective material. the specific points in which the plan is debriefing and critique session meeting Each railroad shall post clear and deficient. If an emergency preparedness the requirements of § 239.105 of this understandable instructions at each plan is not approved by FRA, the subpart, a railroad may count the such door. railroad shall amend its plan to correct activation of its emergency (b) Inspection, maintenance, and all deficiencies (and provide FRA with preparedness plan during an actual repair. Consistent with the requirements a corrected copy) not later than 30 days emergency situation toward the of part 223 of this chapter, each railroad following receipt of FRA’s written minimum number of simulations operating passenger train service shall notice that the plan was not approved. required under this section. However, a provide for scheduled inspection, (2) FRA will review each proposed railroad may substitute the activation of maintenance, and repair of emergency plan amendment within 45 days of its emergency preparedness plan to window and door exits. Each railroad receipt. FRA will then notify the satisfy no more than 50 percent of the shall test a representative sample of primary railroad contact person of the total number of simulations required emergency window exits on its cars at results of the review, whether the under this section. least once every 180 days to verify their proposed amendment has been proper operation, and shall repair a approved by FRA, and if not approved, § 239.105 Debriefing and critique. defective unit before returning the car to the specific points in which the (a) General. Each railroad operating service. proposed amendment is deficient. The passenger train service shall conduct a (c) Records. Each railroad operating railroad shall correct any deficiencies debriefing and critique session after passenger service shall maintain records and file the corrected amendment prior each passenger train emergency of its inspection, maintenance, and to implementing the amendment. situation or simulation to determine the repair of emergency window and door (3) Following initial approval of a effectiveness of its emergency exits at its system headquarters and plan or amendment, FRA may reopen preparedness plan, and shall improve applicable division headquarters. These consideration of the plan or amendment and/or amend its plan, as appropriate, records shall be made available to for cause stated. in accordance with the information representatives of FRA for inspection developed. and copying during normal business § 239.203 Retention of emergency (b) Purpose of debriefing and critique hours. preparedness plan. information. The debriefing and critique Each railroad to which this part session shall be designed to determine, Subpart CÐReview, Approval, and applies shall retain one copy of its at a minimum: Retention of Emergency Preparedness emergency preparedness plan and one (1) Whether the on-board Plans copy of each subsequent amendment to communications equipment functioned its emergency preparedness plan at its properly; § 239.201 Emergency preparedness plan; filing and approval. system and division headquarters, and (2) The elapsed time between the shall make such records available to occurrence of the emergency situation (a) Filing. Each railroad to which this representatives of FRA for inspection or simulation and notification to the part applies shall file one copy of its and copying during normal business emergency responders involved; emergency preparedness plan with the hours. (3) Whether the control center Associate Administrator for Safety, promptly initiated the required Federal Railroad Administration, 400 Subpart DÐOperational (Efficiency) notifications; Seventh Street, S.W., Washington, D.C. Tests; Inspection of Records and (4) How quickly and effectively the 20590, not more than 180 days after (the Recordkeeping emergency responders responded after effective date of the final rule), or not notification; and less than 90 days prior to commencing § 239.301 Operational (efficiency) tests. (5) The efficiency of passenger egress passenger operations, whichever is later. (a) Each railroad to which this part from the car through the emergency The emergency preparedness plan shall applies shall periodically conduct exits. include the name, title, address, and operational (efficiency) tests of its on- Federal Register / Vol. 62, No. 36 / Monday, February 24, 1997 / Proposed Rules 8359 board and control center employees to available to representatives of FRA for format for immediate review by FRA determine the extent of compliance with inspection and copying during normal representatives; its emergency preparedness plan. business hours. (4) The railroad has a designated representative who is authorized to (b) Each railroad to which this part § 239.303 Electronic recordkeeping. applies shall maintain a record of the authenticate retrieved information from (a) Each railroad to which this part date, time, place, and result of each the electronic system as true and applies is authorized to retain by operational (efficiency) test that was accurate copies of the electronically electronic recordkeeping the performed in accordance with kept records; and information prescribed in § 239.301, paragraph (a) of this section. Each (5) The railroad provides provided that all of the following record shall specify the name of the representatives of FRA with immediate conditions are met: access to these records for inspection railroad officer who administered the (1) The railroad adequately limits and and copying during normal business test and the name of each employee controls accessibility to such hours and provides printouts of such tested. The conduct of the test shall be information retained in its database records upon request. documented in writing and the system and identifies those individuals documentation shall contain sufficient who have such access; (b) [Reserved] information to identify the relevant facts (2) The railroad has a terminal at the Appendix A to Part 239—Schedule of relied on for evaluation purposes. system headquarters and at each Civil Penalties [Reserved] (c) These records shall be retained at division headquarters; the system headquarters of the railroad (3) Each such terminal has a desk-top Issued in Washington, D.C., on February and at the division headquarters for computer (i.e., monitor, central 19, 1997. each division where the tests are processing unit, and keyboard) and Jolene M. Molitoris, conducted for one calendar year after either a facsimile machine or a printer Federal Railroad Administrator. the end of the calendar year to which connected to the computer to retrieve [FR Doc. 97–4489 Filed 2–21–97; 8:45 am] they relate. These records shall be made and produce information in a usable BILLING CODE 4910±06±P