Vol. 80 Monday, No. 234 December 7, 2015

Part III

Department of Transportation

Federal Railroad Administration 49 CFR Part 238 Passenger Train Exterior Side Door Safety; Final Rule

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DEPARTMENT OF TRANSPORTATION to http://www.regulations.gov, including 10. Malfunctioning Equipment and Door any personal information provided. By-Pass Federal Railroad Administration Please see the Privacy Act heading in 11. Effects of Throttle Use on Powered Exterior Side Doors the SUPPLEMENTARY INFORMATION section 49 CFR Part 238 12. Mixed Consist Operation of this document for Privacy Act 13. Operating Rules [Docket No. FRA–2011–0063, Notice No. 2] information for any submitted V. Section-by-Section Analysis comments, petitions, or materials. VI. Regulatory Impact and Notices RIN 2130–AC34 Docket: For access to the docket to A. Executive Orders 12866 and 13563 and read background documents, any DOT Regulatory Policies and Procedures Passenger Train Exterior Side Door petition for reconsideration submitted, B. Regulatory Flexibility Act and Executive Safety or comments received, go to http:// Order 13272; Certification of No Significant Economic Impact on a AGENCY: Federal Railroad www.regulations.gov at any time or visit Substantial Number of Small Entities Administration (FRA), Department of the Docket Management Facility, U.S. Department of Transportation, 1200 C. Paperwork Reduction Act Transportation (DOT). D. Federalism Implications ACTION: Final rule. New Jersey Avenue SE., Room W12–140 E. International Trade Impact Assessment on the Ground level of the West F. Environmental Impact SUMMARY: This final rule will improve Building, between 9 a.m. and 5 p.m., G. Executive Order 12898 (Environmental the integrity of passenger train exterior Monday through Friday, except Federal Justice) side door safety systems and promote holidays. H. Executive Order 13175 (Tribal passenger train safety overall through FOR FURTHER INFORMATION CONTACT: Pete Consultation) new safety standards for the safe Lapre´, Railroad Safety Specialist, I. Unfunded Mandates Reform Act of 1995 operation and use of passenger train Passenger Rail Division, U.S. J. Energy Impact K. Privacy Act exterior side doors. This final rule will Department of Transportation, Federal L. Analysis Under 1 CFR Part 51 limit the number and severity of injuries Railroad Administration, Office of involving passenger train exterior side Railroad Safety, Mail Stop 25, West I. Executive Summary doors and enhance the level of safety for Building 3rd Floor, 1200 New Jersey Having carefully considered the passengers and train crewmembers. Avenue SE., Washington, DC 20590 public comments in response to FRA’s DATES: This final rule is effective (telephone: 845–216–5794); or Brian March 26, 2014, proposed rule on February 5, 2016. The incorporation by Roberts, Trial Attorney, U.S. passenger train exterior side door safety, reference of certain publications listed Department of Transportation, Federal see 79 FR 16978, FRA issues this final in the rule is approved by the Director Railroad Administration, Office of Chief rule amending the Passenger Equipment of the Federal Register as of February 5, Counsel, Mail Stop 10, West Building Safety Standards, 49 CFR part 238. This 2016. Petitions for reconsideration must 3rd Floor, 1200 New Jersey Avenue SE., final rule establishes new requirements be received on or before February 5, Washington, DC 20590 (telephone: 202– to improve the integrity of passenger 2016. Comments in response to 493–6052). train exterior side door safety systems petitions for reconsideration must be SUPPLEMENTARY INFORMATION: and promote passenger train safety received on or before March 21, 2016. Table of Contents for Supplementary overall through new safety standards for ADDRESSES: Petitions for reconsideration Information the safe operation and use of passenger and comments on petitions for train exterior side doors (also sometimes reconsideration: Petitions for I. Executive Summary referred to in this rulemaking as ‘‘doors’’ reconsideration or comments on II. Statutory and Regulatory Background and ‘‘side doors’’). Through the new A. Passenger Equipment Safety Standards petitions for reconsideration related to Background requirements in this final rule, FRA Docket No. FRA–2011–0063, Notice No. B. The Need for New Design Standards and intends to limit the number and severity 2, may be submitted by any of the Operating Practices for Exterior Side of injuries associated with the use and following methods: Doors on Passenger Train Equipment operation of passenger train exterior • Web site: The Federal eRulemaking C. RSAC Overview side doors and increase the overall level Portal, www.regulations.gov. Follow the D. Passenger Safety Working Group and of safety for passengers and train Web site’s online instructions for General Passenger Safety Task Force crewmembers. III. Discussion of Specific Comments and This final rule is based on submitting comments, to include Conclusions petitions for reconsideration. IV. Technical Background recommended language developed by • Fax: 202–493–2251. A. Overview the Railroad Safety Advisory • Mail: Docket Management Facility, B. Scope of FRA Safety Assessment of Committee’s (RSAC) General Passenger U.S. Department of Transportation, 1200 Passenger Railroads Safety Task Force (Task Force) and New Jersey Avenue SE., Room W12– C. Uses of Passenger Car Exterior Side includes new requirements for both 140, Washington, DC 20590. Doors powered and manual exterior side doors • Hand Delivery: Docket Management D. Types of Passenger Car Exterior Side and door safety systems on passenger Doors Facility, U.S. Department of E. Exterior Side Door Configurations and trains. Operating rules for train crews Transportation, 1200 New Jersey Operation relating to exterior side doors and their Avenue SE., Room W12–140 on the F. Assessment Findings safety systems on passenger trains and Ground level of the West Building, 1. Door Position new definitions for this part are also between 9 a.m. and 5 p.m., Monday 2. Door Control Panels included in this final rule. In addition, through Friday, except Federal holidays. 3. FMECA this final rule incorporates by reference Instructions: All submissions must 4. Power Door Status American Public Transportation include the agency name and docket 5. No-Motion Circuit Association (APTA) Standard PR–M–S– 6. End-of-Train Circuit number or Regulatory Identification 7. Door Safety Features 18–10, ‘‘Standard for Powered Exterior Number (RIN) for this rulemaking 8. Traction Inhibit Side Door System Design for New (2130–AC34). Note that all comments 9. Malfunctioning Equipment and Door Passenger Cars’’ (February 11, 2011), received will be posted without change Lock-Out which contains a set of minimum

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standards for powered exterior side door primary contributor to the estimated responsibilities to the Administrator of systems and door system functioning on costs is the train crew’s task of verifying FRA. See 49 CFR 1.89. new rail passenger cars and locomotives that the door by-pass devices on the FRA formed the Passenger Equipment used in passenger service. train are sealed in the normal non-by- Safety Standards Working Group to Other requirements established by pass mode, an operating rule provide FRA with advice in developing this final rule include, but are not requirement. The door by-pass devices the regulations Congress mandated, and limited to: Equipping new passenger are used to override door safety systems on May 12, 1999, published a final rule cars with powered exterior side doors in certain circumstances, for example, containing a set of comprehensive safety with an obstruction detection system; allowing a train to develop tractive standards for railroad passenger connecting new passenger cars (with power and complete its route. The equipment. See 64 FR 25540. After either manual or powered exterior side second greatest cost factor is the publication of the final rule, interested doors) to a door summary circuit to estimated cost to implement some of the parties filed petitions seeking FRA’s prohibit the train from developing door safety features on new passenger reconsideration of certain requirements tractive power if any of the exterior side cars with either powered or manual in the rule and on June 25, 2002, FRA doors are open; requiring safety doors and locomotives used in completed its response to the petitions briefings for train crews to identify passenger service. The estimated costs for reconsideration. See 67 FR 42892. crewmember responsibilities for the safe over the 20-year period of analysis total The product of that rulemaking was operation of exterior side doors; $15.2 million undiscounted, with a codified primarily at 49 CFR part 238 operating passenger trains with their present value of about $8.3 million and secondarily at 49 CFR parts 216, exterior side doors and trap doors calculated using a 7-percent discount 223, 229, 231, and 232. closed when in motion between rate, and a present value of about $11.5 One of the purposes of the Passenger stations, except in limited million calculated using a 3-percent Equipment Safety Standards is circumstances or with FRA prior discount rate. The rule incurs relatively protecting the safety of passenger train approval; and requiring railroads to small costs because most of the initial occupants in an emergency, including develop operating rules on how to safely burdens are expected from changes to providing for emergency egress and operate the exterior side doors of a railroad operating rules. The design rescue access through exterior side passenger train with incompatible standards for door safety systems apply doors. See 49 CFR 238.235 and 238.439. exterior side door safety systems and to new passenger cars and locomotives FRA has engaged in rulemaking to how to safely override a door summary used in passenger service where they amend the Passenger Equipment Safety circuit or a no-motion system, or both, can be installed cost-effectively. Standards, and notably, on February 1, when an exterior side door failure or These costs and benefits result in net 2008, FRA published a final rule on malfunction occurs. positive benefits over 20 years of about Passenger Train Emergency Systems FRA analyzed the economic impacts $68.7 million undiscounted, with a addressing: Emergency communication, of this final rule against a ‘‘no action’’ present value of $35.0 million emergency egress, and rescue access. baseline that reflects what would calculated using a 7-percent discount See 73 FR 6370. FRA has also happen in the absence of this final rule. rate, and present value of $50.2 million established additional requirements for FRA expects the requirements for the calculated using a 3-percent discount passenger train emergency systems, operating rules and adopted APTA rate. including doors used for emergency standard for new equipment to prevent egress and rescue access. See Passenger on average about 19 injuries and 0.20 II. Statutory and Regulatory Train Emergency Systems II final rule fatalities per year in the future based on Background published on November 29, 2013, 78 FR similar incidents in the past. The A. Passenger Equipment Safety 71785. However, these subsequent estimated benefits from these prevented Standards Background proceedings have not focused on the casualties over a 20-year period total safety of doors systems in non- $83.9 million undiscounted; these In September 1994, the U.S. Secretary emergency situations. estimated benefits have a present value of Transportation (Secretary) convened B. The Need for New Design Standards of $43.3 million calculated using a 7- a meeting of representatives from all percent discount rate, and a present sectors of the rail industry with the goal and Operating Practices for Exterior value of $61.7 million calculated using of enhancing rail safety. As one of the Side Doors on Passenger Train a 3-percent discount rate. Given that initiatives arising from this Rail Safety Equipment some procedural and equipment errors Summit, the Secretary announced that FRA’s principal reason for issuing this may still occur in the future, the DOT would begin developing safety final rule is to reduce the number and analysis assumes a 50-percent standards for rail passenger equipment severity of injuries caused by exterior effectiveness rate in preventing these over a five-year period. In November side doors striking or trapping types of injuries and fatalities when 1994, Congress adopted the Secretary’s passengers as they board or alight from estimating monetary benefits. In schedule for implementing rail passenger trains in non-emergency addition, there may be other benefits passenger equipment safety regulations situations. FRA has observed that from the final rule, such as fewer and included it in the Federal Railroad incidents involving exterior side doors passenger claims for personal property Safety Authorization Act of 1994 (Act), in routine use on passenger trains have damage, maintaining passenger Public Law 103–440, 108 Stat. 4619, previously resulted in casualties and goodwill and trust, and by lowering 4623–4624 (November 2, 1994). serious injuries. future maintenance costs (by Congress also authorized the Secretary For example, on November 21, 2006, encouraging the replacement of older to consult with various organizations a New Jersey Transit Rail Operations equipment with new passenger cars involved in passenger train operations (NJT) train was departing a station in equipped with more reliable door safety for purposes of prescribing and Bradley Beach, New Jersey, when the systems). amending these regulations and issuing closing exterior side doors of the train FRA also quantified the incremental orders under them. Section 215 of the caught and held a passenger attempting burden of the final rule upon commuter Act (codified at 49 U.S.C. 20133). The to exit the train. The passenger was then and intercity passenger railroads. The Secretary has delegated such dragged by the train along the station

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platform as the train was leaving the train. A fellow passenger inside the doors. The Task Force, a subgroup of the station. The passenger died as a result train was able to flip the door’s RSAC Passenger Safety Working Group of his injuries. emergency switch just as the train began (Working Group), was assigned to Through its investigation of the to move. As a result, the trapped develop these recommendations. incident, FRA found that the train’s passenger was released and avoided The Task Force was already reviewing assistant conductor was not in the being dragged down the station passenger station gap issues in April proper position to monitor all the train’s platform. A similar incident occurred on 2007 when it was assigned this task. exterior side doors as they were closing. a Metra train on December 19, 2009, The Task Force then assembled the Specifically, the assistant conductor when a four-year-old boy’s boot became Passenger Door Safety Subgroup (Door could not see the passenger exit through caught in the exterior side doors when Safety Subgroup) to develop a door behind where the assistant alighting from the train. The child’s recommended regulatory language to conductor was located. The assistant mother had to pull the child’s leg free improve the safety of exterior side door conductor also did not observe the door- from the train doors as the train was systems on passenger trains. FRA shared indicator lights on the door control leaving the station. with RSAC its initial findings that many panel which indicated that the exterior As a result of these types of incidents, passenger railroads in the Northeast side doors on the passenger car were not Metra changed its operating rules to were not operated with fully-functional all closed as intended. In addition, FRA require a ‘‘second look’’ up and down passenger train exterior side door safety learned the train was being operated each train before departing a station. systems, and FRA then conducted in- with its door by-pass switch activated, This operating rule requires the person assessments of the exterior side negating the passenger car’s door safety conductor to close all exterior side door safety systems on a total of 24 system, which was designed to reopen doors on the train, except the door in passenger railroads throughout the the exterior side doors after detecting an which he or she is standing, to take a Nation. During those assessments, FRA obstruction. second look up and down the station reviewed many different models of As a result of this incident, NJT platform to make sure all the train’s passenger equipment and gained reviewed its operating rules and limited exterior side doors are closed and clear important information about the risks to the use of the door by-pass feature in its of passengers. After the second look, the passengers and train crews associated passenger train operations. conductor may then close his or her with the operation and use of passenger Contemporaneously, FRA issued Safety open door and signal to the train’s train exterior side doors. FRA shared Advisory 2006–05, ‘‘Notice of Safety engineer to depart the station. this information with the Door Safety Advisory: Passenger Train Safety— Since the issuance of the NPRM for Subgroup, which met a total of nine Passenger Boarding or Alighting from this rulemaking in March 2014, there times from 2008 to 2011. Trains’’ (71 FR 69606, Dec. 1, 2006). The have been other injuries involving Through its meetings, the Door Safety safety advisory recommended that passengers and exterior side doors. The Subgroup developed proposed passenger railroads reassess their rules Massachusetts Bay Transportation regulatory language to improve the safe and procedures to make certain that Authority (MBTA) reported to FRA that use and operation of exterior side doors trains do not depart a station until all in June 2014 an MBTA passenger got his on passenger trains. The Task Force passengers have successfully boarded or luggage stuck in the closing exterior side approved the consensus language on alighted from the train. The safety doors of the train and was subsequently February 25, 2011, which was then advisory also noted the important role injured when the train started to move. adopted by the Working Group and full of passenger train crews in the safe When the train started to leave the Committee on March 31, 2011, and May operation of a train after a door by-pass station platform, the passenger 20, 2011, respectively. switch has been activated. FRA sustained injuries after he was dragged While the Door Safety Subgroup was encouraged passenger railroads to by the train a total of 30 to 40 feet before developing proposed regulatory voluntarily implement the falling. language, APTA developed and recommendations of the safety advisory. In addition, Peninsula Corridor Joint approved Standard SS–M–18–10, Subsequently, there have been other Powers Board (Caltrain) reported to FRA ‘‘Standard for Powered Exterior Side instances where passengers have an incident that occurred in October Door System Design for New Passenger become trapped in the exterior side 2014 where a passenger was injured Cars.’’ Subsequent to RSAC’s approval doors of trains. In one instance, on after she put her hand in the closing of the consensus recommendations that February 2, 2007, a local police officer exterior side door of a passenger train at form the basis of this final rule, APTA witnessed a passenger stuck between the Burlingame Station in San Mateo, changed its numbering nomenclature for the exterior side doors of a moving Long California. The train’s passenger door its safety standards, which resulted in Island Rail Road (LIRR) train at a station safety system did not work as intended the numbering of this standard changing in New York City, New York. As a and the passenger got her hand caught from SS–M–18–10 to PR–M–S–18–10 result, the passenger’s right leg was in the closing door and it did not re- without changing the substantive dragged on the tactile strip of the station open. As a result, the passenger was content of the standard. Thus, this platform, causing abrasions to the dragged by the train approximately 10 standard is identified as PR–M–S–18–10 passenger’s leg. The police officer feet. in this final rule. This APTA standard stopped the train and pulled the Based on these types of incidents, and contains minimum standards for passenger free from the exterior side other findings and concerns, including powered exterior side door systems and doors. initial findings from assessing the safety door system function on new rail Other instances were ‘‘close calls’’ in of exterior side door systems on passenger cars because APTA designed which passengers narrowly avoided passenger railroads in the northeast it to be used in specifications for the injury. On March 4, 2011, in La Grange, region of the United States, FRA tasked procurement of new passenger cars. The Illinois, a passenger’s arm and cane got RSAC to review Safety Advisory 2006– standard addresses door system design caught in the closing exterior side doors 5 and develop recommendations for requirements at the door level, car level, of a Northeast Illinois Regional new safety standards to improve and train level. Non-powered doors and Commuter Railroad Corporation (Metra) passenger and crewmember safety for other types of doors on passenger cars train while attempting to board the the operation and use of exterior side that are not exterior side doors are not

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covered by APTA’s standard. This final individual task force then provides that After being assigned its task by the rule incorporates by reference this information to the working group for Working Group, the Task Force APTA standard for powered exterior consideration. When a working group assembled the Door Safety Subgroup to side door safety systems on new comes to unanimous consensus on develop recommended regulatory passenger cars and connected door recommendations for action, the language to improve the safety of safety systems on new locomotives used package is presented to the full exterior side door systems on passenger in passenger service. A copy of this Committee for a vote. If RSAC is unable trains. The Door Safety Subgroup APTA standard is included in the to reach consensus on a consisted of Task Force members who docket of this rulemaking for public recommendation for action, the task is were interested in addressing the risks review. withdrawn and FRA determines the best associated with the operation and use of course of action. If the proposal is exterior side doors on passenger C. RSAC Overview accepted by a simple majority of RSAC, equipment. The Door Safety Subgroup In March 1996, FRA established the proposal is formally recommended met during scheduled Task Force RSAC as a forum for collaborative to the Administrator of FRA. FRA then meetings.4 rulemaking and program development. determines what action to take on the To aid the Task Force with its RSAC includes representatives from all recommendation. Because FRA staff delegated task, FRA’s Office of Chief of the agency’s major stakeholder members play an active role at the Counsel, in conjunction with FRA’s groups, including railroads, labor working group level discussing the Office of Railroad Safety, typically organizations, suppliers and issues and options and drafting the drafted proposed regulatory text for manufacturers, and other interested language of the consensus proposal, discussion purposes at Door Safety parties.1 To the maximum extent FRA is often favorably inclined toward Subgroup meetings. Door Safety practicable, FRA utilizes RSAC to the RSAC recommendation. However, Subgroup members would then offer provide consensus recommendations FRA is not bound to follow the suggested changes to this proposed draft with respect to both proposed and final recommendation and the agency text. Staff from DOT’s John A. Volpe agency action. When appropriate, FRA exercises its independent judgment on National Transportation System Center assigns a task to RSAC, and after whether the recommended rule achieves also attended these meetings and consideration and debate, RSAC may the agency’s regulatory goal(s), is contributed to the discussions. Minutes accept or reject the task. If RSAC accepts soundly supported, and is consistent of each meeting are part of the docket the task, it establishes a working group with policy and legal requirements. in this proceeding and are available for with the appropriate expertise and Often, FRA varies in some respects from public inspection. representation of interests to develop the RSAC recommendation when Through these various discussions, recommendations to FRA for action on developing the actual regulatory the Door Safety Subgroup developed the task. These recommendations are proposal or final rule. FRA notes and proposed regulatory language which the developed by consensus. A working explains any such variations in the Task Force accepted as a group may establish one or more task rulemaking it issues recommendation to the Working Group forces to develop facts and options on on February 25, 2011. The Task Force’s D. Passenger Safety Working Group and a particular aspect of a given task. The consensus language was then General Passenger Safety Task Force subsequently approved by the Working 1 A list of RSAC member groups includes the In May 2003, RSAC established the Group on March 31, 2011. The following: American Association of Private Railroad Working Group to handle the task of consensus language was then presented Car Owners (AAPRCO); American Association of reviewing passenger equipment safety State Highway and Transportation Officials before the full Committee on May 20, (AASHTO); American Chemistry Council; needs and programs as well as 2011, where it was approved by American Petroleum Institute; American Short Line developing recommendations for unanimous vote. Thus, the Working and Regional Railroad Association (ASLRRA); specific actions to advance the safety of Group’s recommendation was adopted American Train Dispatchers Association (ATDA); rail passenger service.2 APTA; Association of American Railroads (AAR); by the full Committee as the Association of Railway Museums; Association of In September 2006, the Working recommendation to FRA. State Rail Safety Managers (ASRSM); Brotherhood Group established the Task Force In the March 26, 2014 NPRM, FRA of Locomotive Engineers and Trainmen (BLET); principally to examine the following proposed adding some regulatory text Brotherhood of Maintenance of Way Employes issues: (1) Exterior side door that was not expressly part of the Division (BMWED); Brotherhood of Railroad securement; (2) passenger safety in train Signalmen (BRS); Chlorine Institute; Federal Transit RSAC’s consensus recommendation. For 3 Administration (FTA); * Fertilizer Institute; High stations; and (3) system safety plans. instance, for the benefit of the regulated Speed Ground Transportation Association; Institute community, in proposed § 238.131(c), of Makers of Explosives; International Association 2 Members of the Working Group, in addition to FRA identified other sections in part of Machinists and Aerospace Workers; International FRA, include the following: AAR, including Brotherhood of Electrical Workers; Labor Council members from BNSF Railway Company (BNSF), for Latin American Advancement; * League of CSX Transportation, Inc. (CSXT), and Union Pacific Railway Co., and UP; AASHTO; Amtrak; APTA, Railway Industry Women; * National Association of Railroad Company (UP); AAPRCO; AASHTO; including members from Alaska Railroad Railroad Passengers (NARP); National Association Amtrak; APTA, including members from Corporation, Caltrain, LIRR, MBTA, Metro-North, of Railway Business Women; * National Conference Bombardier, Inc., Herzog Transit Services, Inc., MTA, NJT, New Mexico Rail Runner Express, Port of Firemen & Oilers; National Railroad Construction Interfleet Technology, Inc. (Interfleet, formerly LDK Authority Trans-Hudson, SEPTA, Metrolink, and and Maintenance Association (NRCMA); National Engineering, Inc.), LIRR, Maryland Transit Utah Transit Authority; ASLRRA; ATDA; BLET; Railroad Passenger Corporation (Amtrak); National Administration (MTA), Metro-North Commuter FTA; NARP; NRCMA; NTSB; Transport Canada; Transportation Safety Board (NTSB); * Railway Railroad Company (Metro-North), Metra, Southern and UTU. Supply Institute (RSI); Safe Travel America (STA); California Regional Rail Authority (Metrolink), and 4 The Task Force met on the following dates and Secretaria de Comunicaciones y Transporte; * Sheet Southeastern Pennsylvania Transportation in the following locations to discuss passenger train Metal Workers International Association (SMWIA); Authority (SEPTA); ASLRRA; BLET; BRS; FTA; exterior side door safety: April 23–24, 2008, in San Tourist Railway Association, Inc.; Transport NARP; NTSB; RSI; SMWIA; STA; TCIU/BRC; TSA; Diego, CA; July 29–30, 2008, in Cambridge, MA; Canada; * Transport Workers Union of America TWU; and UTU. December 2, 2008, in Cambridge, MA; March 3, (TWU); Transportation Communications 3 Members of the Task Force include 2009, in Arlington, VA; April 21, 2009, in International Union/BRC (TCIU/BRC); representatives from various organizations that are Washington, DC; May 27–28, 2009, in Cambridge, Transportation Security Administration (TSA); * part of the larger Working Group and, in addition MA; July 7–8, 2009, in Philadelphia, PA; October and United Transportation Union (UTU). to FRA, include the following: AAR, including 6–8, 2009, in Orlando, FL; and February 24–25, * Indicates associate, non-voting membership. members from BNSF, CSXT, Norfolk Southern 2011, in Washington, DC.

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238 that include substantive door safety stations, and whether a specific safety Section IV.A, for an overview of trap requirements. FRA also clarified that all procedure would be an allowable doors). SEPTA noted that, in a letter to exterior side doors on new intercity exception to the proposed requirement FRA’s Associate Administrator for passenger train cars—in addition to new to keep the doors closed. FRA also Railroad Safety/Chief Safety Officer commuter train cars—would be subject received one comment that was not dated February 17, 2010, SEPTA to the requirements of § 238.131. germane and outside the scope of this committed to operating all its trains In addition, FRA made changes to the rulemaking. FRA did not change any of with two or fewer cars in passenger RSAC recommended language to clarify the regulatory text in this final rule service with all their side doors closed the proposed requirements in the based on the comments it received but between stations. In addition, SEPTA NPRM. For example, FRA clarified that addresses each comment below. The full noted that any train with three or more the provisions of the NPRM applied to text of every comment FRA received on cars in passenger use would be required full-sized exterior side doors besides the NPRM is in the public docket for to operate with its side doors closed those used for the boarding and this rulemaking at www.regulations.gov. between stations depending on the alighting of passengers at train stations, Please note that the order in which the number of crewmembers assigned to the such as baggage doors, but did not apply comments are discussed in this train. SEPTA added these requirements to small hatches of compartment-sized document is not intended to reflect the to its operating manual as a crew doors and the exterior side doors on significance of the comment raised or responsibility. private cars. FRA also decided not to the standing of the commenter. However, since sending this letter to include in the NPRM an RSAC Sensotech submitted a comment FRA in 2010, SEPTA replaced its recommendation that powered, exterior commending FRA for its efforts to Silverliner II and Silverliner III cars side passenger doors be connected to a improve passenger safety and comfort. with manual doors and trap doors with manual override device capable of However, Sensotech stated it did not see new Silverliner V cars. According to opening the exterior side doors when in the NPRM any information about the SEPTA, these Silverliner V cars have the doors are locked out, because this use of acoustic technology to support power-operated doors with manual trap design requirement was already covered passenger door safety. According to doors located inside the cars. SEPTA under existing regulations at Sensotech, ‘‘[a]coustic technology is the specifically raised concern about the § 238.112(a) and (b). FRA also moved an most suitable technology for remote requirement proposed in § 238.135(b) RSAC consensus item proposed under sensing for rail doors’’ because it is not that trap doors must be closed between existing § 238.305 (‘‘Interior calendar sensitive to metallic carbon dust created stations. SEPTA stated that when the day mechanical inspection of passenger by moving trains and brake pads, and trap doors are open and the side doors cars’’) to new proposed § 238.133(g)(2) the technology is programmed to are closed, a passenger could not fall out in the NPRM, so the requirement would distinguish between outdoor elements of the car from the passenger apply to all tiers of passenger cars, (like hail, snow, and rain) versus a compartment. Therefore, according to including conventional locomotives person or other hard objects. As a result, SEPTA, the cars can move safely used in passenger service. according to Sensotech, acoustic between stations with the cars’ side FRA specifically asked for comment technology is more reliable in doors closed and its trap doors open. on these areas of the proposal. However, supporting passenger door safety than However, SEPTA noted that the FRA did not receive any comments on other technologies. Sensotech described proposed language in § 238.135(b) does these or other areas of the NPRM where an acoustic technology door sensor not make an allowance for this car FRA specifically invited comment. system it developed for transit bus doors design. SEPTA also stated that as part of III. Discussion of Specific Comments implemented in buses. In addition, its capital program it estimates that in and Conclusions Sensotech described an application it 2020 it will begin to replace its current developed specifically for passenger rail Silverliner IV fleet with new Silverliner Overall, FRA received four comments door application, stating that it has been VI cars, which it anticipates will be in response to the NPRM from the installed more recently on a commuter fully compliant with the requirements following parties: Sensotech Inc. rail system. of 49 CFR 238.135. In the meantime, (Sensotech), the Southeastern FRA thanks Sensotech for providing SEPTA suggested FRA allow an Pennsylvania Transportation Authority information about the use of acoustic exception ‘‘[w]hen the open trap [door] (SEPTA), Veolia Transportation technology to promote door safety. is located within the car allowing the (Veolia), and an anonymous commenter. However, FRA did not specify in the side door to completely close over the The comment from Veolia was initially NPRM, and declines to specify in this opening preventing any access to the received as an email to an FRA staff final rule, what specific type of outside of the car from the passenger director asking whether one of Veolia’s technology railroads must use to comply compartment.’’ procedures conflicted with a proposal in with the requirements of this final rule. In its comment to FRA, Veolia also the NPRM. FRA has included the email FRA sought to develop requirements expressed concern about the and an attachment received by the staff that are performance-based. FRA requirement that exterior side doors and director in the public docket for this believes that allowing railroads the trap doors be closed when a train is in rulemaking and is treating the email and freedom to decide how best to comply motion between stations in proposed its attachment as a comment on this with the requirements in this final rule § 238.135(b). Veolia described a rulemaking. allows railroads to make the most ‘‘redundant safety procedure’’ at a FRA appreciates and carefully efficient decisions to meet FRA’s safety particular interlocking where it requires considered all comments it received requirements and minimize the costs of conductors to verify the signal regarding this rulemaking. The the rule. indication. Veolia believed this comments raised issues on what type of SEPTA submitted a comment procedure may necessitate opening a technology FRA considered when expressing concern regarding the door while the train is moving and developing this rulemaking, whether proposed requirement that all exterior sought to continue this practice. In FRA would modify its proposal in side doors and trap doors be closed addition, Veolia noted that some § 238.135(b) that exterior side doors and when a train is in motion between conductors open their workstation door trap doors must be closed between stations. (See the Technical Background, as their train approaches the limits of its

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authority, red signals, or other areas of Therefore, unless specifically noted, immediately following the incident in particular concern. Veolia sought FRA has adopted the requirements Bradley Beach, New Jersey, discussed in clarification on whether these practices proposed in the NPRM in this final rule. Section II.B., above. From its review, would violate the requirements FRA determined that while accidents IV. Technical Background proposed in § 238.135(b). were infrequent they could have severe After carefully considering the SEPTA A. Overview consequences. FRA identified numerous and Veolia comments, FRA has decided Passenger railroads have responded to factors, conditions, and components not to change the language proposed in growth in ridership by expanding rail that could adversely impact the safe § 238.135(b). However, as discussed operation or the integrity of the door service, investing in new rail further below, FRA is providing safety system of a passenger train. These equipment, and incorporating new additional time for railroads to comply include door position, controls, and technologies into their passenger with the requirement that exterior side status indicators, no-motion and end-of- equipment. This has resulted in the doors and trap doors remain closed train circuits, power failure, traction- varied arrangements of powered exterior when a train is in motion between inhibit, throttle movement, mixed side doors in passenger trains today. stations. The exceptions to this consist operation, malfunctioning Many types of these power door systems requirement apply when a train is equipment, door operating rules, and have safety features to alert train departing or arriving at a station and a employee knowledge of the door safety crewmembers of an obstruction in a crewmember needs to observe the system(s) on the train he or she is station platform and the open door is door. operating. attended by a crewmember, and when a These power door systems are As noted above, FRA decided to crewmember must perform on-ground complex. They employ components and perform a safety assessment of 24 functions, such as, but not limited to, electrical circuits to open and close the railroads operating passenger trains lining switches, making up or splitting exterior side doors, contain door status utilizing many different models of trains, providing crossing protection, or indicators, and provide a means to equipment in the United States. These inspecting the train. determine motion and the end of the assessments were performed to identify While the scenarios described by train. Power door systems operate the risks endangering passenger and SEPTA and Veolia in their separate electrically from commands given by crew safety, specifically when comments do not fall under either of train crews through signals from door passengers were riding upon, boarding, these defined exceptions, § 238.135(c) switches, sensors, relays, and other or alighting from trains. FRA employed allows a railroad to apply for special devices that interface with and monitor analytical techniques to identify any approval from FRA’s Associate the exterior side doors individually and limitations of the safety features Administrator for Railroad Safety/Chief throughout the entire trainline circuit. engineered into the trains’ exterior side Safety Officer to operate passenger These various appurtenances typically doors and of the railroads’ rules trains with exterior side doors or trap act to provide a warning when exterior governing their employees who operate doors, or both, open between stations. side doors are closing, respond to them. Each of the passenger railroads Any request for relief must include a obstructions to closing doors, and was assessed individually, and exterior written justification, a detailed hazard prevent the doors from opening when a side door safety concerns were found analysis, and be signed by the railroad’s train is in motion. When connected to with virtually all the railroads surveyed. chief executive officer or equivalent. the propulsion system, these devices However, the door safety concerns FRA believes this approval process is will inhibit the development of tractive varied among the railroads in nature the appropriate way to handle issues power if an exterior side door is and degree. involving railroads that may need relief prevented from closing. Lock-out and There are various types of trains that from the requirement in § 238.135(b), by-pass systems are also employed to are designed for particular purposes. rather than establish additional, allow trains to operate even when The type and sequence of locomotives generally-applicable exceptions that are equipment related to the exterior side and cars assembled or coupled together better addressed on a case-by-case basis. doors is malfunctioning. to form a train is referred to as the train By requiring passenger railroads to However, not all passenger cars are consist. A train consist can typically be conduct a safety analysis and apply to equipped with powered exterior side changed frequently at the railroad’s FRA for approval for a special door systems. In fact, for those discretion. As part of its assessment, exception, FRA will be able to make passenger railroads with cars equipped FRA reviewed the predominant types of individualized determinations that with manually operated exterior side passenger train service utilized in the tailor any such exception to the specific doors or trap doors, some have allowed United States to determine the risks circumstances involved and the safety the doors to remain open between train posed to passengers and train crews by of the affected passengers and train stations to increase operating efficiency. exterior side door safety systems. crews. Trap doors are metal plates that, when One type of service involves FRA received an additional raised, reveal a fixed or moveable passenger trains with conventional anonymous comment regarding hours of stairwell to facilitate low-level boarding. locomotives in the lead pulling consists service issues involving the trucking To provide high-level platform of passenger coaches and sometimes industry and a Federal Motor Carrier boarding, the train crew closes (or keeps other types of cars such as baggage cars, Safety Administration proposal. Since closed) the trap to cover the stairwell. dining cars, and sleeping cars. Such the comment is not germane to Trap doors are not exterior side doors, trains are common on long-distance, passenger door safety issues or this but are manually operated by the train intercity rail routes operated by Amtrak. rulemaking, and its scope is not within crew to enable boarding and alighting Most passenger rail service in the FRA’s jurisdiction, FRA did not address through the exterior side doors. Nation is provided by commuter this comment in this final rule. railroads, which typically operate one or With the exception of the issues the B. Scope of FRA Safety Assessment of both of the two most common types of commenters raised and FRA discussed Passenger Railroads service: Push-pull service and multiple- above, FRA did not receive any FRA reviewed accident data involving unit (MU) locomotive service. Push-pull comments on the proposed rule. passenger train exterior side doors service is passenger train service

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typically operated in one direction of baggage or stocking dining car supplies. passengers or crewmembers at each travel with a conventional locomotive in Exterior side doors that serve these station stop. Powered electro- the rear of the train pushing the consist purposes often vary greatly in size and mechanical doors are doors that employ (the ‘‘push mode’’) and with a cab car dimension. In some instances, these an electric motor to drive a mechanical in the lead position of the train. The exterior side doors are full-sized doors, operator for opening and closing. train can then transition into the while on other equipment the doors are Powered electro-pneumatic doors, like opposite direction of travel, where the essentially just small hatches or are electro-mechanical doors, employ a service is operated with the compartment-sized. mechanical operator for opening and conventional locomotive in the lead closing. However, powered electro- D. Types of Passenger Car Exterior Side position of the train pulling the consist pneumatic doors use compressed air to Doors (the ‘‘pull mode’’) with the cab car in drive the mechanical operator instead of the rear of the train. A cab car is both Through its safety assessment of an electric motor. The mechanical a passenger car and a locomotive. The exterior side door safety systems on operators provide opening and closing car has both seats for passengers and a passenger trains, FRA reviewed several force to each door panel or leaf through control cab from which the engineer can generations of equipment. FRA found a mechanical linkage and a gearbox or operate the train. Control cables (or wide range of doors and corresponding similar device. All powered door electric couplers) run the length of the door safety features with varying levels systems require mechanical door train to facilitate commands between of sophistication. The level of operators. the control cab, passenger cars, and the sophistication was generally limited by F. Assessment Findings conventional locomotive. These control the technology that was available at the cables make up an electric circuit called time that the passenger car was FRA identified a number of key the trainline circuit. Electrical cables manufactured and the railroad’s ability factors, conditions, and components also run the length of the train to to purchase, or retrofit, equipment with that could impact passenger and crew provide power for heat, light, and other more sophisticated door safety features. safety from the use and operation of purposes. There are three types of exterior side passenger train exterior side doors. Self-propelled electric or diesel MU doors in service today: Hinged, sliding, These are addressed, individually, in locomotives may operate individually in and plug. Hinged doors on a passenger detail below. car operate like a door in a home passenger train service, but typically 1. Door Position operate semi-permanently coupled entranceway. They swing inward into together as a pair or triplet with a the car, to open, and back towards the FRA reviewed the risk posed by the control cab at each end of the train exterior of the car, to close. Exterior open position of exterior side doors consist. During peak commuting hours, sliding doors on a passenger car are while passenger trains were in motion. multiple pairs or triplets of MU moving panels of various sizes that FRA determined that railroads operating locomotives are combined and operated retract into pockets within the side passenger trains with manually operated together to form a single passenger train. walls of the passenger car when exterior side doors cannot control In Amtrak’s Northeast Corridor, high- opening. Sliding doors can be designed whether an individual door is opened or speed Acela Express passenger train with one panel or leaf that slides open closed unless a crewmember is present service is provided using trainsets. and closed. Sliding doors can also at each door. When a crewmember is Acela Express trainsets are train consists consist of two bi-parting panels or leafs, not present, passengers themselves can of specific types of passenger cars such which open by retracting from each open the exterior side doors of the cars as first class, business class, and cafe´ other into the side wall and close by and exit or enter the train. Therefore, cars that are semi-permanently coupled joining together in the center of the the potential exists for passengers to between power cars located at each end doorway. Plug doors on a passenger car jump off or on moving trains at stations. of the consist. These trainsets virtually are comprised of a sliding panel which At the same time, FRA found that other never change as the power cars and opens and slides along the side of the passenger trains were purposefully run passenger cars are semi-permanently car to open the exterior side door. with their manually operated exterior coupled and integrated together with However, the sliding panel does not side doors in an open position even computer controls. The power cars retract into a pocket like a sliding door; though train crewmembers sometimes provide tractive power to both ends instead, when closed, the door conforms were not stationed at the doors. simultaneously and have a control cab to the side of the passenger car to seal Passenger trains with powered from which the engineer can operate the out environmental noise and minimize exterior side doors are normally train, but do not carry passengers. aerodynamic resistance. operated with the doors closed between stations. However, some passenger C. Uses of Passenger Car Exterior Side E. Exterior Side Door Configurations railroads operated trains with their Doors and Operation doors open between stations. These Passenger car exterior side doors are Passenger railroads use a variety of passenger stations are in close proximity designed for various purposes on configurations for the exterior side to each other and alternate between passenger trains. Most exterior side doors on the passenger cars in their high- and low-level platforms for doors are used for passenger boarding fleets. FRA reviewed passenger cars passenger boarding and alighting. The and alighting at train stations. However, with exterior side doors located at operation of passenger trains with open exterior side doors also have other uses. multiple locations along the sides of the exterior side doors presents significant For example, exterior side doors can be cars: At each end, at their quarter safety concerns as passengers and used for emergency responder access points, and in the middle. crewmembers could potentially fall out and passenger egress during emergency Passenger car exterior side doors may of an open door while the trains are situations, whether or not the doors are be operated manually, or with either moving. Due to the safety hazards normally used for passenger boarding or electro-mechanical or electro-pneumatic arising from operating a passenger train alighting. As previously stated, exterior power. Manually operated exterior side with open exterior side doors, FRA has side doors can also be used for non- doors are simple hinged or sliding doors determined that, with limited passenger functions such as loading that are manually operated by exceptions for crew use only, passenger

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trains should have their exterior side the train could still produce tractive therefore, the indicators were not doors closed when they are moving power even though the door control reliable. In other cases, FRA found that between stations. circuit failure allowed the exterior side train crews looked in the general doors to remain open. location of an indicator light on a door 2. Door Control Panels Employees who operate the exterior control panel, but at times mistakenly Powered exterior side doors on side doors of a passenger train should read a different indicator as the door passenger cars are controlled and understand how a safety system for a status indicator because the lens color operated by door control panels, which door they control will respond to a loss was not uniformly maintained. Door are usually located on both sides of each of power. Employees can then take steps status indicators need to be maintained car. These panels provide an interface to safeguard against any safety hazards properly for ready and reliable reference between the train’s door system and the raised by the loss of power. This final by crewmembers tasked with safely train crew, and typically require rule requires all door systems on new operating the door systems. If properly activation with a door key. The door key passenger cars, and connected door maintained, these indicators should is inserted into the control panel and is systems on new locomotives used in alert train crewmembers about a then used to turn the panel on or off. passenger service, to be subject to a possible obstruction in an exterior side Once the panel is turned on, a formal safety analysis that includes a door. conductor can issue commands to open FMECA before being placed into or close exterior side doors by pressing service. By requiring new passenger cars 5. No-Motion Circuit buttons on the panel. Some passenger and locomotives used in passenger No-motion is an electric circuit the trains have door control panels that service to be subjected to this analysis door safety system uses to determine if allow only local control of the exterior before being placed into service, a passenger car or train is moving or not. side doors. This means the conductor railroads will help ensure that the This circuit is designed to prevent the can operate the exterior side doors only failure of a single component of a door exterior side doors of a train from in the same car as the door control safety system will not create an unsafe opening while the train is in motion, panel. Other passenger trains allow their condition for passengers and train except for a crew access door. A crew door control panels to operate all crewmembers. access door can be any exterior side exterior side doors on the side of the door on a passenger train that a train where the panel is activated. This 4. Power Door Status crewmember opens for his or her use allows the door control panel in any Power door status is monitored by with a door control power key. No- passenger car to open simultaneously all door position switches and can be motion circuitry will also cause the the exterior side doors on one side of conveyed locally or through the exterior side doors to close when the the train. The conductor also can open trainline circuit using various train accelerates above a pre-determined or close only those doors forward of the arrangements of lights to relay the speed. If the no-motion circuit (also activated panel, those doors rearward of condition of the doors to the train crew. referred to as a ‘‘no-motion system’’ in the activated panel, or simply the single On most passenger trains, one or more door directly adjacent to the activated lights illuminate on the interior or this document) malfunctions, the panel. exterior of a passenger car above the conductor cannot open the exterior side FRA found many instances in which exterior side door that is open. The doors using trainline commands since door control panels were left energized lights then extinguish when the exterior the circuit is designed to fail safely and after the door control panel key was side doors are closed. the door system assumes that the train removed. This can occur when the If the train’s door status is configured is in motion. However, if such a keyhole for the door control panel key with a door summary circuit for malfunction occurs, many passenger is worn or not maintained and the trainline display, one or more lights cars are equipped with a by-pass switch conductor removes the key without illuminate on the active door control that can override the no-motion circuit actually turning off the door control panel when all the doors are closed on and enable the exterior side doors to panel. With the door control panel that side of the train. Therefore, if a open. energized, passengers can press the power door did not close, the external During its assessment, FRA door-open button on the panel and open and internal lights would remain discovered that some railroads train one or more exterior side doors on the illuminated and the trainline door status crews actually used the no-motion train even when the train is still light on the door control panel would circuit to close the exterior side doors moving. This situation can occur on not illuminate. This door status when departing stations. In these many different types of equipment. trainline circuit is often, but not always, instances, train crewmembers were not displayed to the engineer as a door closing the exterior side doors using a 3. Failure Modes, Effects, and Criticality closed light in the locomotive cab. door control panel, but instead were Analysis (FMECA) When the light is illuminated it tells the using the throttle to accelerate the train As part of its assessment, FRA engineer that the exterior side doors on and close the exterior side doors evaluated how the door systems on both sides of the train are closed and the through the no-motion circuit. The various passenger trains responded to a train is ready to safely leave the station. assessment also identified that loss of door control power by de- FRA found that all trains with passenger and train crew safety was at energizing the door control circuit powered exterior side door systems had risk on many railroads because safety- breaker. FRA found significantly some type of door status indicators train sensitive switches that could impact the different responses on various railroads crews could use to determine if there door system, such as the no-motion by- when door control systems experienced was an obstruction in the exterior side pass switch, were not properly a circuit failure causing a loss of power. doors. However, in many instances on- positioned or protected. An improperly Some exterior side doors closed, some board personnel were not using the door positioned no-motion by-pass switch did not close at all, and others simply status indicators as intended. In some presents the risk of an undesired stopped where they were if they were cases, crewmembers did not use these opening of an exterior side door while moving at the time of the failure. indicators because the indicators’ lens the train is in motion, which could go Additionally, in a number of instances, color was not maintained properly and, undetected by the train’s crew.

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Exterior side doors should be closed the ceiling along the edge of the door to Sensotech’s comment in Section III., only after the train crew determines it seal the car interior from environmental above. is safe for the train to depart the station. conditions. Although not necessarily However, FRA found during its To protect passenger and train crew intended for a door system safety assessment that it was possible to safety, the no-motion by-pass switch purpose, this flexible strip or seal on the become entangled in a powered exterior should be secured or sealed. This will edge of the door is pliable and bends, side door on numerous different models mitigate the potential of an accidental which aids in pulling an obstruction of equipment, even when door activation of this safety-critical device. free from the door. In addition, FRA obstruction detection systems were 6. End-of-Train Circuit found that some power door systems utilized. In these cases, the door added a door push-back feature obstruction detection systems failed to The end-of-train circuit is part of the intended to aid in freeing an obstruction detect either small obstructions (e.g., a door safety system. The circuit is used in a door. The push-back feature allows human hand) or large obstructions (e.g., to identify the last passenger car in the someone to push back on a closing door a wheelchair). train consist, or the physical end of the so that the individual can open or FRA believes that while door train, or both. Door control system partially open the door and clear an obstruction detection systems reduce manufacturers have utilized various obstruction. However, not all passenger the risks to passenger safety and newer ways to identify and convey the end of cars that have a flexible strip on the systems utilize more reliable the train to the door safety system. The edge of the door have a door push-back technology, they do have limitations. end of the train is identified on different feature. Therefore, train crews need a clear passenger cars by using jumpers, Power door systems on passenger cars understanding of the limitations of the manual or automatic switches, circuitry can also be outfitted with obstruction safety features on the exterior side doors in electric couplers, marker lights, or detection systems. Obstruction of the trains they are operating. When other devices. Door safety circuits can detection systems use sensors to train crews do not thoroughly become compromised when the end of determine if something is preventing an the train is established somewhere other understand the limitations of their exterior side door from closing as than the last car of the train. This trains’ exterior side door safety features, intended. The system will cause the situation can occur by the unintentional passengers and train crews alike could exterior side door to react to an activation of the end-of-train circuit. For face an increased risk of serious injury obstruction by automatically stopping example, some passenger cars toggle or death. Crews must realize the limits switches, which are readily accessible to the door from closing or by reversing the of the safety features of each powered passengers, are used to establish the end door movement like elevator doors. door safety system for each type of of the train. If improperly positioned Most obstruction detection systems passenger vehicle they operate. require the exterior side door to actually and activated by a passenger or train 8. Traction Inhibit crewmember at a location that is not at physically impact the obstruction to the end of the train, all passenger cars detect it. These types of obstruction As mentioned above, door control rearward of the car with the activated detection systems use a pressure- safety systems can be connected to a end-of-train circuit would not be sensitive edge on the leading edge of the train’s propulsion system. On these recognized by the door safety system. exterior side door or door jamb, or both. systems, the status of powered exterior Because the door safety features in those If something is caught in the door, the side doors is communicated through the cars would not function, this would sensitive edge becomes compressed and trainline, and the door summary circuit increase the risk of a passenger causes the door to react to the is interlocked with the train’s becoming entangled in a door and obstruction by stopping the closing door propulsion system. Therefore, when a dragged when the train departs the or by reversing the door movement. powered exterior side door is open, the station. Other obstruction detection systems train cannot produce tractive power and FRA’s assessment identified eight employ a tilting switch that detects move, a function commonly referred to railroads on which end-of-train circuit when the door is bumped off balance by as ‘‘traction inhibit.’’ Similarly, if an switches were not properly positioned an obstruction and causes a reaction exterior side door on a train is not or protected. These switches should be similar to doors employing a sensitive completely closed, and there is an secured and protected to prevent access edge for obstruction detection. obstruction in the door, the traction by unauthorized personnel and There are also systems that use more inhibit function prevents the train from unintentional activation which could sophisticated technologies to detect developing tractive power and departing compromise the safety of the door obstructions. These advanced systems the station. Only after all the exterior control system and go undetected by the monitor motor amperage, or air pressure side doors are closed as intended can train crew. in passenger cars with powered electro- the train produce tractive power and pneumatic exterior side doors. These leave the station. 7. Door Safety Features systems detect an increase in the During its assessment, FRA found As touched on above, the electric current or air pressure, which many different models of equipment in sophistication of passenger car door tells the door safety system there is an which the exterior side door safety safety features is just as varied as the obstruction in the exterior side doors. systems were not connected to the arrangement of the exterior side doors Other advanced obstruction detection propulsion system of the train. themselves. Hinged-type manually systems do not actually require the Consequently, these trains could operated exterior side doors do not exterior side doors to impact an produce tractive power whether or not utilize any specific door system safety obstruction to detect it. Instead, they the exterior side doors were open or features. Yet, FRA found that all but one may use photo optics or laser light closed. Thus, if a passenger became model of passenger cars with manual or beams to prevent the door from closing entangled in a door, the passenger could powered sliding-type doors employed a if something interrupts a light beam that be dragged by one of these trains flexible, rubber-like strip of varying runs along the path of the closing because they lacked a design feature to widths on the leading edge of the door. exterior side door. They may also use stop such a train from developing This flexible strip runs from the floor to other technologies; see the discussion of tractive power and leaving the station.

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FRA also found that on many 10. Malfunctioning Equipment and Door closing and freeze if they were in different models of passenger cars and By-Pass motion when the throttle was applied. locomotives used in passenger service If a train crew cannot identify which Other door systems operated as with a door obstruction system and exterior side door is malfunctioning on intended and were not affected by the traction inhibit, it was possible for the its train, the train crew can utilize a position of the throttle. In addition, train to produce tractive power even door by-pass device to override the door concerns associated with locomotive when an individual became entangled safety system to move the train. throttle movement were further exacerbated if the passenger train was in in an exterior side door. This However, as noted above, activation of unexpected condition was possible door by-pass mode when the throttle the door by-pass device on many types because the door obstruction system did was applied. On these trains, the of equipment negates some or all of the not detect the obstruction and instead throttle movement, in combination with exterior side door safety features. conveyed a message that all the exterior the door by-pass feature activation, FRA found during its assessment that side doors were closed. Therefore, the negated some or all of the exterior side many passenger cars had exterior side final rule will enhance passenger and door obstruction safety features. door safety circuits that could become train crew safety by requiring all new A train’s exterior side doors should be compromised by the unintentional passenger cars to have door safety commanded to close only after the train activation of a door by-pass device. On systems which include door obstruction crew determines it is safe to depart. If these models of passenger cars, if a by- detection systems that release throttle movement can affect the pass switch was activated anywhere on obstructions when detected. functioning of a train’s exterior side a passenger train it would place the doors, then employee training is 9. Malfunctioning Equipment and Door entire train in door by-pass mode. This necessary to help ensure the train crew Lock-Out would in essence by-pass the entire understands the risks involved. Due to the complexity of powered train’s door safety system, which exterior side doors and their controls, presents a significant risk to passenger 12. Mixed Consist Operation car manufacturers have designed door and crew safety. Elsewhere, FRA found Railroads routinely operate passenger systems to respond to equipment that the door by-pass switch would only trains comprised of mixed consists or malfunctions. If an exterior side door affect the exterior side doors of the train different models of passenger cars, malfunctions, each door can be if it was activated in the controlling which can have incompatible door individually isolated from the trainline locomotive. Overall, FRA found that systems. Mixed consists can contain circuit without affecting the rest of the accidental activation of the door by-pass passenger cars with different types of train. Train crews refer to this as switch often happened without the exterior side doors, such as manual ‘‘cutting out’’ or ‘‘locking-out’’ a door. knowledge of the train crew, whether doors and powered doors, or different This is especially important if the door the switch was located in the types of powered exterior side doors system is connected to the train’s controlling locomotive cab or a trailing that are not compatible with each propulsion system, as one locomotive cab. Consequently, door by- other’s door safety system. When malfunctioning exterior side door that pass devices must be sealed in an off exterior side door systems are cannot close is designed to inhibit the position to mitigate the potential of an incompatible, they do not properly development of tractive power for the accidental activation of the door by-pass communicate trainline commands and entire train. Therefore, many passenger device. are not part of a single door summary cars are equipped with exterior side However, if there is an en-route circuit. These door systems are usually door lock-out switches that can exterior side door malfunction, railroads incompatible due to the design of the disconnect power to the malfunctioning must have a procedure for individual passenger cars or because the exterior side door while still allowing communicating to all train door systems utilize different control the trainline circuit to complete so that crewmembers that there is a defect in systems, wiring, or operating voltages, the train can draw tractive power and the train’s exterior side doors, the door often a result of the varying ages of the move. by-pass device has been activated, and different models of passenger cars used During FRA’s assessment, FRA the door safety system has been in a mixed consist. observed train crewmembers that did overridden. The operation of trains comprised of not know how to isolate or lock-out a different types of passenger cars with malfunctioning exterior side door. FRA 11. Effects of Throttle Use on Powered incompatible exterior side door systems found that, instead, train crews would Exterior Side Doors requires additional measures to help often activate the door by-pass system. The locomotive throttle lever is used ensure passenger safety. For example, in Such a practice presents a significant to control the locomotive’s power. It can a mixed consist train with manual and risk to safety. Properly locking-out one also be used to issue commands to the powered exterior side doors, the portion malfunctioning exterior side door powered exterior side doors. As of the train with the manual doors maintains the integrity of the train’s mentioned above, some exterior side requires train crewmembers to take door safety system while still providing doors are manufactured so that the extra measures to ensure the doors are door obstruction and traction inhibit movement of the locomotive throttle closed. The operation of a mixed consist protection for all other exterior side from a position of rest to motion train comprised of passenger cars with doors on the train. However, overriding automatically issues a command to different models or types of powered the door safety system through the door close all the powered exterior side exterior side doors that are not by-pass feature can undermine the doors. compatible with each other’s door safety safety features on all exterior side doors, However, FRA’s assessment found system requires train crewmembers to including traction inhibit. Activating that passenger cars responded take such extra measures as well. The the door by-pass feature this way differently to application of a train’s different cars may not communicate unnecessarily increases the possibility throttle. For some powered exterior side door opening and closing commands that a passenger or train crewmember doors, the movement of the locomotive throughout the length of the train. These could be caught in a door and dragged throttle caused them to close. For other door systems usually have different by a train. door systems, the doors would stop safety features; for example, a portion of

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the train could have exterior side doors need a clear understanding of the risks circuit does in relation to the operation equipped with a door obstruction to safety involved in the operation of of a passenger train and what detection system, while the remainder exterior side doors. They must information it provides the controlling of the train’s doors do not. The powered understand the limitations of the safety cab of the train about the exterior side door system on a passenger car without features of each exterior side door doors. a door obstruction system is limited in system for the equipment they operate. ‘‘End-of-train circuit’’ means a feature its ability or unable to detect, Such an understanding is especially typically used to determine the physical annunciate, or release an obstruction in critical when an exterior side door end of the train, or the last passenger car a door. FRA also found that in these safety system fails and the crew must in the train, or both, for the door mixed consist trains the door summary take action to ensure passenger safety summary circuit. FRA added this term circuit did not account for all the until the system can be restored back to to make clear what an end-of-train exterior side doors, due to incompatible its designed level. circuit does in a passenger train. For equipment. The door status indicator clarity, FRA changed the term to ‘‘end- V. Section-by-Section Analysis would therefore be misleading as it of-train circuit’’ in the final rule rather would indicate the status for only part Subpart A—General than just ‘‘end-of-train,’’ as proposed in of the mixed consist train. As a result, the NPRM. For additional discussion Section 238.5 Definitions FRA believes there is an inherent, about end-of-train circuits, see the increased risk of becoming entangled in FRA is amending this section to add Technical Background, Section IV.F.6. an exterior side door on a mixed consist the following new definitions to this ‘‘Exterior side door safety system’’ train. part: By-pass, door isolation lock, door means a system of safety features that Train crews may need to take extra summary circuit, end-of-train circuit, enable the safe operation of the exterior measures to ensure the safe functioning exterior side door safety system, no- side doors of a passenger car or train. of doors in mixed consist trains they motion system, and trainline door The exterior side door safety system operate. These extra measures should circuit. FRA intends for these includes appurtenances and ensure the operation of mixed consist definitions to clarify the meaning of components that control, operate, and trains provides a level of safety at least significant terms used in this final rule. display the status of the exterior side equivalent to that of a train operating These definitions will minimize the doors, and is interlocked with the with compatible exterior side door potential for misinterpretation of the traction power control. FRA added this safety systems. regulatory language. RSAC term to explain what types of systems or recommended that FRA add these subsystems of safety features make up 13. Operating Rules definitions to this section, and FRA an exterior side door safety system. Passenger railroads have established agrees with RSAC’s recommendation. ‘‘No-motion system’’ means a system sets of operating rules to provide ‘‘By-pass’’ means a device designed to on a train that detects the motion of the instruction and guidance to employees override a function. This term describes train. This system is normally integrated on how they should act in given devices that override various safety with the exterior side door safety situations. Railroad operating rules for features on a passenger train. For system. the functioning of passenger train example, a door by-pass is a by-pass ‘‘Trainline door circuit’’ means a exterior side door systems can vary feature that when activated overrides circuit used to convey door signals over broadly from railroad to railroad. For the door summary circuit. Among its the length of a train. This term is used example, FRA found that some functions, the door summary circuit in the definition of door summary railroads’ operating rules did not require indicates to the controlling cab of the circuit. a train’s exterior side doors to be closed train that all exterior side doors are while the train was in motion between closed as intended, or locked out with Subpart B—Safety Planning and stations. Other railroads’ rules did not a door isolation lock, or both. In some General Requirements define the safety limitations of each type instances, train crews must use a by- FRA has carefully organized the of door safety system in the passenger pass device when a passenger train’s various requirements in this final rule. cars their train crews operated and exterior side doors or its appurtenances These requirements apply to all tiers of sometimes the train crews were fail en route so the train can reach its passenger cars and locomotives used in unaware of these limitations. Some destination. passenger service. In the NPRM, FRA railroads had operating rules addressing ‘‘Door isolation lock’’ means a cutout/ made clear that, in addition to use of exterior side doors and station lockout mechanism installed at each requirements for passenger cars, the stops, and some did require exterior side door panel to secure a door proposed rule would apply certain crewmembers to make platform in the closed and latched position, requirements to locomotives used in observations for train arrivals at and provide a door-closed indication to the passenger service. FRA invited departures from stations. However, summary circuit, and remove power comment on how the various often these rules did not instruct from the door motor or door motor requirements in the rule should be crewmembers to ensure trains did not controls. FRA added this term because organized and specifically the approach depart from stations until all passengers it is in the definition of a door summary the NPRM took to applying had successfully boarded or alighted circuit and helps clarify what potential requirements to locomotives used in from the trains. Finally, FRA found that information is being relayed to the passenger service, including comments some operating rules did not address the controlling cab of a train by the door on any alternative approach. However, additional steps necessary to provide summary circuit. FRA did not receive any comment from continued passenger safety following ‘‘Door summary circuit’’ means a the public on these or other areas of the activation of a safety override device, trainline door circuit that, among its NPRM where FRA specifically invited such as a door by-pass or no-motion by- functions, indicates to the controlling comment. pass switch. cab of the train that all exterior side As discussed above in Section III, Railroad operating rules are doors are closed as intended, or locked Discussion of Specific Comments and fundamental tools to enhance overall out with a door isolation lock, or both. Conclusions, FRA did receive and railroad safety. Passenger train crews FRA added this term to clarify what this carefully considered comments on the

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requirements proposed in the locomotive(s). Specifically, the train obstruction. As a result of this failure, rulemaking. However, FRA has not may not develop tractive power if an some passenger trains were able to changed the rule text on the basis of the exterior side door in a passenger car is complete the door summary circuit and comments received. FRA is nonetheless not closed, unless the door is under the receive tractive power to depart even modifying the rule text in this final rule direct physical control of a though there was an obstruction in a to provide the regulated community crewmember. powered exterior side door. These types with greater clarity on the requirements The implementation dates in this of incidents have led to serious of this rule. FRA describes these paragraph are consistent with other passenger injuries and even death. FRA changes below in this Section-by- applicability dates FRA imposed, and also learned that some door systems Section Analysis. FRA believes they are achievable. This were unable to identify large Standard is available to all interested obstructions caught in a train’s exterior Section 238.131 Exterior Side Door parties online at www.apta.com. side doors. For example, some Safety Systems—New Passenger Cars Additionally, FRA made a copy of the passenger trains could generate tractive and Locomotives Used in Passenger Standard part of the docket in this power even when a large object like a Service proceeding and it is available for public wheelchair or walker became stuck in FRA is adding this new section to part inspection. the exterior side doors. Passenger door 238, addressed below by paragraph. Paragraph (a)(2) requires powered systems that cannot detect these larger Paragraph (a) applies to powered exterior side door safety systems on all obstructions pose substantial safety exterior side door safety systems on new new passenger cars and connected door hazards to passengers with disabilities rail passenger cars, and connected door safety systems on new locomotives used or other passengers who may need extra safety systems on new locomotives used in passenger service to be designed assistance to board or alight from a in passenger service, ordered on or after based on a FMECA. FRA requires such train. April 5, 2016, or placed in service for door safety systems to be subject to a Paragraph (a)(4) prohibits the the first time on or after February 5, FMECA to ensure door system activation of a door by-pass feature in 2016. This paragraph does not apply to manufacturers consider and address the new passenger cars with powered new or existing rail passenger cars or failure modes of exterior side doors. As exterior side doors and in connected locomotives used in passenger service discussed in the Technical Background, locomotives from affecting an exterior with manual exterior side doors. It also Section IV.F.3, FRA learned there was side door’s obstruction detection does not apply to existing rail passenger great variability among different models system. As discussed in the Technical cars or locomotives used in passenger of passenger cars on how exterior side Background, Section IV.F.10, FRA service with powered exterior side doors reacted to a system failure. For discovered that many passenger door doors. example, when there was a loss of safety systems could be compromised Paragraph (a)(1) requires that all electricity to the door control circuit, by the activation of a door by-pass powered exterior side door safety some powered exterior side door device. Operating a train in door by-pass systems on new rail passenger cars and systems responded by automatically mode can negate some or all of the connected door safety systems on new closing the exterior side doors, while in safety features of the exterior side door locomotives used in passenger service other equipment the doors would stay safety system, including the obstruction be built according to APTA Standard open. FRA believes that subjecting these detection system and door status PR–M–S–18–10, ‘‘Standard for Powered door safety systems to a FMECA will indicator. Exterior Side Door System Design for ensure that passenger car and FRA also discovered that some New Passenger Cars’’ (Standard). locomotive manufacturers consider how railroads had obstruction detection APTA’s Rail Standards Policy and these systems may fail and make systems that were engineered into their Planning Committee approved this informed decisions on the safest design passenger trains’ exterior side doors, but APTA Standard on February 11, 2011. approach. did not use them and, instead, operated The Task Force and Working Group Paragraph (a)(3) requires powered trains in door by-pass mode. By subsequently reviewed and exterior side doors in all new passenger negating these important door safety recommended the Standard to the full cars to be equipped with an obstruction features, the railroads created the Committee, which then recommended detection system, and a connected potential for passengers to get caught in that FRA use the Standard in this system in all new locomotives used in closing exterior side doors and dragged rulemaking. FRA is incorporating by passenger service, to identify and as the trains developed tractive power reference this Standard, which contains release an obstruction while preventing and departed from stations. a set of minimum safety standards for the train from developing tractive power Therefore, FRA is requiring that powered exterior side door safety until the obstruction is released. An obstruction detection systems in new systems on new passenger rail cars and obstruction detection system detects passenger cars and connected connected door safety systems on new and reacts to both small and large locomotives used in passenger service locomotives that are used in passenger obstructions in the powered exterior function as designed, even if the train in service. side doors. This will make boarding and which the equipment is being hauled is The Standard addresses design alighting from passenger trains safer. operated in door by-pass mode. This requirements and safety features that This new paragraph is necessary will ensure that passenger safety is not occur at three different levels: The based on FRA’s assessment of powered compromised by deactivating these individual door, the car, and the train. exterior side doors on various passenger safety features in the train’s exterior side Passenger cars and passenger train operations, as discussed doors. locomotives must be able to specifically in the Technical Paragraph (a)(5) requires the train communicate with each other to provide Background, Section IV.F.7. In many crew to use a door control panel key or for the safe use and operation of exterior instances, FRA discovered that a some other secure device to access the side doors in passenger cars. As a result, passenger, or his or her belongings, train’s door control system. The train the Standard requires the train’s door could be caught in a powered exterior crew will need a key or other secure summary circuit to be interlocked with side door of a passenger car without the device to operate the door control panel the propulsion system of the train’s door recognizing the passenger or the to open or close the exterior powered

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side doors. FRA does not intend to a design is to provide an operational platform before opening all of the require passengers in an emergency to enhancement for the engineer to exterior side doors and allowing use a key to operate any manual automatically command the exterior passengers to board and exit from the override device for opening powered side doors to close when the throttle is train. exterior side doors. See 49 CFR 238.112. applied. However, from FRA’s Paragraph (b)(2) requires that manual Such manual override devices must be observations during its door safety and powered exterior side doors on new readily accessible to passengers in an assessment, the exterior side doors on passenger cars be connected to interior emergency. Instead, this requirement is some railroads’ trains would stop and exterior door status indicators, and intended to reduce the risk that moving and remain open while other that new locomotives used in passenger passengers in non-emergency situations exterior side doors would close when service be compatible with such will gain access to the door control the train’s throttle was applied. This indicators. The exterior side doors must system and open the exterior side doors could result in doors being partially be connected to interior and exterior to prematurely exit a train while it is open while trains are in motion, thereby door status indicators, usually lights, to still in motion. increasing the risk that passengers could indicate when a door is not closed. FRA makes clear that although this fall out of trains and suffer injuries. These indicators provide railroad final rule often states requirements in Moreover, FRA also learned that personnel both inside the train and on terms of the duties of railroad powered exterior side doors on trains the station platform a fast, easy way to crewmembers, any person as defined in running in door by-pass mode reacted visually identify whether an exterior § 238.5, including a contractor or very differently when the throttle was side door is not closed as intended. FRA subcontractor to a railroad, who applied. On these trains, the throttle believes that these interior and exterior performs any function required by this movement, in combination with the door status indicators will help train final rule, must perform that function in door by-pass feature activation, negated crews determine whether it is safe for accordance with this rule. See § 238.9(c) some or all of the exterior side door trains to depart stations. (‘‘Responsibility for compliance’’). obstruction safety features. Therefore, Paragraph (b)(3) requires all new Consequently, the requirements of this FRA is requiring that, for new passenger passenger cars with manual or powered final rule apply to contractors and cars and locomotives used in passenger exterior side doors and all new subcontractors performing railroad service, locomotive throttle movement passenger locomotives to be connected crewmember functions. does not open or close a passenger to a door summary status indicator Paragraph (a)(6) is related to train’s exterior side doors or have any located in the train’s operating cab and paragraph (a)(5). This paragraph makes other effect on the proper functioning of viewable from the engineer’s normal clear that if the door control panel key the train’s door safety system. operating position. When all the exterior or other similar device is removed from Paragraph (b) applies to new rail passenger side doors on a train are the door control panel, the powered passenger cars, with either manual or closed, the door summary status exterior side doors on the train cannot powered exterior side doors, and indicator, usually a light, illuminates in be opened or closed from the door connected door safety systems on new the engineer’s operating cab. As a result, control panel. A door control panel key locomotives used in passenger service, the indicator provides an easy way for or other similar device is required to ordered on or after April 5, 2016, or an engineer to know that all the exterior operate the powered exterior side doors placed in service for the first time on or side doors have been closed as intended from the door control panel. after February 5, 2018. This paragraph and it is safe for the train to depart. If This requirement helps ensure that does not apply to existing rail passenger the indicator is not illuminated, the only the conductor or another qualified cars or locomotives used in passenger engineer knows that the exterior side crewmember can open or close the service with either manual or powered doors are not closed and that the train’s exterior side doors from the door control exterior side doors. brakes should be maintained so the train panel. This requirement will minimize Paragraph (b)(1) requires new does not move. the possibility that passengers will open passenger cars with manual or powered Paragraph (b)(4) requires that, for all the exterior side doors in non- exterior side doors, and connected door new passenger cars with manual or emergency situations when a train is safety systems on new locomotives used powered exterior side doors, and all entering or departing a station. in passenger service, to be designed new locomotives used in passenger However, FRA notes that under with a door summary circuit to prohibit service equipped with a door by-pass § 238.112, powered exterior side doors trains from developing tractive power if system, the door by-pass system will be must continue to be equipped with a the exterior side doors are not closed. functional only when activated from the manual override device to allow This paragraph is necessary to prevent controlling locomotive. Putting a train passengers to open the doors in serious injuries from occurring when in door by-pass mode allows the train to emergency situations. trains have their exterior side doors develop tractive power regardless of the Paragraph (a)(7) ensures that train open while moving. status of the doors. During its door throttle movement will have no effect However, FRA is allowing an safety assessment of passenger railroads, on the proper functioning of exterior exception for train crew use. This FRA found that for many models of side door safety systems in new requirement does not apply to an equipment the entire passenger train passenger cars and connected door exterior side door that is under the could be put into door by-pass mode by safety systems in new locomotives used direct physical control of a crewmember activating one of several different door in passenger service. As discussed in for his or her exclusive use when a train by-pass switches throughout the train the Technical Background, Section generates, or is in the process of consist. Moreover, FRA even found that IV.F.11, FRA discovered through its generating, tractive power. This limited by-pass switches could be activated door safety assessment that certain exception is necessary to help train without the knowledge of the train passenger car door systems were crews make platform and other crew—a dangerous situation. designed so that the exterior side doors observations outside of the train. For Because this paragraph requires that would automatically close when the example, train crews often open one the door by-pass switch can only be train’s throttle was applied. As FRA exterior side door to ensure the train is activated in the controlling locomotive understands, the rationale behind such sitting properly along the station of a passenger train, engineers should

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always know if the door safety system makes the verification process more move the train, but will still provide the has been overridden through the use of efficient. Of course, the testing plan the railroad with sufficient flexibility to the door by-pass switch. In addition, railroad develops to replace individual handle an activated door by-pass device. having the switch only be activated in visual inspections must be adequate to Paragraph (c)(2) requires that either the controlling locomotive of the train determine that each door safety system the QP or QMP notify the crewmember greatly minimizes the risk that a is functioning as intended. in charge of the train’s movement that passenger may activate the device, Paragraph (b) requires passenger train the door by-pass device has been whether inadvertently or not. Since this crewmembers to notify the railroad’s activated. This notification requirement device affects vital safety features, FRA designated authority under the ensures that the crewmember in charge believes that all precautions should be railroad’s defect reporting system if a of the train’s movement knows the train taken to ensure that a train is put in door by-pass device that could affect the is operating with its door by-pass device door by-pass mode only after careful safe operation of the train is found activated and that some or all of the consideration by the train’s crew. unsealed during the train’s daily door safety features of the train’s Paragraph (c) identifies other sections operation. If the train crew can test the exterior side doors may not be properly in this part that include substantive door safety system and determine the functioning. In addition, the train crew requirements for exterior side door door summary status indicator is must then hold a safety briefing that safety for ease of reference. These functioning as intended, then the train includes information such as the include requirements for using side may remain in service until the next locations where each crewmember will doors in an emergency. forward repair point where a qualified position himself or herself on the train maintenance person (QMP), as defined to ensure that passengers board and Section 238.133 Exterior Side Door in § 238.5, can apply a seal, or until its alight from the train safely. This safety Safety Systems—All Passenger Cars and next calendar day inspection, whichever briefing helps to ensure that the train Locomotives Used in Passenger Service occurs first. If the crew cannot operates with the same level of safety FRA is adding this new section to part determine that the door summary status after the door by-pass device has been 238, addressed below by paragraph. indicator is functioning as intended, activated as it did before the device was Paragraph (a) requires that each then the train crew must follow the activated. passenger train crew verify all exterior procedures in paragraph (c) of this Paragraph (d) requires each passenger side door by-pass devices that could section. railroad to maintain a record of any door affect the safe operation of the train are Paragraph (c) requires that, when it by-pass activation, unintended opening sealed in the non-by-pass position when becomes necessary to activate a door by- of a powered exterior side door, and taking control of the train. For example, pass device while a train is en route, the subsequent repair(s) made to the from its door safety assessment of train may continue to its destination passenger door safety system in the various passenger railroads, FRA terminal if the train crew: Conducts a defect tracking system required by discovered that on some railroads the safety briefing that includes a § 238.19. While railroads do currently door by-pass switches in the cabs of description of the location(s) where maintain records concerning the trailing locomotives could place an crewmembers will position themselves malfunction of exterior side doors and entire train in door by-pass mode if on the train to observe the boarding and subsequent repairs, FRA is not aware activated anywhere on the train. FRA alighting of passengers; notifies the that railroads maintain such records believes that all train crewmembers railroad’s designated authority that the when a door by-pass device has been should understand when first taking train’s door by-pass device has been activated or only when there has been control of a passenger train whether the activated; and adheres to the operating an unintentional door opening. exterior side doors of the train are in rules required by § 238.135 (‘‘Operating Collecting this information will provide door by-pass mode. However, when practices for exterior side door safety useful data concerning test and there is face-to-face relief of another systems’’). After the train has reached its maintenance intervals that are train crew, the train crew coming on destination terminal, the train may developed under this part, e.g., duty will not need to verify the status continue in passenger service until the § 238.107 and subpart F. Like other of the door by-pass devices by visual train’s arrival at the next forward repair records collected under § 238.19, inspection. This exception will help point or until its next calendar day railroads must make these records railroad efficiency by not requiring on- inspection, whichever occurs first, if the available to FRA for inspection upon coming train crews to conduct an railroad adheres to the requirements in request. inspection to verify whether their train paragraphs (c)(1) and (2) of this section Paragraph (e) is intended to prevent is being operated in door by-pass status before moving the equipment with an exterior side doors from being operated if they are directly notified by the out- active door by-pass device. from a door control panel when the door going crew through face-to-face relief Paragraph (c)(1) allows a passenger key or other similar device has been regarding the status of the train’s door train with a door by-pass device removed. As evidenced by FRA’s by-pass devices. When there is no direct activated to remain in service past its assessment of various passenger train face-to-face relief by the crew going off destination terminal if an on-site QMP door operations, this language is duty, the on-coming train crew must determines it is safe to use the necessary because some trains’ door verify the status of their train’s door by- equipment in passenger service and safety systems have allowed the door pass devices. repairs cannot be made at the time of control panel to remain energized after However, paragraph (a) also allows inspection. If a QMP is not available, a the door control panel key or similar railroads to develop a functional test to determination to keep the equipment in device was removed from the panel. verify that the door summary status service may be made based upon an on- When door control panels can still be indicator is functioning as intended, site qualified person’s (QP), as defined operated after the specific door key or instead of a visual inspection of each in § 238.5, description of the condition similar device has been removed, door by-pass device. Allowing qualified to a QMP offsite. This requirement will passengers can open the train’s exterior railroad personnel to conduct a help ensure passenger safety by side doors by simply pressing the door functional test instead of a visual requiring a QMP to make the open button. FRA is concerned because inspection of all door by-pass switches determination on whether it is safe to passengers have opened exterior side

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doors to exit trains early before the such switches to affect the end-of-train steps necessary to ensure the train’s trains came to a complete stop at circuit. doors can be safely operated at the stations. Additionally, some passengers Paragraph (g)(1) requires all exterior station. have opened the exterior side doors to side door safety system override devices FRA invited comment from the exit trains while leaving stations that could adversely affect a train’s door railroad industry and the greater public because they forgot to exit while the safety system to be inactive and sealed on how this safety briefing should trains were stopped at station platforms. in all passenger cars and locomotives in occur, but did not receive any Either of these scenarios could easily the train consist. This requirement comments during the comment period. result in severe passenger injuries. applies to cab cars and MU locomotives, Nonetheless, FRA makes clear that the Accordingly, this requirement as well as conventional locomotives. safety briefing may be made part of mandates the use of a door panel key or The requirements of this paragraph are other safety briefings or discussions a similar device to energize or activate subject to the provisions of paragraph involving the operation of the passenger the door control panel. The door control (c) of this section for a train when it is train, provided each crewmember’s role panel key or device will be held by the necessary to activate a door by-pass in the safe operation and use of the train’s crew. FRA does make clear that device, to ensure the train may safely exterior side doors is clearly nothing in this paragraph is meant to continue to its destination terminal. established. change any of the requirements in Paragraph (g)(2) is similar to Paragraph (b) requires all passenger § 238.112 for the accessibility and paragraph (g)(1). However, this train exterior side doors and trap doors operation of manual override devices for paragraph emphasizes that as part of the to be closed when a train is moving exterior side doors in an emergency calendar day inspection, QMPs will between stations, except as provided in situation. This paragraph does not verify that all exterior side door safety paragraphs (b)(1) and (2). As stated require passengers in an emergency system override devices are inactive and previously in Section III, Discussion of situation to use a key to operate any sealed in all passenger cars and all Specific Comments and Conclusions, manual override device for opening locomotives in a passenger train’s above, FRA received comments from powered exterior side doors required by consist, including cab cars and MU SEPTA and Veolia regarding this § 238.112. Passengers and crewmembers locomotives, if they are so equipped. paragraph. Both SEPTA and Veolia must still be able to utilize the manual Passenger cars or locomotives that asked FRA to allow additional override devices for exterior side doors QMPs find with unsealed or active circumstances when passenger train in an emergency situation without the exterior side door safety system override exterior side doors and trap doors may use of a door key or other similar devices are considered defective under be open when a train is moving between device. the regulation and subject to the stations. As previously explained, FRA Paragraph (f) requires a train to movement-for-repair provisions of this declines to establish additional, maintain the integrity of its door safety part. generally-applicable exceptions beyond systems by proper activation of the end- what is provided in paragraphs (b)(1) Section 238.135 Operating Practices of-train circuit. This includes, but is not and (2). However, FRA is providing for Exterior Side Door Safety Systems limited to, securing the end-of-train additional time for railroads to comply. circuit in a manner that prevents FRA is adding this new section to part Paragraph applies after April 5, 2016, or unauthorized access. The railroad must 238, addressed below by paragraph. 60 days after the final rule takes effect. secure the end-of-train circuit to protect Paragraph (a) requires each As proposed, paragraph (b) would have the integrity of the train. FRA crewmember to participate in a safety become applicable when the final rule discovered that, in many models of briefing that identifies each took effect. In particular, this additional passenger cars, a simple switch was crewmember’s responsibilities for the time will facilitate the process for used to activate the end-of-train circuit safe operation of the exterior side doors SEPTA, Veolia, and any other entity to and denote the end of the train. This on the crewmember’s train. The briefing seek relief from the requirements of switch was often in the vestibule area of takes place at the beginning of each § 238.135(b) by applying for special the car and accessible to passengers. crewmember’s duty assignment before approval under § 238.135(c) from FRA’s FRA also found a switch that was the train departs. This requirement Associate Administrator for Railroad activated in a car other than at the end helps ensure all the crewmembers Safety/Chief Safety Officer. Section of the train. Activation of the switch involved in the operation of a passenger 238.135(c) allows FRA to make eliminates from the door summary train understand their roles and individualized determinations that circuit all passenger car exterior side responsibilities for the safe operation tailor any additional exceptions to the doors beyond the activated switch, and use of the exterior side doors. specific circumstances involved and the allowing the potential for a passenger in In this final rule, FRA revised the safety of the affected passengers and one of those cars to become entangled language in this paragraph to clarify that train crews. For more discussion of in an exterior side door and dragged the required safety briefing must SEPTA’s and Veolia’s comments on this when the train departs because the door address possible door safety issues rulemaking, and FRA’s response, see the safety features do not function. This arising anytime during the crew’s Discussion of Specific Comments and paragraph helps ensure in particular operation of the assigned train, Conclusions, Section III. that if a railroad uses end-of-train circuit including when the train arrives at and Paragraph (b)(1) allows a passenger switches in its trains, the railroad takes departs from a station. The briefing train to depart from or arrive at a station sufficient care of the switches to prevent requirement applies to providing with an exterior side door or trap door them from being tampered with or direction throughout the crew’s entire open when a crewmember needs to inadvertently activated by unauthorized operation of the assigned train. For observe the station platform (paragraph users. FRA added language to this example, if construction or other work (b)(1)(i)) and the open door is attended section in this final rule to clarify that will be conducted at a station platform by the crewmember (paragraph railroads must ensure the integrity of that could negatively impact the (b)(1)(ii)). For instance, observing the the end-of-train circuit and not just boarding and alighting of passengers or station platform is necessary when prevent unauthorized access to end-of- crewmembers at a station, the crew arriving at stations so that crewmembers train circuit switches on trains that use must discuss the platform work and the can determine if their train is properly

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positioned along the platform before FRA before operating trains in the Paragraph (e) requires each opening the exterior side doors. In requested manner, so that FRA can crewmember to be trained on: (1) The addition, crewmembers may need to determine if passengers and train crews requirements in this section; and (2) open an exterior side door on their train riding on such trains are adequately how to identify and isolate equipment to observe the station platform to help safeguarded against personal injury. with a malfunctioning exterior powered ensure the safety of late-boarding FRA makes clear that if a passenger or manual side door. For example, FRA passengers for station departures. With railroad must take additional steps to expects that this training will cover how a crewmember stationed at each open adequately safeguard passengers and a crewmember determines which exterior side door or trap door when train crews against personal injury, FRA exterior side door is malfunctioning. departing from or arriving at a station, may condition the grant of any special FRA believes that training crewmembers the train crew can better protect approval on the implementation of any is necessary to ensure that a passenger passengers from placing themselves in such measures within the timeframes in train’s door safety systems are utilized harm’s way and more quickly react to an the approval. to their designed level of safety. emergency occurring on the station Paragraph (d) requires railroads to Crewmembers operating exterior side platform. adopt and comply with operating rules doors on passenger trains and tasked Paragraph (b)(2) allows a passenger on how to safely override a door with providing passenger safety must train to move between stations with its summary circuit or a no-motion system, understand the safety risks involved in exterior side doors and trap doors open or both, if there is an en route exterior the use and operation of exterior side when a crewmember must perform on- side door failure or malfunction on a doors. ground functions. On-ground functions passenger train. Under this section’s FRA makes clear that these include, but are not limited to, lining requirements, the railroads must requirements apply to both manual and switches, making up or splitting the provide these written rules to their powered exterior side doors. FRA is train, providing crossing protection, and employees and make them available for allowing a three-year period for inspecting the train. This exception was FRA inspection. The written rules must railroads to implement the requirements created because the Door Safety include: (1) Instructions to of this paragraph. This three-year period Subgroup thought it would be too crewmembers and control center affords the railroads adequate time to cumbersome and an undue hardship on personnel describing what conditions train their crewmembers and minimize passenger railroads to require them to must be present to override the door any cost. operate their trains with their exterior summary circuit or the no-motion Paragraph (f) requires each railroad to side doors and trap doors closed when system, or both (paragraph (d)(1)); and adopt and comply with operating rules performing on-ground functions. For (2) steps crewmembers and control requiring its crewmembers to determine example, passenger train conductors center personnel must take after the the status of their train’s exterior side often have to exit and reenter their door summary circuit or no-motion doors so their train may safely depart a trains several times when lining system, or both, have been overridden, station. In particular, this paragraph switches to establish the proper track to help ensure continued passenger requires crewmembers to determine route for their trains. However, FRA safety (paragraph (d)(2)). These there are no obstructions in their expects that crewmembers will close paragraphs are intended to ensure a passenger train’s exterior side doors any such open exterior side doors or mechanism exists to communicate that before the train departs. This operating trap doors on their trains as soon as it a defect has occurred in a critical safety rule requirement will safeguard against is practical after completing the system on a passenger train and that passengers becoming entangled in the necessary on-ground functions. passenger safety continues to be exterior side doors of a train when As discussed above, paragraph (c) provided after the critical safety system boarding and alighting the train. FRA is requires that passenger railroads receive is overridden. allowing railroads a three-year period to approval from FRA’s Associate FRA is allowing a three-year period implement the requirements of this Administrator for Railroad Safety/Chief for the requirements in this paragraph to paragraph. In the NPRM, this Safety Officer to operate passenger be implemented. FRA believes this requirement was proposed under trains with their exterior side doors or three-year period will provide railroads § 238.135(g). However, in this final rule trap doors, or both, open between with adequate time to develop and train FRA has switched proposed stations except as provided in paragraph their crewmembers and control center §§ 238.135(f) and (g) because it flows (b) of this section. Any request to FRA personnel on the operating rules and logically that requirements about must include: A written justification instructions, and minimize any cost. operating rules should come before explaining why the passenger railroad FRA wants to make clear that the term requirements for conducting tests on needs to operate its trains in this ‘‘control center personnel’’ in this final those rules. manner (paragraph (c)(2)(i)); and a rule includes both railroad employees Paragraph (g) requires that each detailed hazard analysis conducted by and railroad contractors and railroad periodically conduct the railroad analyzing the hazards of subcontractors who perform control operational (efficiency) tests and running its trains in this manner, center functions. See § 238.9(c). Use of observations of its operating including specific mitigations to reduce the term ‘‘control center personnel’’ is crewmembers and control center the safety risk to passengers and train also consistent with 49 CFR part 239, personnel to determine each crews (paragraph (c)(2)(ii)). The chief Passenger Train Emergency individual’s proficiency with the side executive officer (CEO), or equivalent, of Preparedness, which uses the term door safety procedures for both the the organization(s) making the request ‘‘control center personnel’’ to describe railroad’s exterior powered and manual must sign the request (paragraph (c)(3)). the same persons. While crewmembers passenger train side doors. FRA In addition, FRA added paragraph (c)(4) will continue to have the majority of the recognizes the critical role control to this final rule to clarify that railroads responsibilities under this section, center personnel have in ensuring the may need to submit other documents control center personnel play an safe movement of trains. These and different types of information to important role in how to safely override individuals must receive operational support the request. Passenger railroads a door summary circuit or no-motion (efficiency) testing appropriate to their must seek this special approval from system, or both. role providing door operations support

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to train crews. For example, control passenger cars with different door safety part. Because such penalty schedules center personnel must understand the systems when they assemble individual are statements of agency policy, notice implications of a crew’s activation of a trains. These trains are referred to as and comment are not required prior to door by-pass device. Due to additional mixed consists and can contain their issuance. See 5 U.S.C. 553(b)(3)(A). safety precautions the crew must take, a passenger cars with different types of Nevertheless, FRA invited comment on train might need extra time at station exterior side doors, such as manual and the penalty schedule. However, FRA did platforms to allow for the safe boarding powered doors. They can also be not receive any comments. and alighting of passengers, which may comprised of passenger cars with Accordingly, FRA is amending the affect the crew’s ability to adhere to the different models or types of powered penalty schedule to reflect the addition train schedule. Control center personnel exterior side doors that are not of the following sections to this part: must be prepared to respond compatible with each other’s door safety § 238.131, Exterior side door safety appropriately to safely direct train system. Because the door safety systems systems—new passenger cars and movements. on mixed consist trains are not able to locomotives used in passenger service; As in paragraph (e), FRA makes clear properly communicate the presence of § 238.133, Exterior side door safety that this paragraph applies to both an obstruction in a door, or the door’s systems—all passenger cars and manual and powered exterior side status otherwise, this paragraph requires locomotives used in a passenger service; doors. The rule provides railroads a train crewmembers to take extra steps to § 238.135, Operating practices for three-year implementation period before enhance passenger safety to a level at exterior side door safety systems; and requiring them to conduct operational least equivalent to a train operating with § 238.137, Mixed consist; operating (efficiency) tests and observations of compatible exterior side door systems. equipment with incompatible exterior their operating crewmembers and In this regard, FRA notes that in mixed side door systems. control center personnel to determine consist trains with both manual and each individual’s knowledge of the powered exterior side doors, the manual VI. Regulatory Impact and Notices specific railroad’s powered and manual exterior side doors require extra A. Executive Orders 12866 and 13563 exterior side door safety procedures for attention by crewmembers to ensure and DOT Regulatory Policies and its passenger trains. This three-year that they are closed and it is safe to Procedures implementation period affords the depart. In addition, FRA slightly railroads adequate time to train and modified the proposed language for this This final rule has been evaluated in then begin testing their crewmembers paragraph in this final rule to state the accordance with Executive Order 12866 and control center personnel on exterior requirement more clearly. (Regulatory Planning and Review), side door safety procedures, and Paragraph (b) requires railroads to Executive Order 13563 (Improving minimize any expense. adopt and comply with operating rules Regulation and Regulatory Review), and Finally, as stated above, this to provide for the safe use of passenger DOT policies and procedures. A requirement was proposed under cars and locomotives used in passenger regulatory evaluation has been prepared § 238.135(f) in the NPRM. However, in service with incompatible exterior side addressing the economic impact of the this final rule FRA has switched door safety systems when they are final rule over a 20-year period. The proposed §§ 238.135(f) and (g) for operated together in a mixed consist economic impacts of the final rule are clarity. train. Once the operating rules have estimated at well under $100 million been adopted, complying with these per year. This section summarizes the Section 238.137 Mixed Consist; economic impacts of the final rule. Operating Equipment With rules will ensure the mixed consist train is operated with at least the same level The intent of the final regulation is to Incompatible Exterior Side Door increase safety by reducing the injuries Systems of safety as a train with compatible exterior side door safety systems, even caused by the operation of a passenger FRA is adding this new section to part though the door safety systems on the train’s exterior side doors. The doors 238. FRA modified the language various cars are incompatible. These can cause injuries to passengers from proposed in the NPRM for each rules must take into consideration the striking or holding them as they board paragraph of this section to clarify constraints of the door systems of the or alight from trains. These injuries are FRA’s intent regarding each paragraph. equipment operated by the railroad. For unintended consequences that result Through this section, FRA is creating a example, the operation of a mixed from normal train operations. Railroad positive requirement for railroads to consist train may require additional rules governing the operation of the take action to ensure that when they measures to help ensure passenger doors may not provide adequate operate ‘‘mixed consist’’ trains, they safety, such as operating rules on crew information to crewmembers, for operate them safely. In addition, FRA is positioning or providing a second look example, about when and how to use also modifying the language proposed in at the station platform to determine door by-pass devices and the interaction paragraph (b) to clarify that entities whether it is safe for the train to depart of the doors with other train systems. subject to the requirements of this rule a station. Although most passenger trips occur must adopt and comply with operating FRA also modified the proposed without a door incident, the rules to ensure the safe operation of language in this paragraph to clarify its consequences of improper door mixed consist trains. Each paragraph is requirements. The modified language operations can and have resulted in addressed below. makes the regulatory language serious harm and even death. In Paragraph (a) requires a train made up consistent with the regulatory language November 2006, a passenger died after of equipment with incompatible exterior for § 238.135(d) and (g) in this final rule, being caught in the doors of a departing side door systems to be operated within which also contain requirements NJT train at the Bradley Beach, NJ the constraints of each exterior side involving railroad operating rules. station. door safety system on the train. As FRA intends to reduce door incidents evidenced by FRA’s safety assessment of Appendix A to Part 238—Schedule of and injuries in two ways. First, the final passenger railroad door systems across Civil Penalties rule addresses the railroads’ rules and the country, some passenger railroads This appendix contains a schedule of procedures for operating doors. The mix and match different models of civil penalties for use to enforce this final rule requires railroads to have and

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implement operating rules for their to train crewmembers on these features can be installed more cost- employees that emphasize operating rules. To determine that the effectively in such new equipment understanding the capabilities and employees understand such operating compared to potentially requiring the limits of the door safety systems rules, railroads have three years to begin retrofit of existing equipment. These installed on the passenger cars and conducting periodic operational safety features on new cars and connected locomotives used in (efficiency) tests of its crewmembers connected locomotives are all currently passenger service that they operate. The and control center personnel, as available. overall intent of the operating rules appropriate to their roles ensuring the FRA analyzed the economic impacts requirement is that the train crew safe operation of the exterior side doors of this rule against a ‘‘no action’’ should be aware of the status of the door and the door by-pass devices. baseline. The no action baseline reflects safety systems on their train, such as if The second part of the final rule the state of the world in the absence of the train is operating in by-pass mode concerns requirements for doors on new this final rule. The estimated costs (which overrides certain door safety passenger cars and connected resulting from the final rule over the 20- features), if a door is locked-out because locomotives used in passenger service. year period of analysis total $15.2 of a malfunction, or if they are working FRA is adopting the APTA Standard million undiscounted, with a present on trains that have cars with different discussed above containing the design value of about $8.3 million calculated door safety systems. Specific requirements for door safety systems on using a 7-percent discount rate (PV, requirements include the need for the new passenger cars ordered with 7%), and a present value of $11.5 train crew to verify that the door by-pass powered exterior side doors, and for million calculated using a 3-percent connected door safety systems on new discount rate (PV, 3%). The estimated devices are sealed on the train they are locomotives used in passenger service. quantified benefits over a 20-year period operating, to report instances when a For example, new cars with powered total $83.9 million undiscounted, $43.3 by-pass device is found unsealed, and to exterior side doors need an obstruction million (PV, 7%), and $61.7 million understand crew responsibilities to detection system, a key or other secure (PV, 3%). These costs and benefits safely operate the train when by-pass device to activate (i.e., turn on) a door result in net positive benefits over 20 mode has been activated. The final rule control panel, and the doors may not years of about $68.7 million also contains provisions to mitigate close or open by moving the locomotive undiscounted, $35.0 million (PV, 7%), existing practices that may throttle control (i.e., the doors should be and $50.2 million (PV, 3%). unintentionally increase the risk of controlled by the crew instead of by the In the regulatory evaluation door-caused injuries. For example, the movement of the train). The Standard is accompanying the final rule, the final rule requires door control panels structured in a hierarchical order, burdens accounted for remain primarily (used to open and close the doors) to addressing the door safety features at the same as in the regulatory evaluation become and remain inactive if a door the individual door level through the accompanying the proposed rule. The control key or some other secure device overall system level. The Standard is most significant change was expanding is removed from the panel. Also, if structured this way to potentially the costs resulting from section switches are used to denote the end of prevent or mitigate unsafe door 238.135(c), which requires railroads to the train circuit, then these switches conditions at one of several levels. This receive special approval from FRA to need to be secured. Securing the structure also provides railroads operate passenger trains with open switches used to denote the end of the flexibility to determine the most doors between stations in circumstances train reduces the opportunity for part of appropriate equipment design for their other than those specifically allowed by the train to be cut-off from the summary particular operations. In this way, the the rule. The costs for this provision circuit and be left unprotected by the Standard is performance-based. were expanded to include potential door safety system (a situation which Additionally, the final rule includes mitigations that a railroad may have to could occur if the end-of-train circuit some minimum safety standards for put in place to reduce the risk to switches are activated at some location manual and powered exterior side doors passengers. In addition, after the other than at the actual end of the train). on new passenger cars and for proposed regulatory evaluation was Additionally, FRA is concerned about connected door safety systems on new published, DOT issued new guidance in the inherent risk posed by a few locomotives used in passenger service. June 2014 for the value of a statistical railroads’ practice of running trains with These types of new passenger life that is used in estimating benefits. the doors open between stations. equipment need to have a door The guidance also updated the median However, FRA allows railroads the summary circuit that prevents the train growth rate in wages that affects the cost flexibility to continue the practice, but from taking power and moving if an estimates. The costs and benefits have only by special approval supported by exterior side door is open. Other safety been revised in the final regulatory a hazard analysis including risk requirements that apply to new cars evaluation to reflect this new guidance. mitigation measures. Other with either powered or manual exterior Also, the start of the period of analysis, requirements for operating rules task the side doors are door status lights or i.e., year 1, has been changed from 2014 crew with determining that the doors indicators, a door summary status to 2015 to reflect the passage of time are free of obstructions so that the train indicator or light that is easily viewable since the proposed rule was published. may safely depart a station, and with by the engineer, and by-pass devices These changes are explained in the final procedures for safely operating trains that work only when activated from the regulatory evaluation accompanying the that consist of mixed passenger cars and operating cab of the train. The final rule final rule. Furthermore, DOT again locomotives used in passenger service, notes that these requirements for revised the value of a statistical life such as cars with different door systems. passenger trains with manual or guidance in June 2015 for analyses For these operating rules and operating powered doors apply to both commuter prepared in 2015. The June 2015 rules describing procedures to maintain and intercity passenger service railroads guidance increases the value of a safety when the train is in by-pass (but not to private equipment). statistical life from $9.2 million to $9.4 mode, FRA allows three years for FRA is requiring additional door million. The new value would not alter implementing compliance. Passenger safety features on new cars and the benefits or costs enough to change railroads also have a three-year period connected locomotives. These safety the resulting net-benefit outcome for

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this final rule. As the final regulatory normal, non-by-pass mode. The passenger claims for personal property evaluation updates the 2014 analysis for quantified benefits result primarily from damage. Also, as door incidents are the proposed rule, and the benefit-cost reduced injuries based on a count of often well-publicized in the media, decisions would not be affected by the door injuries in the past (2001–2005), reducing the number of door incidents new DOT guidance, this final analysis and the assumption that the final rule will maintain and enhance the public’s continues to use the DOT guidance for would be 50-percent effective in perception of safe passenger service, or the value of a statistical life issued in reducing similar injuries and fatalities goodwill toward passenger service. June 2014 for estimating impacts. in the future. The count of door injuries Furthermore, railroads for which the The final rule incurs relatively small used the descriptive, narrative APTA standard may serve as an costs and therefore has relatively high statements on accident reports to better incentive to purchase new cars may net benefits. Most of the initial burdens have reduced door system maintenance are expected from changes to railroad identify door-caused injuries (yielding costs as a result, as newer passenger cars operating rules, and from the safety about 19 potentially avoided injuries standards for door safety systems on per year on average). A count of door- can be expected to have more reliable new passenger trains where they can be caused injuries using more recent data door systems than older cars. installed cost-effectively. The largest from 2011 yielded 19 injuries, similar to The costs and benefits are contributor to costs is the crewmembers’ the average of previous years’ results. summarized in the tables Costs task of verifying that the door by-pass There may be other additional benefits Summary and Benefits Summary, devices on the train are sealed in the that were not quantified, such as fewer respectively.

TABLE—COSTS SUMMARY

Final rule reference (and regulatory evaluation Cost category Total undiscounted costs Total present value of Total present value of reference) costs discounted at 7% costs discounted at 3%

238.133(a) (8.2(a)), By- Verify Door By-Pass De- $11,140,576 ...... $5,499,252 ...... $8,032,569. Pass Device Verification. vices Are Sealed and Ensure Integrity of the Train. 238.133(a) (8.2(a)), Devel- As an Alternative, Develop $9,805 ...... $8,085 ...... $8,913. oping a Written Func- a Written Functional tional Test Plan. Test Plan to Comply with 238.131(a) By-Pass Device Verification. 238.133(b) (8.2(b)), Un- Apply Seal to Door By- $557,029 ...... $274,963 ...... $401,628. sealed Door By-Pass Pass Devices when Device. Found Unsealed, Report Defect. 238.133(c) (8.2(c)), En Determine if Safe to Pro- $78,093 ...... $40,723 ...... $57,686. Route Failure. ceed with Door By-Pass Activated, and Hold Crew Safety Briefing. 238.133(d) (8.2(d)), Record the Door By-Pass $13,051 ...... $6,806 ...... $9,640. Records. Activation. 238.133(d) (8.2(d)), Record Unintended Door $52,203 ...... $27,222 ...... $38,561. Records. Openings. 238.133(e) (8.2(e)), Door Average of Engineering (0.5*$186,574) + (0.5*$174,369) + (0.5*$181,140) + Control Panels. and Operating Rule So- (0.5*$26,839) = (0.5*$24,186) = $99,277. (0.5*$25,643) = lutions to Prevent Unau- $106,707. $103,391. thorized Access to Door Control Panels. 238.133(f) (8.2(f)), End-of- Secure End-of-Train Cir- $205,635 ...... $192,182 ...... $199,645. Train Circuit. cuit Switches, if Used.

238.133(g)(1) (8.2(g)(1)), Seal By-Pass Devices, if Accounted for in Sections 238.133(a), 238.133(b), and 238.133(g)(2). Exterior Side Door Safe- so Equipped. ty System Override De- vices.

238.133(g)(2) (8.2(g)(2)), Verify Door By-Pass De- $79,467 ...... $41,440 ...... $58,701. Calendar Day Inspection. vices Sealed; Cost for Events Requiring Addi- tional Troubleshooting.

238.135(a) (8.3(a)), Partici- Emphasize Crew Respon- Can Combine with Other Safety Briefings, Minimal Marginal Cost. pate in Daily Safety/Job sibilities for Safe Door Briefing. Operations.

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TABLE—COSTS SUMMARY—Continued

Final rule reference (and regulatory evaluation Cost category Total undiscounted costs Total present value of Total present value of reference) costs discounted at 7% costs discounted at 3%

238.135(b), 238.135(c) Railroads that File a Writ- File Justification = $3,122, File Justification = $2,918, File Justification = $3,031, (8.3(b), 8.3(c)), Operate ten Justification with Install Typical Mitiga- Install Typical Mitiga- Install Typical Mitiga- with the Exterior Side FRA Requesting Special tions = $150,000, Total tions = $140,187, Total tions = $145,631, Total Doors and Traps Closed Approval to Operate with = $153,122. = $143,105. = $148,662. when Traveling Between the Exterior Side Doors Stations, and Special Open Between Stations, Approval to do so. Install Typical Risk Miti- gations (Signage, Mark- ings, Lighting). 238.135(d), 238.135(f), Developing Operating $153,632 ...... $107,862 ...... $130,219. 238.137(b) (8.3.1), De- Rules for Overriding velop Operating Rules, Door Safety Systems, Mixed Consist. Determining That Pas- sengers are Clear of the Doors, and Operating a Train with Incompatible Door Safety Systems. 238.135(d) (8.3.1), Addi- Provide Written Operating Enter, Copy, Distribute Enter, Copy, Distribute = Enter, Copy, Distribute = tional Requirement to Rules to Crewmembers Rules = $2,199, Read = $1,487, Read = $1,836, Read = Provide Written Oper- and Control Center Per- $100,591, Total = $67,678, Total = $83,807, Total = ating Rules for By-Pass. sonnel for Safely Over- $102,790. $69,165. $85,642. riding Door Safety Sys- tems, Allow Time for These Affected Individ- uals to Read Operating Rules. 238.135(e) (8.3.2), Training Review and Revise Exist- Review and Revise Train- Review and Revise Train- Review and Revise Train- ing Training Plans for ing Plans = $11,235, ing Plans = $8,547, Per- ing Plans = $9,910, Per- Training on Exterior Side Perform Training = form Training = form Training = Door Safety Systems $576,540, Total = $391,380, Total = $482,143, Total = and Operating Rules, $587,776. $399,927. $492,053. Perform Training. 238.135(g) (8.3.2), Oper- Conduct Operational (Effi- $116,019 ...... $52,666 ...... $81,067. ational (Efficiency) Tests ciency) Testing for Exte- and Observations. rior Side Door Safety Procedures. 238.131(a) (8.4), New Pas- Implement APTA Standard $300,000 ...... $280,374 ...... $291,262. senger Cars and Loco’s for Powered Exterior Used in Passenger Serv- Side Door Systems on ice, Safety Systems for New Passenger Cars Powered Exterior Side and Connected Loco’s Doors. Used in Passenger Service. 238.131(b) (8.5.1), Manual Implement Some Safety $1,576,608 ...... $1,068,506 ...... $1,328,884. and Powered Door Sys- Features for New Pas- tem Standards for New senger Cars With Either Passenger Equipment. Powered or Manual Ex- terior Side Doors and Connected Loco’s Used in Passenger Service.

Total ...... $15,232,512 ...... $8,311,555 ...... $11,468,527.

TABLE—BENEFITS SUMMARY

Estimated Estimated (VSL=$9.2 million) Estimated reduction in reduction in Total value of Rule year AIS level dollar reduction in injuries, monetary fatalities, mone- reductions in inju- value injuries, monetary value at 50% tary value at 50% ries and fatalities value effectiveness effectiveness

1 ...... $301,389 $5,605,832 $2,802,916 $941,840 $3,744,756 2 ...... 304,945 5,671,981 2,835,991 952,954 3,788,944 3 ...... 308,544 5,738,910 2,869,455 964,199 3,833,654 4 ...... 312,184 5,806,630 2,903,315 975,576 3,878,891 5 ...... 315,868 5,875,148 2,937,574 987,088 3,924,662 6 ...... 319,595 5,944,475 2,972,237 998,736 3,970,973 7 ...... 323,367 6,014,619 3,007,310 1,010,521 4,017,830 8 ...... 327,182 6,085,592 3,042,796 1,022,445 4,065,241

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TABLE—BENEFITS SUMMARY—Continued

Estimated Estimated (VSL=$9.2 million) Estimated reduction in reduction in Total value of Rule year AIS level dollar reduction in injuries, monetary fatalities, mone- reductions in inju- value injuries, monetary value at 50% tary value at 50% ries and fatalities value effectiveness effectiveness

9 ...... 331,043 6,157,402 3,078,701 1,034,510 4,113,211 10 ...... 334,949 6,230,059 3,115,030 1,046,717 4,161,747 11 ...... 338,902 6,303,574 3,151,787 1,059,068 4,210,855 12 ...... 342,901 6,377,956 3,188,978 1,071,565 4,260,543 13 ...... 346,947 6,453,216 3,226,608 1,084,210 4,310,818 14 ...... 351,041 6,529,364 3,264,682 1,097,003 4,361,685 15 ...... 355,183 6,606,410 3,303,205 1,109,948 4,413,153 16 ...... 359,375 6,684,366 3,342,183 1,123,045 4,465,228 17 ...... 363,615 6,763,242 3,381,621 1,136,297 4,517,918 18 ...... 367,906 6,843,048 3,421,524 1,149,706 4,571,230 19 ...... 372,247 6,923,796 3,461,898 1,163,272 4,625,170 20 ...... 376,640 7,005,497 3,502,748 1,176,999 4,679,747

Total undiscounted ...... 62,810,558 21,105,698 83,916,257 Total PV @7% ...... 32,423,683 10,895,055 43,318,737 Total PV @3% ...... 46,189,262 15,520,585 61,709,847 Notes: Average estimated reduction in injuries = 18.6 injuries per year. Average estimated reduction in fatalities = 0.20 fatalities per year. Average Abbreviated Injury Scale (AIS) level for door injuries = 1.67 Value of a Statistical Life (VSL) = $9.2 million in base year 2013, increased at a rate of 1.18 percent annually, to equal $9.4 million in rule year 1. PV = Present Value.

B. Regulatory Flexibility Act and response, FRA notes that it leaves the issues in the trucking industry and a Executive Order 13272; Certification of specific type of technologies used for Federal Motor Carrier Safety No Significant Economic Impact on a door safety systems up to the discretion Administration proposal. Since the Substantial Number of Small Entities of the regulated entities. A regulated comment does not apply to this The Regulatory Flexibility Act of 1980 entity can choose the technology that is passenger door safety rulemaking, FRA (RFA) (5 U.S.C. 601 et seq.) and most cost-effective for its operations to is not addressing this comment in this Executive Order 13272 (67 FR 53461, comply with the final rule’s final rule. The full text of the comments Aug. 16, 2002) require agency review of requirements. In its comment, SEPTA can be found in the public docket for proposed and final rules to assess their asked for an additional exception from this rulemaking on impacts on small entities. An agency § 238.135(b). Section 238.135(b) www.regulations.gov. must conduct an initial regulatory generally requires side and trap doors to FRA made no changes in the final rule flexibility analysis (IRFA) unless it remain closed as the train travels for these public comments but did determines and certifies that a proposed between stations. SEPTA has revise the regulatory language in a few rule does not have a significant operational concerns with this sections for clarity. Some clarifications economic impact on a substantial requirement. Veolia also expressed for particular sections of the rule are number of small entities. When an concern about the same section of the discussed below. agency prepares a final rule, the agency rule. Veolia uses a procedure that In § 238.135(a) about the crew needs to prepare a final regulatory requires a conductor to verify a signal participating in daily safety/job flexibility analysis (FRFA), or if a FRFA indication at a particular location. In briefings, FRA added language to clarify is not prepared, the head of the agency order to verify the signal indication, that the safety briefing must discuss safe must certify that the final rule will not Veolia believes a conductor may have to operation of the doors for situations that have a significant economic impact on open a door while the train is moving. the crew may encounter throughout the a substantial number of small entities. Veolia asked for clarification about duty dour. For example, if there was See 5 U.S.C. 604(a) and 605(b). whether its procedure would violate work being done on a station platform FRA prepared an IRFA at the time the § 238.135(b). For both commenters, FRA so that a portion of the platform was not proposed passenger door rule was responds that there are exceptions in available, the crew would need to published in the Federal Register. FRA § 238.135(b) for crew observations of a discuss safely operating the doors when requested comment on potential small station platform and for on-ground arriving or departing that station. The business impacts of the requirements in functions such as lining switches. regulatory analysis for the proposed rule the proposed rule. No small entities Furthermore, if a railroad does not assumed that job briefings currently submitted public comments, nor did qualify for the exceptions in cover the variety of door-related tasks anyone submit comments regarding the § 238.135(b), a railroad may apply for that the crew performs, including safe costs of the proposed rule on small relief under § 238.135(c). Rather than door operations. Both the proposed and entities. create an additional permanent final rules add emphasis for the crew to However, stakeholders submitted four exception in the final rule, FRA believes be aware of safe door procedures, which comments about the requirements in the that the process in § 238.135(c) is the will reasonably include discussing NPRM. Sensotech, Inc. wanted FRA to appropriate way to consider exceptions. situations along their route that could consider Sensotech’s acoustic Finally, one anonymous person affect door safety. This briefing could be technology for a door safety system. In commented about hours of service combined with existing safety briefings

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at minimal extra cost. No change is 1. Reasons for Considering Agency systems on passenger cars and therefore made to the previous cost Action connected locomotives. Specifically, estimates in the proposed rule. As background, and as noted in the this final rule incorporates by reference Section 238.135(c) was modified to IRFA, the primary goal of this the standards for powered exterior side make it explicit that FRA may request rulemaking is to improve the safety of door safety systems on new passenger additional information from a railroad passengers and employees on intercity cars and connected door safety systems in support of its request to operate with passenger and commuter trains as they on new locomotives used in passenger the doors open in circumstances other board and alight through the exterior service, from the APTA Standard PR– than those allowed under § 238.135(b). side doors of passenger cars. For M–S–18–10 (‘‘Standard for Powered FRA expects only a few railroads to convenience, unless otherwise Exterior Side Door System Design for make such a request, none of them small specified, ‘‘doors’’ in this analysis refers New Passenger Cars’’), discussed above. entities. In addition, the regulatory to the exterior side doors intended and analysis accompanying the NPRM 2. Description of Regulated Entities normally used by passengers for already allocated time for a substantive, The ‘‘universe’’ of the entities boarding and alighting from the train. well-documented request, minimizing considered generally includes only For most train operations, passengers the effort that would be needed to gather those small entities that can reasonably additional supporting documentation. use these doors getting on and off the be expected to be directly regulated by Sections 238.137(a) and (b) concern train without incident. They generally this action. Small railroads that provide operation of trains with mixed take for granted that the doors will passenger service are the only types of equipment, such as cars with different function safely. However, there have small entities that may be affected door safety systems. In the final rule, been some casualties that have occurred directly by this final rule. FRA is clarifying the language to make in the past, some of which had tragic ‘‘Small entity’’ is defined in 5 U.S.C. it clear that railroads must not only consequences. These injuries and 601(3) as having the same meaning as adopt such rules, but comply with them. fatalities are unintended, harmful ‘‘small business concern’’ under section In the regulatory evaluation for the consequences to passengers and 3 of the Small Business Act. This proposed rule, the costs for operating employees that have resulted from definition includes any small business rules for mixed consist trains were normal train operations. concern that is independently owned accounted for along with the other Most passengers and employees have and operated, and is not dominant in its operating rules. Thus, it was assumed an expectation that the train exterior field of operation. Section 601(4) that railroads would both adopt and side doors will function safely when likewise includes within the definition comply with such rules. In addition, the boarding and alighting from the train. of ‘‘small entities’’ not-for-profit regulatory evaluation could not claim Therefore, passengers and employees enterprises that are independently benefits from the operating rules in may not properly assess the potential owned and operated, and are not terms of reduced injuries if the safety risks of a door problem because dominant in their field of operation. operating rules were not actually used. door incidents are low-frequency, but The U.S. Small Business The compliance costs result from potentially high-consequence events. Administration (SBA) stipulates in its training crewmembers in the operating Passengers and employees may not have size standards that the largest a railroad rules. These costs were already all the necessary information about how business firm that is ‘‘for profit’’ may be accounted for in the proposed a train’s exterior side doors will operate and still be classified as a ‘‘small entity’’ regulatory evaluation and no change in in case of a problem. This information is 1,500 employees for ‘‘Line Haul this burden is made in the final gap affects the passengers’ interaction Operating Railroads’’ and 500 regulatory evaluation. with the doors and the employees’ employees for ‘‘Switching and Terminal In discussing changes to the final control of the doors. For example, Establishments.’’ Additionally, 5 U.S.C. regulatory evaluation, the type of passengers may assume passenger train 601(5) defines as ‘‘small entities’’ burdens accounted for remain primarily exterior side doors will bounce back governments of cities, counties, towns, the same as in the proposed rule continuously when an obstruction townships, villages, school districts, or regulatory evaluation. However, after prevents the doors from closing like special districts with populations less the proposed regulatory evaluation was most elevator doors do. However, not all than 50,000. published, DOT issued new guidance passenger train cars are equipped with Some passenger railroads use for the value of a statistical life that is this safety feature. Additionally, contractors to perform many different used in estimating benefits. The employees might not know whether the functions on their railroads. For some guidance also updated the median exterior side doors on a train will open passenger railroads, contractors operate growth rate in wages that affects the cost or close when there has been an trains and perform other safety-related estimates. The costs and benefits have interruption in power. Furthermore, for functions. The contract operators are been revised in the final regulatory trains that use marker light switches to typically large freight railroads, large evaluation to reflect this new guidance. denote the end of the train, employees transportation companies, or Amtrak (a Also, the start of the period of analysis, may not know that activating these Class I railroad), which perform primary i.e., year 1, has been changed from 2014 switches at a point other than the operating and maintenance functions for to 2015 to reflect the passage of time physical end of the train will complete the passenger railroads. For the purpose since the proposed rule was published. the trainline door circuit at that car. of assessing this final rule’s impact, the These changes are explained in the final This situation would effectively leave pertinent contractors are all larger regulatory evaluation prepared to the passenger cars after the car with the contractors who perform primary accompany the final rule. marker light switch on without any operating and maintenance functions for The analysis to support that the final exterior side door safety features. the passenger railroads. Conversely, rule will not have a significant This final rule will improve railroad smaller contractors perform ancillary economic impact on a substantial safety through regulatory language functions to the primary operations. The number of small entities is presented establishing new design requirements, large transportation companies that are after some information about the final and requirements for operating practices contractors are typically substantial rule to aid discussion. for the use of exterior side door safety private companies such as Herzog

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Transit Services, Inc., or part of an In addition to the above intercity impacted directly by this regulation. international conglomerate such as passenger railroads, there are currently Thus, 7 percent of the impacted Keolis S.A. Group or Veolia 28 other railroads that provide railroads could be considered to be a Environnement S.A. These international passenger train service in the U.S. Most substantial number of small entities. conglomerates have substantial of these 28 railroads are part of larger However, these two small entities multidisciplinary workforces and can transit organizations that receive represent a much smaller portion of the perform most to all of the operating Federal funds and serve major total railroad industry impacted by this functions the passenger railroad metropolitan areas with populations final rule. This is because of the small requires. greater than 50,000. Therefore, most of number of trains operated annually, or Federal agencies may adopt their own these are not small entities. the small number of employees size standards for small entities in However, two of these 28 railroads are employed by these two railroads, or consultation with SBA and in considered small entities: The Saratoga both. & North Creek Railway (SNC), and the conjunction with public comment. No Significant Economic Impact Under that authority, FRA has Hawkeye Express, which is operated by published a final statement of agency the Iowa Northern Railway Company Some passenger railroads have policy that formally establishes ‘‘small (IANR). In 2011, Hawkeye Express voluntarily been in compliance with the entities’’ or ‘‘small businesses’’ as being transported approximately 5,000 requirements in this final rule for some railroads, contractors, and hazardous passengers per game over a 7-mile time. FRA expects that most of the skills materials shippers that meet the revenue round-trip distance to and from necessary to comply with the final rule requirements of a Class III railroad as set University of Iowa (University) football are possessed by operating crew forth in 49 CFR 1201.1–1, which is $20 games. IANR owns and operates the six employees and recordkeeping and million or less in inflation-adjusted bi-level passenger cars used for this reporting personnel. For the affected annual revenues, and commuter small passenger operation which runs small entities, the additional burden of railroads or small governmental on average only seven days over a the requirements is marginal. The jurisdictions that serve populations of calendar year. IANR has approximately nature of the operations of these two 50,000 or less. See 68 FR 24891, May 9, 100 employees and is primarily a freight small entities indicates lower over-all 2003, codified as appendix C to 49 CFR operation totaling 184,385 freight train costs to these railroads. The Hawkeye part 209. The $20 million limit is based miles in 2010. The Hawkeye Express Express has a very limited operation in service has a contractual arrangement on the Surface Transportation Board’s the number of days the railroad with the University, a State of Iowa revenue threshold for a Class III operates, the low number of cars (6 bi- institution located in Iowa City, Iowa. railroad. Railroad revenue is adjusted level cars), and the total trips made by The population of Iowa City is for inflation by applying a revenue its trains. As a result, the costs for approximately 69,000. The SNC began deflator formula in accordance with 49 almost all of the final rule’s burdens on operation in the summer of 2011 and 5 CFR 1201.1–1. FRA is using this the Hawkeye Express are low. The SNC currently provides intermittent definition for this rulemaking. operates more trains and for more days passenger train service over a 57-mile than the Hawkeye Express, but has a 3. Railroads Impacted line between Saratoga Springs and low number of cars and limited number North Creek, New York, making seven of trips. This type of operation will keep All railroads that provide intercity, or station stops in between. The SNC is a commuter or other short-haul, passenger the costs from the final rule’s Class III railroad (i.e., below the $20 requirements low. And, as discussed train service, as provided in 49 CFR million revenue threshold) and a 238.3 (Applicability), will have to further below, the requirements limited liability company wholly owned applicable to purchasing new cars and comply with all the provisions in this by San Luis & Rio Grande Railroad final rule. However, the effort to comply locomotives do not have any impact on (SLRG). SLRG is a Class III railroad and these two small entities because they do with this final rule is commensurate a subsidiary of Permian Basin Railways, with the size of the entity, the number not purchase or order new passenger Inc. (Permian). Permian is in turn cars or passenger locomotives. of trains the entity operates, the number owned by Iowa Pacific Holdings, LLC of employees the railroad employs, and There are reporting, recordkeeping, (IPH). The SNC primarily transports and compliance burdens associated the railroad’s current operating rules for passengers to Saratoga Springs, tourists with this regulation. FRA estimates that the operation of its trains’ exterior side seeking to sightsee along the Hudson the total cost of the final rule for the doors. Tourist, historic, and excursion River, and travelers connecting to and railroad industry over a 20-year period railroads are exempt from this final rule. from Amtrak service. It also operates will be $15.2 million (undiscounted)— See 49 CFR 238.3. special events trains. The SNC is $8.3 million (discounted at 7 percent), For purposes of this analysis, there involved with the operation of or $11.5 million (discounted at 3 are two intercity passenger railroads, passenger trains year round using percent). Based on information Amtrak and the Alaska Railroad conventional locomotives in the lead, currently available, FRA estimates that Corporation. Neither is considered a typically pulling consists of passenger 1 percent or less of the total railroad small entity. Amtrak is a Class I railroad coaches and other cars such as baggage costs associated with implementing the and therefore not a small railroad. The cars and dining cars. The SNC has about final rule will be borne by small entities. Alaska Railroad is a Class II railroad and 37 total employees, including about 7 FRA estimates that the approximate also not considered to be a small engineers and conductors that are total cost for small railroads for the 20- railroad per the definition of small responsible for safe door operations year period could range between entity in FRA’s published statement of under this final rule. agency policy referenced above. The $75,000 and $151,000 (undiscounted) Alaska Railroad is owned by the State Substantial Number of Small Entities depending on discount rates and the of Alaska, which has a population well There are two railroads that are 5 In addition, the Hawkeye Express provides in excess of 50,000. Therefore, they are considered small entities for purposes of service under contract to a State institution (i.e., the not considered small entities in this this analysis and together they comprise University). It may be able to pass some or all of analysis. about 7 percent of the railroads the compliance cost on to that institution.

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extent of costs relative to larger operate with their trains’ exterior side expenditure needed to purchase a fleet, railroads. FRA estimates impacts on doors closed between train stations. as well as track and equipment. these two railroads annually could Paragraphs (d) and (f) of § 238.135 are Furthermore, the two railroads under range on average between $950 and focused on the railroads having consideration only compete with $1900 to comply with the final rule. The sufficient operating rules to ensure the individual automobile traffic and serve cost to these two small entities will be safe operation of their trains’ exterior to reduce congestion on roadways. One considerably less on average than that of side passenger doors. Paragraph (e) of the two entities, Hawkeye Express, the other 28 railroads. FRA reasonably requires the passenger train transports passengers to a stadium from believes this will not be a significant crewmembers to be trained on the distant parking lots. The SNC provides economic burden. For a thorough requirements of the section (i.e., passenger train service to tourist and presentation of cost estimates please § 238.135), and paragraph (g) requires other destinations between Sarasota refer to the regulatory evaluation, which corresponding operational testing to Springs and North Creek, New York. is in the docket for this rulemaking. demonstrate the crewmembers’ and FRA is not aware of any bus service that Turning now to the economic impacts control center personnel’s knowledge of currently exists that competes with of specific provisions of the final rule, the door operating rules. Likewise, either of these railroads. Thus, while the regulatory evaluation estimates that paragraphs (a) and (b) of § 238.137 this final rule will have an economic the requirements in § 238.133(a) require railroads to adopt and comply impact on all passenger railroads, it will (crewmember door by-pass verification) with operating rules to provide for the not have an impact on the competitive are the largest cost for railroads, safe use of equipment with position of small railroads. accounting for about two-thirds of total incompatible exterior side door systems discounted costs. Section 238.133(a) when utilized in a mixed consist. For 4. Certification requires verifying that the by-pass most railroads some of these Pursuant to the RFA, FRA prepared devices to override the door safety requirements will be new burdens with and made available for public comment features are sealed in the normal, non- associated costs. Railroads will have to an initial regulatory flexibility analysis by-pass mode. The related provision in review their existing operating rules and describing the impacts of the proposed § 238.133(b) requires by-pass devices training plans. However, crewmembers rule on small entities (5 U.S.C. 603(a)). that are found unsealed to be reported responsible for door operations (i.e., the FRA did not receive any comments from and has conditions for replacing the engineer and conductor) would have small entities or comments regarding seal; it accounts for about 3 percent of received some training on door the economic impact on small entities. costs. However, neither the Hawkeye operations as part of their professional FRA does not expect the final rule to Express nor SNC operates trains that use training and certification programs. have a significant economic impact on by-pass devices, and would therefore Moreover, § 238.137 would not apply to a substantial number of small entities. have no costs associated with this most railroads because most railroads Therefore, in lieu of preparing a final requirement. do not operate mixed consists.6 Thus, regulatory flexibility analysis, FRA will The second most costly provision, the economic burdens for § 238.135(b) certify the final rule per section 605 of accounting for about 16 percent of costs, through (g), as well as § 238.137(a) and the RFA. is § 238.131, which implements door (b), depend on whether the railroads’ This final rule directly affects all safety standards for new passenger cars current operating rules already include railroads that provide intercity, or and connected locomotives, including the door operation requirements in the commuter or short-haul, passenger train the industry APTA Standard. These final rule and whether they operate service, of which there are currently 30 requirements also do not impact these mixed consists. for purposes of this analysis (two two small entities because they do not The door safety features and their intercity passenger railroads and 28 purchase or order new passenger cars or associated operating rules in the final other railroads that provide passenger passenger locomotives. In fact, Hawkeye rule are not new or novel procedures, train service). FRA estimates that two of Express’ operator owns the cars and but currently exist. All larger-volume these railroads, or about 7 percent, are locomotives. Due to the limited passenger service railroads have some small entities. Therefore, this final rule operations of both entities, and other door operating rules; the smaller will have an impact on a substantial factors, it is unlikely that these entities railroads may have less extensive door number of small entities. FRA notes that will purchase new passenger cars operating rules corresponding to the these entities operate a small number of anytime in the near future. In addition, fewer types of equipment they run. In trains annually and employ a small for all railroads, § 238.131 applies to addition, for § 238.135(d) through (g), number of crewmembers responsible for new rail passenger cars and connected and § 238.137(b), FRA is giving railroads safe exterior side door operations. However, FRA has determined that locomotives used in passenger service 1,095 days (3 years) after the date of the economic impact on entities affected that are ordered on or after 120 days publication of the final rule in the by the final rule will not be significant. after the date this rule is published in Federal Register to comply (or begin to The impact of the most burdensome the Federal Register, or placed into comply, for § 238.135(g)). Lastly, the requirement, to verify that by-pass service for the first time on or after 790 cost of all these requirements for small devices are in the normal position and days after the date the rule is published business entities is estimated to be less sealed, does not affect these entities in the Federal Register. This time than two percent of the total cost of the because they do not run trains that use period gives the railroads sufficient time final rule. to reach compliance. by-pass devices. The second most For § 238.135, the costs will vary for Market and Competition Considerations. burdensome provision, requiring certain these two entities. For paragraph (b) of The railroad industry has several door safety features on new passenger § 238.135, which generally requires significant barriers to entry, such as the cars and connected locomotives used in exterior side doors and trap doors to be need to own or otherwise obtain access passenger service, will also not affect closed when the train is moving to rights-of-way and the high capital these entities as they are not expected between stations, FRA does not to order new passenger equipment. In anticipate any cost to these small 6 For example, FRA observed that MARC and addition, the final rule allows additional entities because both railroads currently MBTA operated mixed consists. time to meet these requirements. The

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other requirements of the final rule are up to three years after the publication of C. Paperwork Reduction Act about adopting and complying with safe the final rule to adopt and comply with door operating rules, and training these operating rules and training FRA is submitting the information crewmembers on these door operating requirements. Therefore, FRA believes collection requirements in this final rule rules. The impact of these operating that the economic impact of these for review and approval to the Office of rules will depend on the nature of a operating rules and training Management and Budget (OMB) under railroad’s passenger operations. The two requirements will be minimal. the Paperwork Reduction Act of 1995 small entities have limited numbers of Accordingly, the Administrator of the (44 U.S.C. 3501 et seq.). The sections employees and train operations per year FRA hereby certifies that this final rule that contain the new information and to which this rule will apply. Also, the will not have a significant economic current information collection final rule provides flexibility in meeting impact on a substantial number of small requirements and the estimated time to these requirements by giving railroads entities. fulfill each requirement are as follows:

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

229.47—Emergency brake valve—Marking 30 railroads ...... 30 markings ...... 1 minute ...... 1 hour. brake pipe valve as such. —DMU, MU, control cab locomotives— 30 railroads ...... 5 markings ...... 1 minute ...... 08 hour. Marking emergency brake valve as such. 238.7—Waivers ...... 30 railroads ...... 5 waivers ...... 2 hours ...... 10 hours. 238.15—Movement of passenger equipment 30 railroads ...... 1,000 tags ...... 3 minutes ...... 50 hours. with power brake defect. —Movement of passenger equipment— 30 railroads ...... 288 tags ...... 3 minutes ...... 14 hours. Defective en route. —Conditional requirement—Notifications 30 railroads ...... 144 notices ...... 3 minutes ...... 7 hours. 238.17—Limitations on movement of pas- 30 railroads ...... 200 tags ...... 3 minutes ...... 10 hours. senger equipment—Defects found at cal- endar day insp. & on movement of pas- senger equipment—Develops defects en route. —Special requisites—Movement—Pas- 30 railroads ...... 76 tags ...... 3 minutes ...... 4 hours. senger equip.—Saf. appl. defect. —Crew member notifications ...... 30 railroads ...... 38 radio notifications .. 30 seconds ...... 32 hour. 238.21—Petitions for special approval of al- 30 railroads ...... 1 petition ...... 16 hours ...... 16 hours. ternative standards. —Petitions for special approval of alter- 30 railroads ...... 1 petition ...... 120 hours ...... 120 hours. native compliance. —Petitions for special approval of pre- 30 railroads ...... 10 petitions ...... 40 hours ...... 400 hours. revenue service acceptance testing plan. —Comments on petitions ...... Public/RR Industry ..... 4 comments ...... 1 hour ...... 4 hours. 238.103—Fire safety: —Procuring new pass. equipment—Fire 2 new railroads ...... 2 analyses ...... 150 hours ...... 300 hours. safety analysis. —Existing equipment—Final fire safety 30 railroads ...... 1 analysis ...... 40 hours ...... 40 hours. analysis. —Transferring existing equipment—Re- 30 railroads/APTA ...... 3 analyses ...... 20 hours ...... 60 hours. vised fire safety analysis. 238.107—Inspection/testing/maintenance 30 railroads ...... 12 reviews ...... 60 hours ...... 720 hours. plans—Review by railroads. 238.109—Employee/contractor training— 7,500 employees/100 2,500 empl./100 train- 1.33 hours ...... 3,458 hours. Training employees—Mechanical inspec- trainers. ers. tion. —Recordkeeping—Employee/Contractor 30 railroads ...... 2,500 records ...... 3 minutes ...... 125 hours. Current Qualifications. 238.111—Pre-revenue service acceptance 9 equipment manufac- 2 plans ...... 16 hours ...... 32 hours. testing plan: Passenger equipment that turers. has previously been used in service in the U.S. —Passenger equipment that has not 9 equipment manufac- 2 plans ...... 192 hours ...... 384 hours. been previously used in revenue serv- turers. ice in the U.S. —Subsequent equipment orders ...... 9 equipment manufac- 2 plans ...... 60 hours ...... 120 hours. turers. 238.131—New passenger equipment w/exte- 6 equipment manufac- 3 FMECAs ...... 4 hours ...... 12 hours. rior side doors—FMECA analysis for door turers. safety system (New Requirement). 238.133—Exterior side door safety sys- 28 railroads ...... 30 plans ...... 4 hours ...... 120 hours. tems—Functional test plan (New Require- ment).

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

—Unsealed door bypass device—Crew- 28 railroads ...... 9,994 notifications ...... 30 seconds ...... 84 hours. member notification to designated au- thority of unsealed door by-pass de- vice. —Train crew safety briefing after activa- 28 railroads ...... 300 briefings ...... 2 minutes ...... 10 hours. tion of door by-pass device. —Train crew notification to designated 28 railroads ...... 300 notices ...... 30 seconds ...... 3 hours. authority. —Qualified person (QP) or qualified me- 28 railroads ...... 300 decisions\consults 5 minutes ...... 25 hours. chanical person (QMP) determination that repairs cannot be made and that it is safe to move equipment. —QP or QMP notification to train crew 28 railroads ...... 300 notices ...... 30 seconds ...... 3 hours. member in charge of train movement that door by-pass device has been ac- tivated. —Train crew safety briefing—regarding 28 railroads ...... 300 briefings ...... 10 minutes ...... 50 hours. their position on train. —Record of door by-pass activation ...... 28 railroads ...... 300 records ...... 2 minutes ...... 10 hours. —Record of unintended door opening ... 28 railroads ...... 20 records ...... 2 hours ...... 40 hours. —Record of unsealed door by-pass de- 28 railroads ...... 20 records ...... 4 hours ...... 80 hours. vices as part of calendar day inspec- tion. 238.135—Operating practices for exterior 28 railroads ...... 2 requests ...... 25 hours ...... 50 hours. side door safety systems (New Require- ments)—RR request for special approval from FRA to operate passenger train w/ex- terior side doors or trap doors, or both, open. —FRA request to passenger RR for ad- 28 railroads ...... 1 document ...... 12 hours ...... 12 hours. ditional information regarding RR spe- cial request for approval. —RR written operating rule on how to 28 railroads ...... 10 operating rules ...... 42 hours ...... 420 hours. safely override a door summary circuit or no-motion system, or both. —Copy of RR written operating rules to 28 railroads ...... 10,000 copies ...... 1 minute ...... 167 hours. employees. —RR employee training in this section’s 28 railroads ...... 3,383 tr. employees ... 30 minutes ...... 1,692 hours. requirements and how to identify/iso- late malfunctioning exterior powered or manual side door. —Training of new RR employees ...... 5 new railroads ...... 150 workers ...... 30 minutes ...... 75 hours. —Operational/efficiency tests of RR op- 28 railroads ...... 3,383 tests ...... 2 minutes ...... 113 hours. erating crewmembers and control cen- ter employees. —RR operating rule requiring train crew- 28 railroads ...... Included above under Included above under Included above under members to determine status of their section 238.135(d). sec. 238.135(d). sec. 238.135(d). train’s exterior side doors. 238.137—RR operating rule to provide for 10 railroads ...... Included above under Included above under Included above under the safe use of equipment with incompat- section 238.135(d). section 238.135(d). section 238.135(d). ible exterior side door systems when used in a mixed consist (New Requirement). 238.213—Corner posts—Plan to meet sec- 30 railroads ...... 10 plans ...... 40 hours ...... 400 hours. tion’s corner post requirements for cab car or MU locomotives. 238.229—Safety appliances: —Welded safety appliances considered 30 railroads ...... 30 lists ...... 1 hour ...... 30 hours. defective: Lists. —Lists identifying equip. w/welded safe- 30 railroads ...... 30 lists ...... 1 hour ...... 30 hours. ty appliances. —Defective welded safety appliances— 30 railroads ...... 4 tags ...... 3 minutes ...... 20 hr. tags. —Notification to crewmembers about 30 railroads ...... 2 notices ...... 1 minute ...... 0333 hr. non-compliant equipment. —Inspection plans ...... 30 railroads ...... 30 plans ...... 16 hours ...... 480 hours. —Inspection personnel—training ...... 30 railroads ...... 60 workers ...... 4 hours ...... 240 hours. —Remedial action: Defect/crack in 30 railroads ...... 1 record ...... 2.25 hours ...... 2 hours. weld—record. —Petitions for special approval of alter- 30 railroads ...... 15 petitions ...... 4 hours ...... 60 hours. native compliance—impractical equip- ment design.

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

—Records of inspection/repair of welded 30 railroads ...... 3,060 records ...... 12 minutes ...... 612 hours. safety appliance brackets/supports/ training. 238.230—Safety appliances—New equip- 30 railroads ...... 100 records ...... 6 minutes ...... 10 hours. ment—Inspection record of welded equip- ment by qualified employee. —Welded safety appliances: Docu- 30 railroads ...... 15 document ...... 4 hours ...... 60 hours. mentation for equipment impractically designed to mechanically fasten safe- ty appliance support. 238.231—Brake system—Inspection and re- 30 railroads ...... 2,500 forms ...... 21 minutes ...... 875 hours. pair of hand/parking brake: Records. —Procedures verifying hold of hand/ 30 railroads ...... 30 procedures ...... 2 hours ...... 60 hours. parking brakes. 238.237—Automated monitoring: —Documentation for alerter/deadman 30 railroads ...... 3 documents ...... 2 hours ...... 6 hours. control timing. —Defective alerter/deadman control: 30 railroads ...... 25 tags ...... 3 minutes ...... 1 hour. Tagging. 238.303—Exterior calendar day mechanical 30 railroads ...... 25 notices ...... 1 minute ...... 1 hour. inspection of passenger equipment: Notice of previous inspection. —Dynamic brakes not in operating 30 railroads ...... 50 tags ...... 3 minutes ...... 3 hours. mode: Tag. —Conventional locomotives equipped 30 railroads ...... 50 tags ...... 3 minutes ...... 3 hours. with inoperative dynamic brakes: Tag- ging. —MU passenger equipment found with 30 railroads ...... 4 documents ...... 2 hours ...... 8 hours. inoperative/ineffective air compressors at exterior calendar day inspection: Documents. —Written notice to train crew about in- 30 railroads ...... 100 notices ...... 3 minutes ...... 5 hours. operative/ineffective air compressors. —Records of inoperative air compres- 30 railroads ...... 100 records ...... 2 minutes ...... 3 hours. sors. —Record of exterior calendar day me- 30 railroads ...... 1,959,620 records ...... 10 minutes + 1 minute 359,264 hours. chanical inspection. 238.305—Interior calendar day mechanical 30 railroads ...... 540 tags ...... 1 minute ...... 9 hours. inspection of passenger cars—Tagging of defective end/side doors. —Records of interior calendar day in- 30 railroads ...... 1,968,980 records ...... 5 minutes + 1 minute 196,898 hours. spection. 238.307—Periodic mechanical inspection of 30 railroads ...... 2 notices/notifications 5 hours ...... 10 hours. passenger cars and unpowered vehicles— Alternative inspection intervals: Notifica- tions. —Notice of seats/seat attachments bro- 30 railroads ...... 200 notices ...... 2 minutes ...... 7 hours. ken or loose. —Records of each periodic mechanical 30 railroads ...... 19,284 records ...... 200 hours/2 minutes .. 3,857,443 hours. inspection. —Detailed documentation of reliability 30 railroads ...... 5 documents ...... 100 hours ...... 500 hours. assessments as basis for alternative inspection interval. 238.311—Single car test—Tagging to indi- 30 railroads ...... 50 tags ...... 3 minutes ...... 3 hours. cate need for single car test. 238.313—Class I brake test—Record for ad- 30 railroads ...... 15,600 records ...... 30 minutes ...... 7,800 hours. ditional inspection for passenger equip- ment that does not comply with § 238.231(b)(1). 238.315—Class IA brake test: —Notice to train crew that test has been 30 railroads ...... 18,250 notices ...... 5 seconds ...... 25 hours. performed (verbal notice). —Communicating signal tested and op- 30 railroads ...... 365,000 tests ...... 15 seconds ...... 1,521 hours. erating. 238.317—Class II brake test—Commu- 30 railroads ...... 365,000 tests ...... 15 seconds ...... 1,521 hours. nicating signal tested and operating. 238.321—Out-of-service credit—Passenger 30 railroads ...... 1,250 notes ...... 2 minutes ...... 42 hours. car: Out-of-use notation. 238.445—Automated monitoring: —Performance monitoring: Alerters/ 1 railroad ...... 10,000 alerts ...... 10 seconds ...... 28 hours. alarms. —Monitoring system: Self-test feature: 1 railroad ...... 21,900 notices ...... 20 seconds ...... 122 hours. Notifications.

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

238.503—Inspection, testing, and mainte- 1 railroad ...... 1 plan ...... 1,200 hours ...... 1,200 hours. nance requirements—Plans. 238.505—Program approval procedures— Rail Industry ...... 3 comments ...... 3 hours ...... 9 hours. Submission of program/plans and com- ments on programs.

All estimates include the time for include regulations that have Homeland Security (with respect to reviewing instructions; searching ‘‘substantial direct effects on the States, railroad security matters), except when existing data sources; gathering or on the relationship between the national the State law, regulation, or order maintaining the needed data; and government and the States, or on the qualifies under the ‘‘essentially local reviewing the information. For distribution of power and safety or security hazard’’ exception to information or a copy of the paperwork responsibilities among the various section 20106. Moreover, the Supreme package submitted to OMB, contact Mr. levels of government.’’ Under Executive Court has interpreted the former LIA to Robert Brogan, Information Clearance Order 13132, an agency may not issue preempt the field of locomotive safety. Officer, Office of Railroad Safety, FRA, a regulation with federalism See Napier v. Atlantic Coast Line R.R., at 202–493–6292, or Ms. Kimberly implications that imposes substantial 272 U.S. 605 (1926). Toone, Records Management Officer, direct compliance costs and that is not E. International Trade Impact Office of Information Technology, FRA, required by statute, unless the Federal Assessment at 202–493–6132, or via email at the government provides the funds following addresses: Robert.Brogan@ necessary to pay the direct compliance The Trade Agreements Act of 1979 dot.gov; [email protected]. costs incurred by State and local (Pub. L. 96–39, 19 U.S.C. 2501 et seq.) Organizations and individuals governments, or the agency consults prohibits Federal agencies from desiring to submit comments on the with State and local government engaging in any standards or related collection of information requirements officials early in the process of activities that create unnecessary should send them directly to the Office developing the regulation. Where a obstacles to the foreign commerce of the of Management and Budget, Office of regulation has federalism implications United States. Legitimate domestic Information and Regulatory Affairs, and preempts State law, the agency objectives, such as safety, are not Washington, DC 20503, Attention: FRA seeks to consult with State and local considered unnecessary obstacles. The Desk Officer. Comments may also be officials in the process of developing the statute also requires consideration of sent via email to the Office of regulation. international standards and, where Management and Budget at the FRA has analyzed this final rule appropriate, that they be the basis for following address: oira_submissions@ under the principles and criteria in U.S. standards. omb.eop.gov. Executive Order 13132. This final rule FRA has assessed the potential effect OMB is required to make a decision will not have a substantial effect on of this rulemaking on foreign commerce concerning the collection of information States or their political subdivisions, and believes that its requirements are requirements contained in this final rule and it will not affect the relationships consistent with the Trade Agreements between 30 and 60 days after between the Federal government and Act. The requirements are safety publication of this document in the States or their political subdivisions, or standards, which, as noted, are not Federal Register. Therefore, a comment the distribution of power and considered unnecessary obstacles to to OMB is best assured of having its full responsibilities among the various trade. Moreover, FRA has sought, to the effect if OMB receives it within 30 days levels of government. In addition, FRA extent practicable, to state the of publication. determined this regulatory action will requirements in terms of the FRA cannot impose a penalty on not impose substantial direct performance desired, rather than in persons for violating information compliance costs on States or their more narrow terms restricted to a collection requirements which do not political subdivisions. Therefore, the particular design or system. display a current OMB control number, consultation and funding requirements F. Environmental Impact if required. FRA intends to obtain of Executive Order 13132 do not apply. current OMB control numbers for new However, this final rule could have FRA has evaluated this final rule information collection requirements preemptive effect by operation of law under the National Environmental resulting from this rulemaking action under certain provisions of the Federal Policy Act (NEPA; 42 U.S.C. 4321 et prior to the effective date of this final railroad safety statutes, specifically the seq.), other environmental statutes, rule. The OMB control number, when former Federal Railroad Safety Act of related regulatory requirements, and its assigned, will be announced by separate 1970, repealed and recodified at 49 ‘‘Procedures for Considering notice in the Federal Register. U.S.C. 20106, and the former Environmental Impacts’’ (FRA’s Locomotive Boiler Inspection Act (LIA) Procedures) (64 FR 28545, May 26, D. Federalism Implications at 45 U.S.C. 22–34, repealed and re- 1999). FRA has determined this final Executive Order 13132, ‘‘Federalism’’ codified at 49 U.S.C. 20701–20703. rule is categorically excluded from (64 FR 43255, Aug. 10, 1999), requires Section 20106 provides that States may detailed environmental review under FRA to develop an accountable process not adopt or continue in effect any law, section 4(c)(20) of FRA’s NEPA to ensure ‘‘meaningful and timely input regulation, or order related to railroad Procedures, ‘‘Promulgation of railroad by State and local officials in the safety or security that covers the subject safety rules and policy statements that development of regulatory policies that matter of a regulation prescribed or do not result in significantly increased have federalism implications.’’ ‘‘Policies order issued by the Secretary of emissions of air or water pollutants or that have federalism implications’’ are Transportation (with respect to railroad noise or increased traffic congestion in defined in the Executive Order to safety matters) or the Secretary of any mode of transportation.’’ See 64 FR

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28547, May 26, 1999. Categorical one or more Indian tribes, will not advance notices of proposed exclusions (CEs) are actions identified impose substantial direct compliance rulemaking, and notices of proposed in an agency’s NEPA implementing costs on Indian tribal governments, and rulemaking: (1)(i) That is a significant procedures that do not normally have a will not preempt tribal laws. Therefore, regulatory action under Executive Order significant impact on the environment the funding and consultation 12866 or any successor order, and (ii) is and therefore do not require either an requirements of Executive Order 13175 likely to have a significant adverse effect environmental assessment (EA) or do not apply, and a tribal summary on the supply, distribution, or use of environmental impact statement (EIS). impact statement is not required. energy; or (2) that is designated by the See 40 CFR 1508.4. Administrator of the Office of In analyzing the applicability of a CE, I. Unfunded Mandates Reform Act of 1995 Information and Regulatory Affairs as a the agency must also consider whether significant energy action. extraordinary circumstances are present Under section 201 of the Unfunded FRA has evaluated this final rule that would warrant a more detailed Mandates Reform Act of 1995 (Pub. L. under Executive Order 13211. FRA environmental review through the 104–4, 2 U.S.C. 1531), each Federal determined this final rule is not likely preparation of an EA or EIS. Id. Under agency ‘‘shall, unless otherwise to have a significant adverse effect on section 4(c) and (e) of FRA’s Procedures, prohibited by law, assess the effects of the supply, distribution, or use of FRA has further concluded that no Federal regulatory actions on State, energy. Consequently, FRA has extraordinary circumstances exist with local, and tribal governments, and the determined that this regulatory action is respect to this regulation that might private sector (other than to the extent not a ‘‘significant energy action’’ within trigger the need for a more detailed that such regulations incorporate the meaning of the Executive Order. environmental review. The purpose of requirements specifically set forth in this rulemaking is to develop and install law).’’ Section 202 of the Act (2 U.S.C. K. Privacy Act safer door operating mechanisms and 1532) further requires that ‘‘before Consistent with 5 U.S.C. 553(c), DOT procedures including testing and promulgating any general notice of solicits comments from the public to notification requirements. FRA does not proposed rulemaking that is likely to better inform its rulemaking process. anticipate any environmental impacts result in the promulgation of any rule DOT posts these comments, without from these requirements and finds that that includes any Federal mandate that edit, including any personal information there are no extraordinary may result in expenditure by State, the commenter provides, to circumstances present in connection local, and tribal governments, in the www.regulations.gov, as described in with this final rule. aggregate, or by the private sector, of the system of records notice (DOT/ALL– $100,000,000 or more (adjusted G. Executive Order 12898 14 FDMS), which can be reviewed at annually for inflation) in any 1 year, and (Environmental Justice) www.dot.gov/privacy. before promulgating any final rule for Executive Order 12898, Federal which a general notice of proposed L. Analysis Under 1 CFR Part 51 Actions to Address Environmental rulemaking was published, the agency As required by 1 CFR 51.5, FRA has Justice in Minority Populations and shall prepare a written statement’’ summarized the standard incorporated Low-Income Populations, and DOT detailing the effect on State, local, and by reference and shown its reasonable Order 5610.2(a) (91 FR 27534, May 10, tribal governments and the private availability in the section-by-section 2012) require DOT agencies to achieve sector. When adjusted for inflation analysis of this rulemaking document. environmental justice as part of their using the Consumer Price Index for All List of Subjects in 49 CFR Part 238 mission by identifying and addressing, Urban Consumers as published by the as appropriate, disproportionately high Bureau of Labor Statistics, the Incorporation by reference, Passenger and adverse human health or equivalent value of $100,000,000 in year equipment, Railroad safety, Reporting environmental effects, including 2014 dollars is $155,000,000.7 This final and recordkeeping requirements. interrelated social and economic effects, rule will not result in the expenditure, The Rule of their programs, policies, and in the aggregate, of $155,000,000 or For the reasons discussed in the activities on minority populations and more in any one year, and thus preamble, FRA amends part 238 of low-income populations. The DOT preparation of such a statement is not chapter II, subtitle B of title 49, Code of Order instructs DOT agencies to address required. compliance with Executive Order 12898 Federal Regulations as follows: and requirements within the DOT Order J. Energy Impact PART 238—[AMENDED] in rulemaking activities, as appropriate. Executive Order 13211 requires FRA has evaluated this final rule under Federal agencies to prepare a Statement ■ 1. The authority citation for part 238 Executive Order 12898 and the DOT of Energy Effects for any ‘‘significant continues to read as follows: Order and determined it will not cause energy action.’’ See 66 FR 28355, May disproportionately high and adverse 22, 2001. Under the Executive Order, a Authority: 49 U.S.C. 20103, 20107, 20133, 20141, 20302–20303, 20306, 20701–20702, human health and environmental effects ‘‘significant energy action’’ is defined as 21301–21302, 21304; 28 U.S.C. 2461, note; on minority populations or low-income any action by an agency (normally and 49 CFR 1.89. populations. published in the Federal Register) that H. Executive Order 13175 (Tribal promulgates or is expected to lead to the Subpart A—General Consultation) promulgation of a final rule or regulation, including notices of inquiry, ■ 2. Section 238.5 is amended by adding FRA has evaluated this final rule in alphabetical order definitions of ‘‘By- under the principles and criteria 7 See DOT guidance ‘‘2015 Threshold of pass’’, ‘‘Door isolation lock’’, ‘‘Door contained in Executive Order 13175, Significant Regulatory Actions Under the Unfunded summary circuit’’, ‘‘End-of-train Consultation and Coordination with Mandates Reform Act of 1995,’’ May 6, 2015 circuit’’, ‘‘Exterior side door safety (update), available electronically at http:// Indian Tribal Governments, dated www.transportation.gov/office-policy/ system’’, ‘‘No-motion system’’, and November 6, 2000. This final rule will transportation-policy/2015-threshold-significant- ‘‘Trainline door circuit’’ to read as not have a substantial direct effect on regulatory-actions-under-unfunded. follows:

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§ 238.5 Definitions. approved February 11, 2011. In door is under the direct physical control * * * * * particular, locomotives used in of a crewmember for his or her By-pass means a device designed to passenger service shall be connected or exclusive use; override a function. interlocked with the door summary (2) Connected to interior and exterior * * * * * circuit to prohibit the train from side door status indicators; Door isolation lock means a cutout/ developing tractive power if an exterior (3) Connected to a door summary lockout mechanism installed at each side door in a passenger car is not status indicator that is readily viewable to the engineer from his or her normal exterior side door panel to secure a door closed, unless the door is under the position in the operating cab; and in the closed and latched position, direct physical control of a crewmember (4) If equipped with a door by-pass provide a door-closed indication to the for his or her exclusive use. The device, designed so that the by-pass summary circuit, and remove power incorporation by reference of this APTA device functions only when activated from the door motor or door motor standard was approved by the Director from the operating cab of the train. controls. of the Federal Register in accordance with 5 U.S.C. 552(a) and 1 CFR part 51. (c) Additional requirements. In Door summary circuit means a addition to the requirements of this trainline door circuit that provides an You may obtain a copy of the incorporated document from the section, requirements related to exterior indication to the controlling cab of the side door safety on passenger trains are train that all exterior side doors are American Public Transportation Association, 1666 K Street NW., Suite provided in §§ 238.112, 238.133, closed as intended, or locked out with 238.135, 238.137, and 238.439. a door isolation lock, or both. 1100, Washington, DC 20006 (telephone 202–496–4800; www.apta.com). You ■ 4. Section 238.133 is added to subpart * * * * * may inspect a copy of the document at End-of-train circuit means a feature B to read as follows: the Federal Railroad Administration, typically used to determine the physical Docket Clerk, 1200 New Jersey Avenue § 238.133 Exterior side door safety end of the train, or the last passenger car systems—all passenger cars and SE., Washington, DC or at the National in the train, or both, for the door locomotives used in a passenger service. Archives and Records Administration summary circuit. (NARA). For information on the (a) By-pass device verification—(1) * * * * * availability of this material at NARA, Visual inspection. Except as provided in Exterior side door safety system call 202–741–6030, or go to http:// paragraphs (a)(2) and (3) of this section, means a system of safety features that www.archives.gov/federal_register/ a member of the crew of each passenger enable the safe operation of the exterior code_of_federal_regulations/ibr_ train must verify by observation that all side doors of a passenger car or train. locations.html; door by-pass devices that can affect the The exterior side door safety system (2) Be designed based on a Failure safe operation of the train are sealed in includes appurtenances and Modes, Effects, Criticality Analysis the normal (non-by-pass) position when components that control, operate, and (FMECA); taking control of the train. display the status of the exterior side (3) Contain an obstruction detection (2) Functional test. Instead of a visual doors, and is interlocked with the train’s system sufficient to detect and react to inspection of the door by-pass devices, traction power control. both small and large obstructions and the railroad may develop a plan to * * * * * allow the obstruction to be released perform a functional test to determine No-motion system means a system on when detected; that the door summary status indicator a train that detects the motion of the (4) Be designed so that activation of is functioning as intended. The train. a door by-pass feature does not affect functional test plan shall be made the operation of the obstruction available for inspection by FRA. * * * * * (3) Face-to-face relief. Crewmembers Trainline door circuit means a circuit detection system; (5) Require a door control panel key taking control of a train do not need to used to convey door signals over the perform either a visual inspection or a length of a train. or other secure device to activate a door control panel; functional test of the door by-pass * * * * * (6) Not be operated from a door devices in cases of face-to-face relief of control panel when the door control another train crew and notification by Subpart B—Safety Planning and that crew as to the functioning of the General Requirements panel key or other secure device is removed; and door by-pass devices. (b) Unsealed door by-pass device. A ■ 3. Section 238.131 is added to subpart (7) Not be affected by the movement crewmember must notify the railroad’s B to read as follows: or position of the locomotive throttle. A train’s throttle position shall neither designated authority pursuant to the § 238.131 Exterior side door safety open nor close the exterior side doors railroad’s defect reporting system if a systems—new passenger cars and on the train. door by-pass device that could affect the locomotives used in passenger service. (b) Safety system for manual and safe operation of the train is found (a) Safety systems for powered powered exterior side doors. All manual unsealed during the train’s daily exterior side doors. All powered exterior and powered exterior side door systems operation. If the train crew can test the side door safety systems in passenger in passenger cars, and connected door door safety system and determine that cars, and connected door safety systems safety systems in locomotives used in the door summary status indicator is in locomotives used in passenger passenger service, that are ordered on or functioning as intended, the train may service, that are ordered on or after after April 5, 2016, or placed in service travel in service until the next forward April 5, 2016, or placed in service for for the first time on or after February 5, repair point where a seal can be applied the first time on or after February 5, 2018 shall be: by a qualified maintenance person 2018, shall: (1) Designed with a door summary (QMP) or until its next calendar day (1) Be built in accordance with APTA circuit and so connected or interlocked inspection, whichever occurs first; if standard PR–M–S–18–10, ‘‘Standard for as to prohibit the train from developing not, the train crew must follow the Powered Exterior Side Door System tractive power if an exterior side door in procedures outlined in paragraph (c) of Design for New Passenger Cars,’’ a passenger car is not closed, unless the this section.

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(c) En route failure. If it becomes side door safety system override devices Railroads shall provide these written necessary to activate a door by-pass must be inactive and sealed in all rules to their crewmembers and control device, the train may continue to its passenger cars and all locomotives in center personnel and make them destination terminal, provided that the the train consist, including cab cars and available for inspection by FRA. These train crew conducts a safety briefing MU locomotives, if they are so written rules shall include: that includes a description of the equipped. (1) Instructions to crewmembers and location(s) where crewmembers will ■ 5. Section 238.135 is added to subpart control center personnel, describing position themselves on the train in B to read as follows: what conditions must be present in order to observe the boarding and order to override the door summary alighting of passengers, notifies the § 238.135 Operating practices for exterior circuit or no-motion system, or both; side door safety systems. railroad’s designated authority that the and (a) At the beginning of his or her duty train’s door by-pass device has been (2) Steps crewmembers and control assignment prior to the train’s activated, and adheres to the operating center personnel must take after the departure, each crewmember must rules required by § 238.135. After the door summary circuit or no-motion train has reached its destination participate in a safety briefing that system, or both, have been overridden to terminal, the train may continue in identifies each crewmember’s help provide for continued passenger passenger service until its arrival at the responsibilities relating to the safe safety. next forward repair point or its next operation of the train’s exterior side calendar day inspection, whichever doors, including responsibilities for the (e) No later than December 6, 2018, occurs first, provided that prior to safe operation of the exterior side doors each passenger train crewmember must movement of equipment with a door by- when arriving at or departing a station. be trained on: pass device activated: (b) After April 5, 2016, all passenger (1) The requirements of this section; (1) An on-site QMP shall determine train exterior side doors and trap doors and that repairs cannot be made at the time must be closed when a train is in (2) How to identify and isolate and it is safe to move the equipment in motion between stations except when: equipment with a malfunctioning passenger service. If a QMP is not (1) The train is departing or arriving exterior powered or manual side door. available on site, these determinations at a station if: (f) No later than December 6, 2018, may be made based upon a description (i) A crewmember needs to observe each railroad shall adopt and comply of the condition provided by an on-site the station platform; and with operating rules requiring train qualified person (QP) to a QMP offsite; (ii) The open door is attended by the crewmembers to determine the status of and crewmember; or their train’s exterior side doors so that (2) A crewmember must perform on- (2) The QP or QMP shall notify the their train may safely depart a station. ground functions, such as, but not crewmember in charge of the movement These rules shall require crewmembers limited to, lining switches, making up of the train that the door by-pass device to determine that there are no or splitting the train, providing crossing has been activated. The train crew must obstructions in their train’s exterior side protection, or inspecting the train. then hold a safety briefing that includes doors before the train departs. information such as the locations where (c)(1) Except as provided in paragraph each crewmember will position himself (b) of this section, passenger railroads (g) Beginning December 6, 2018, each or herself on the train to ensure that must receive special approval from railroad shall periodically conduct passengers board and alight from the FRA’s Associate Administrator for operational (efficiency) tests and train safely. Railroad Safety/Chief Safety Officer to observations of its operating (d) Records. The railroad shall operate passenger trains with exterior crewmembers and control center maintain a record of each door by-pass side doors or trap doors, or both, open personnel as appropriate to their roles, activation and each unintended opening between stations. to determine each individual’s of a powered exterior side door, (2) Any request for special approval knowledge of the railroad’s powered including any repair(s) made, in the must include: and manual exterior side door safety defect tracking system as required by (i) A written justification explaining procedures for its passenger trains. § 238.19. the need to operate a passenger train ■ 6. Section 238.137 is added to subpart (e) Door control panels. Exterior side with its exterior side doors or trap B to read as follows: doors shall not be capable of operation doors, or both, open between stations; from a door control panel when the key and § 238.137 Mixed consist; operating or other similar device is removed. (ii) A detailed hazard analysis, equipment with incompatible exterior side (f) End-of-train circuit. End-of-train including a description of specific door systems. circuit integrity shall be maintained. measures to mitigate any added risk. (a) A train made up of equipment When switches are used to establish the (3) The request must be signed by the with incompatible exterior side door end-of-train circuit, the switches shall chief executive officer (CEO), or systems shall be operated within the be secured in a manner to prevent equivalent, of the organization(s) constraints of each such door system. access by unauthorized personnel. making the request. (b) No later than December 6, 2018, (g) Exterior side door safety system (4) FRA may request that the each railroad shall adopt and comply override devices. (1) Exterior side door passenger railroad submit additional with operating rules to provide for the safety system override devices that can information to support its request before safe use of equipment with adversely affect the train’s door safety FRA approves the request. incompatible exterior side door systems (d) No later than December 6, 2018, system must be inactive and sealed in when utilized in a mixed consist. all passenger cars and locomotives in each railroad shall adopt and comply the train consist, including cab cars and with operating rules on how to safely ■ 7. Appendix A to part 238 is amended MU locomotives, if they are so override a door summary circuit or no- by adding entries for §§ 238.131, equipped. motion system, or both, in the event of 238.133, 238.135, and 238.137 in (2) As part of the equipment’s an en route exterior side door failure or numerical order under subpart B to read calendar day inspection, all exterior malfunction on a passenger train. as follows:

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APPENDIX A TO PART 238—SCHEDULE OF CIVIL PENALTIES 12

Section Violation Willful violation

Subpart B—Safety Planning and General Requirements

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238.131 Exterior side door safety systems—new passenger cars and locomotives used in passenger service .. 10,000 15,000 238.133 Exterior side door safety systems—all passenger cars and locomotives used in a passenger service: (a)(1) Failure to verify position of by-pass device or by-pass device not sealed ...... 2,500 5,000 (a)(2) Failure to provide functional test plan ...... 5,000 7,500 (a)(3) Failure to perform visual inspection or functional test ...... 2,500 5,000 (b) Unsealed door by-pass device: (b)(1) Door by-pass device not inactive, sealed, or seal ineffective ...... 2,500 5,000 (b)(2) Failure to notify designated authority ...... 5,000 7,500 (b)(3) Movement beyond repair point ...... 7,500 11,000 (b)(4) Door by-pass device not sealed by QMP at calendar day inspection ...... 2,500 5,000 (c)(1) Failure to follow en route by-pass activation procedures; improper movement of defective equipment 7,500 11,000 (c)(2) Failure to use QMP ...... 5,000 7,500 (d) Failure to maintain record ...... 2,000 4,000 (e) Door control panel not inactive when the key or other similar device is removed ...... 5,000 7,500 (f) End-of-train circuit: (f)(1) End-of-train circuit integrity not maintained ...... 5,000 7,500 (f)(2) Switches not secured to prevent unauthorized access ...... 2,500 5,000 (g) Door by-pass device not inactive, sealed or seal ineffective ...... 2,500 5,000 238.135 Operating practices for exterior side door safety systems: (a) Failure to conduct proper safety briefing ...... 7,500 11,000 (b)(1) Exterior side doors and trap doors not closed when a train is in motion between stations ...... 10,000 15,000 (b)(2) Failure to follow conditions for operating a train while in motion between stations with an exterior side door or trap door open ...... 10,000 15,000 (d) Failure to adopt and comply with operating rules on how to safely override a door summary circuit or no-motion system ...... 9,500 13,000 (e) Failure to provide training ...... 9,500 13,000 (f) Failure to adopt and comply with operating rules requiring crewmembers to determine the status of the train’s exterior side doors ...... 9,500 13,000 (g) Failure to periodically conduct operational (efficiency) tests and observations ...... 9,500 13,000 238.137 Mixed consist; operating equipment with incompatible exterior side door systems: (a) Incompatible exterior side door systems not operated within the constraints of each door safety system 5,000 7,500 (b) Failure to adopt and comply with operating rules to provide for the safe use of equipment with incom- patible exterior side door systems when utilized in a mixed consist ...... 9,500 13,000

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Issued in Washington, DC, on November 25, 2015. Administrator reserves the right to assess a penalty of up to $105,000 for any violation where The penalties listed for failure to perform the Sarah Feinberg, circumstances warrant. See 49 CFR part 209, exterior and interior mechanical inspections and Administrator. appendix A. tests required under § 238.303 and § 238.305 may be [FR Doc. 2015–30488 Filed 12–4–15; 8:45 am] Failure to observe any condition for movement of assessed for each unit of passenger equipment defective equipment set forth in § 238.17 will contained in a train that is not properly inspected. BILLING CODE 4910–06–P deprive the railroad of the benefit of the movement- Whereas, the penalties listed for failure to perform for-repair provision and make the railroad and any the brake inspections and tests under § 238.313 1 A penalty may be assessed against an individual responsible individuals liable for penalty under the through § 238.319 may be assessed for each train only for a willful violation. Generally when two or particular regulatory section(s) concerning the that is not properly inspected. more violations of these regulations are discovered substantive defect(s) present on the unit of 2 The penalty schedule uses section numbers with respect to a single unit of passenger equipment passenger equipment at the time of movement. from 49 CFR part 238. If more than one item is that is placed or continued in service by a railroad, Failure to observe any condition for the listed as a type of violation of a given section, each the appropriate penalties set forth above are movement of passenger equipment containing item is also designated by a ‘‘penalty code,’’ which aggregated up to a maximum of $16,000 per day. defective safety appliances, other than power is used to facilitate assessment of civil penalties, However, failure to perform, with respect to a and which may or may not correspond to any particular unit of passenger equipment, any of the brakes, set forth in § 238.17(e) will deprive the subsection designation(s). For convenience, penalty inspections and tests required under subparts D and railroad of the movement-for-repair provision and citations will cite the CFR and the penalty code, if F of this part will be treated as a violation separate make the railroad and any responsible individuals any. FRA reserves the right, should litigation and distinct from, and in addition to, any liable for penalty under the particular regulatory substantive violative conditions found on that unit section(s) contained in part 231 of this chapter or become necessary, to substitute in its complaint the of passenger equipment. Moreover, the § 238.429 concerning the substantive defective CFR citation in place of the combined CFR and condition. penalty code citation, should they differ.

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