769 Part 238—Passenger Equipment Safety Standards

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Federal Railroad Administration, DOT Pt. 238

APPENDIX B TO PART 237—SCHEDULE OF CIVIL PENALTIES 1—Continued

Section 2 Violation Willful violation

237.133 Supervision of repairs and modifications ...... 5,500 10,000

Subpart G—Documentation, Records and Audits of Bridge Management Programs

237.151 Audits; general ...... 2,500 5,000 237.153 Audits of inspections ...... 2,500 5,000 237.155 Documents and records: (a) Electronic recordkeeping, general ...... 2,500 5,000 (b) System security ...... 2,500 5,000 1 A penalty may be assessed against an individual only for a willful violation. The Administrator reserves the right to assess a penalty of up to $100,000 for any violation where circumstances warrant. See 49 CFR part 209, appendix A. 2 The penalty schedule uses section numbers from 49 CFR part 237. If more than one item is listed as a type of violation of a given section, each item is also designated by a ‘‘penalty code,’’ which is used to facilitate assessment of civil penalties, and which may or may not correspond to any subsection designation(s). For convenience, penalty citations will cite the CFR section and the penalty code, if any. FRA reserves the right, should litigation become necessary, to substitute in its complaint the CFR citation in place of the combined CFR and penalty code citation, should they differ.

PART 238—PASSENGER EQUIPMENT FIGURE 1A TO SUBPART B OF PART 238—EXAM- PLE OF LOCATION OF RESCUE ACCESS WIN- SAFETY STANDARDS DOWS—§ 238.114 FIGURE 1B TO SUBPART B OF PART 238—EXAM- Subpart A—General PLE OF LOCATION AND STAGGERING OF EMERGENCY WINDOW EXITS AND LOCATION Sec. OF RESCUE ACCESS WINDOWS—§§ 238.113 238.1 Purpose and scope. AND 238.114 238.3 Applicability. FIGURE 1C TO SUBPART B OF PART 238—EXAM- 238.5 Definitions. PLE OF A PASSENGER COMPARTMENT IN- 238.7 Waivers. CLUDING A VESTIBULE CONNECTED BY AN 238.9 Responsibility for compliance. OPEN PASSAGEWAY AND EXCLUDING A VES- 238.11 Penalties. TIBULE SEPARATED BY AN INTERIOR 238.13 Preemptive effect. DOOR—§§ 238.113 AND 238.114 238.15 Movement of passenger equipment FIGURE 2 TO SUBPART B OF PART 238—EXAM- with power brake defects. PLE OF A MULTI-LEVEL CAR COMPLYING 238.17 Movement of passenger equipment WITH WINDOW LOCATION AND STAGGERING with other than power brake defects. REQUIREMENTS—§§ 238.113 AND 238.114 238.19 Reporting and tracking of repairs to FIGURE 2A TO SUBPART B OF PART 238—EXAM- defective passenger equipment. PLE OF AN INTERMEDIATE LEVEL SEATING 238.21 Special approval procedure. AREA OF A MULTI-LEVEL CAR COMPLYING 238.23 Information collection. WITH WINDOW LOCATION REQUIREMENTS— §§ 238.113 AND 238.114 Subpart B—Safety Planning and General FIGURE 2B TO SUBPART B OF PART 238—EXAM- Requirements PLE OF AN INTERMEDIATE LEVEL SEATING AREA OF A MULTI-LEVEL CAR COMPLYING 238.101 Scope. WITH WINDOW LOCATION REQUIREMENTS— 238.103 Fire safety. §§ 238.113 AND 238.114 238.105 Train electronic hardware and soft- FIGURE 3 TO SUBPART B OF PART 238—EXAM- ware safety. PLE OF LOCATION AND MARKING OF STRUC- 238.107 Inspection, testing, and maintenance TURAL WEAK POINTS ON ROOF OF PAS- plan. SENGER CAR—§ 238.123 238.109 Training, qualification, and designation program. Subpart C—Specific Requirements for Tier I 238.111 Pre-revenue service acceptance test- Passenger Equipment ing plan. 238.201 Scope/alternative compliance. 238.113 Emergency window exits. 238.203 Static end strength. 238.114 Rescue access windows. 238.205 Anti-climbing mechanism. 238.115 Emergency lighting. 238.207 Link between coupling mechanism 238.117 Protection against personal injury. and car body. 238.119 Rim-stamped straight-plate wheels. 238.209 Forward-facing end structure of lo- 238.121 Emergency communication. comotives, including cab cars and MU lo- 238.123 Emergency roof access. comotives. FIGURE 1 TO SUBPART B OF PART 238—EXAM- 238.211 Collision posts. PLE OF LOCATION AND STAGGERING OF 238.213 Corner posts. EMERGENCY WINDOW EXITS—§ 238.113 238.215 Rollover strength.

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238.217 Side structure. FIGURE 1 TO SUBPART E—POWER CAR CAB 238.219 Truck-to-car-body attachment. FORWARD END STRUCTURE CONCEPTUAL 238.221 Glazing. IMPLEMENTATION 238.223 Locomotive fuel tanks. FIGURE 2 TO SUBPART E—POWER CAR CAB 238.225 Electrical system. REAR END STRUCTURE CONCEPTUAL IM- 238.227 Suspension system. PLEMENTATION 238.229 Safety appliances—general. FIGURE 3 TO SUBPART E—TRAILER CAR END 238.230 Safety appliances—new equipment. STRUCTURE CONCEPTUAL IMPLEMENTATION 238.231 Brake system. FIGURE 4 TO SUBPART E—TRAILER CAR IN- 238.233 Interior fittings and surfaces. BOARD VESTIBULE END STRUCTURE CON- 238.235 Doors. CEPTUAL IMPLEMENTATION 238.237 Automated monitoring. FIGURE 1 TO SUBPART C OF PART 238 Subpart F—Inspection, Testing, and Main- tenance Requirements for Tier II Pas- Subpart D—Inspection, Testing, and Main- senger Equipment tenance Requirements for Tier I Pas- senger Equipment 238.501 Scope. 238.503 Inspection, testing, and maintenance 238.301 Scope. requirements. 238.303 Exterior calendar day mechanical 238.505 Program approval procedure. inspection of passenger equipment. 238.305 Interior calendar day mechanical in- Subpart G—Specific Safety Planning Re- spection of passenger cars. quirements for Tier II Passenger Equip- 238.307 Periodic mechanical inspection of passenger cars and unpowered vehicles ment used in passenger trains. 238.601 Scope. 238.309 Periodic brake equipment mainte- 238.603 Safety planning requirements. nance. 238.311 Single car test. APPENDIX A TO PART 238—SCHEDULE OF CIVIL 238.313 Class I brake test. PENALTIES 238.315 Class IA brake test. APPENDIX B TO PART 238—TEST METHODS AND 238.317 Class II brake test. PERFORMANCE CRITERIA FOR THE FLAMMA- 238.319 Running brake test. BILITY AND SMOKE EMISSION CHARACTER- 238.321 Out-of-service credit. ISTICS OF MATERIALS USED IN PASSENGER CARS AND LOCOMOTIVE CABS Subpart E—Specific Requirements for Tier II APPENDIX C TO PART 238—SUSPENSION SYS- Passenger Equipment TEM SAFETY PERFORMANCE STANDARDS APPENDIX D TO PART 238—REQUIREMENTS FOR 238.401 Scope. EXTERNAL FUEL TANKS ON TIER I LOCO- 238.403 Crash energy management. MOTIVES 238.405 Longitudinal static compressive APPENDIX E TO PART 238—GENERAL PRIN- strength. CIPLES OF RELIABILITY-BASED MAINTE- 238.407 Anti-climbing mechanism. NANCE PROGRAMS 238.409 Forward end structures of power car APPENDIX F TO PART 238—ALTERNATIVE DY- cabs. NAMIC PERFORMANCE REQUIREMENTS FOR 238.411 Rear end structures of power car FRONT END STRUCTURES OF CAB CARS AND cabs. MU LOCOMOTIVES 238.413 End structures of trailer cars. AUTHORITY: 49 U.S.C. 20103, 20107, 20133, 238.415 Rollover strength. 20141, 20302–20303, 20306, 20701–20702, 21301– 238.417 Side loads. 21302, 21304; 28 U.S.C. 2461, note; and 49 CFR 238.419 Truck-to-car-body and truck compo- 1.49. nent attachment. 238.421 Glazing. SOURCE: 64 FR 25660, May 12, 1999, unless 238.423 Fuel tanks. otherwise noted. 238.425 Electrical system. 238.427 Suspension system. 238.429 Safety appliances. Subpart A—General 238.431 Brake system. 238.433 Draft system. § 238.1 Purpose and scope. 238.435 Interior fittings and surfaces. (a) The purpose of this part is to pre- 238.437 [Reserved] vent collisions, derailments, and other 238.439 Doors. occurrences involving railroad pas- 238.441 Emergency roof access. 238.443 Headlights. senger equipment that cause injury or 238.445 Automated monitoring. death to railroad employees, railroad 238.447 Train operator’s controls and power passengers, or the general public; and car cab layout. to mitigate the consequences of such

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occurrences to the extent they cannot equipment subject to this part, in vio- be prevented. lation of a power brake provision of (b) This part prescribes minimum this part or a safety appliance provi- Federal safety standards for railroad sion of this part, are subject to the passenger equipment. This part does power brake and safety appliance pro- not restrict a railroad from adopting visions of this part with respect to and enforcing additional or more strin- such operations. gent requirements not inconsistent (c) This part does not apply to: with this part. (1) Rapid transit operations in an (c) Railroads to which this part ap- urban area that are not connected to plies shall be responsible for compli- the general railroad system of trans- ance with all of the requirements con- portation; tained in §§ 238.15, 238.17, 238.19, 238.107, (2) A railroad that operates only on 238.109, and subpart D of this part effec- track inside an installation that is not tive January 1, 2002. part of the general railroad system of (1) A railroad may request earlier ap- transportation; plication of the requirements con- (3) Tourist, scenic, historic, or excur- tained in §§ 238.15, 238.17, 238.19, 238.107, sion operations, whether on or off the 238.109, and subpart D upon written no- general railroad system of transpor- tification to FRA’s Associate Adminis- tation; or trator for Safety. Such a request shall (4) Circus trains. indicate the railroad’s readiness and ability to comply with all of the provi- § 238.5 Definitions. sions referenced in paragraph (c) intro- As used in this part— ductory text of this section. AAR means the Association of Amer- (2) Except for paragraphs (b) and (c) ican Railroads. of § 238.309, a railroad may specifically APTA means the American Public request earlier application of the main- Transit Association. tenance and testing provisions con- Actuator means a self-contained tained in §§ 238.309 and 238.311 simulta- brake system component that gen- neously. In order to request earlier ap- erates the force to apply the brake plication of these two sections, the shoe or brake pad to the wheel or disc. railroad shall indicate its readiness and An actuator typically consists of a cyl- ability to comply with all of the provi- inder, piston, and piston rod. sions contained in both of those sec- Administrator means the Adminis- tions. trator of the Federal Railroad Admin- (3) Paragraphs (b) and (c) of § 238.309 istration or the Administrator’s dele- apply beginning September 9, 1999. gate. [64 FR 25660, May 12, 1999, as amended at 65 Alerter means a device or system in- FR 41305, July 3, 2000; 67 FR 19989, Apr. 23, stalled in the locomotive cab to pro- 2002] mote continuous, active locomotive engineer attentiveness by monitoring se- § 238.3 Applicability. lect locomotive engineer-induced con- (a) Except as provided in paragraph trol activities. If fluctuation of a mon- (c) of this section, this part applies to itored locomotive engineer-induced all: control activity is not detected within (1) Railroads that operate intercity a predetermined time, a sequence of or commuter passenger train service on audible and visual alarms is activated standard gage track which is part of so as to progressively prompt a re- the general railroad system of trans- sponse by the locomotive engineer. portation; and Failure by the locomotive engineer to (2) Railroads that provide commuter institute a change of state in a mon- or other short-haul rail passenger train itored control, or acknowledge the service in a metropolitan or suburban alerter alarm activity through a man- area as described by 49 U.S.C. 20102(1), ual reset provision, results in a penalty including public authorities operating brake application that brings the loco- passenger train service. motive or train to a stop. (b) Railroads that permit to be used Anti-climbing mechanism means the or hauled on their lines passenger parts at the ends of adjoining vehicles

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

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that extend vertically from the Critical buckling stress means the underframe to which they are securely minimum stress necessary to initiate attached and that provide protection buckling of a structural member. to occupied compartments from an ob- Dual-function window means a win- ject penetrating the vehicle during a dow that is intended to serve as both collision. an emergency window exit and a rescue Control valves means that part of the access window and that meets the ap- air brake equipment on each rail car or plicable requirements set forth in both locomotive that controls the charging, §§ 238.113 and 238.114. application, and release of the air Emergency brake application means an brakes, in response to train line com- irretrievable brake application result- mands. ing in the maximum retarding force Corner posts means structural mem- available from the train brake system. bers located at the intersection of the Emergency responder means a member front or rear surface with the side sur- of a police or fire department, or other face of a rail vehicle and which extend organization involved with public safe- vertically from the underframe to the ty charged with providing or coordi- roof. Corner posts may be combined nating emergency services, who re- with collision posts to become part of sponds to a passenger train emergency. the end structure. Emergency window means the seg- Crack means a fracture without comment of a side-facing glazing panel plete separation into parts, except that has been designed to permit rapid that, in a casting, a shrinkage crack or and easy removal from inside a pas- hot tear that does not significantly di- senger car in an emergency situation. minish the strength of the member is End structure means the main support not a crack. structure projecting upward from the Crash energy management means an underframe of a locomotive, passenger approach to the design of rail pas- car, or other rail vehicle. The end senger equipment which controls the structure is securely attached to the dissipation of energy during a collision underframe at each end of a rail vehi- to protect the occupied volumes from cle. crushing and to limit the decelerations 50th-percentile adult male means a per- on passengers and crewmembers in son weighing 164 pounds (plus or minus those volumes. This may be accom- 3 pounds) and possessing the following plished by designing energy-absorbing dimensions: erect sitting height: 35.7 structures of low strength in the unoc- inches (plus or minus 0.1 inch); hip cupied volumes of a rail vehicle or pas- breadth (sitting): 14.7 inches (plus or senger train to collapse in a controlled minus 0.7 inch); hip circumference (sit- manner, while providing higher struc- ting): 42 inches; waist circumference tural strength in the occupied volumes. (sitting): 32 inches (plus or minus 0.6 Energy deflection can also be part of a inch); chest depth: 9.3 inches (plus or crash energy management approach. minus 0.2 inch); and chest circum- Crash energy management can be used ference: 37.4 inches (plus or minus 0.6 to help provide anti-climbing resist- inch). ance and to reduce the risk of train Foul means restrict the intended buckling during a collision. movement of one or more brake system Crash refuge means a volume with components because the component is structural strength designed to maxi- snagged, entangled, or twisted. mize the survivability of crewmembers FRA means the Federal Railroad Ad- stationed in the locomotive cab during ministration. a collision. Fuel tank, external means a fuel con- Crewmember means a railroad em- tainment vessel that extends outside ployee called to perform service cov- the car body structure of a locomotive. ered by the Federal hours of service Fuel tank, internal means a fuel con- laws at 49 U.S.C. 21103 and subject to tainment vessel that does not extend the railroad’s operating rules and pro- outside the car body structure of a lo- gram of operational tests and inspec- comotive. tions required in § 217.9 and § 217.11 of Full-height collision post, corner post, this chapter. or side frame post means any vertical

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framing member in the rail car body In service, when used in connection structure that spans the distance be- with passenger equipment, means: tween the underframe and the roof at (1) Passenger equipment subject to the car body section where the post is this part that is in passenger or rev- located. For collision posts located at enue service in the United States; and the approximate third points laterally (2) All other passenger equipment of an end frame, the term ‘‘full-height’’ subject to this part in the United applies to posts that extend and con- States, unless the passenger equip- nect to supporting structural members ment: in the roof at the location of the posts, (i) Is being handled in accordance or to a beam connected to the top of with §§ 238.15, 238.17, 238.305(d), or the end-frame and supported by the 238.503(f), as applicable; roof rails (or anti-telescoping plate), or (ii) Is in a repair shop or on a repair to both. track; Full service application means a brake (iii) Is on a storage track and is not application which results in a brake carrying passengers; or cylinder pressure at the service lim- (iv) Has been delivered in inter- iting valve setting or equivalent. change but has not been accepted by Glazing, end-facing means a glazing the receiving railroad. panel located where a line perpen- Intercom means a device through dicular to the exterior surface of the which voice communication is trans- panel makes an angle of 50 degrees or mitted and received. less with the longitudinal center line of Intercom system means a two-way, the rail vehicle in which the panel is voice communication system. installed. A glazing panel that curves Interior fitting means any component so as to meet the definition for both in the passenger compartment which is side-facing and end-facing glazing is mounted to the floor, ceiling, side- walls, or end walls and projects into considered end-facing glazing. the passenger compartment more than Glazing, exterior means a glazing 25 mm (1 in.) from the surface or sur- panel that is an integral part of the ex- faces to which it is mounted. Interior terior skin of a rail vehicle and has a fittings do not include side and end surface exposed to the outside environ- walls, floors, door pockets, or ceiling ment. lining materials, for example. Glazing, side-facing means a glazing Intermediate level means a level of a panel located where a line perpen- multi-level passenger car that is used dicular to the exterior surface of the for passenger seating and is normally panel makes an angle of more than 50 located between two main levels. An degrees with the longitudinal center intermediate level normally contains line of the rail vehicle in which the two, separate seating areas, one at panel is installed. each end of the car, and is normally Handrails means safety appliances in- connected to each main level by stairs. stalled on either side of a rail vehicle’s Lateral means the horizontal direc- exterior doors to assist passengers and tion perpendicular to the direction of crewmembers to safely board and de- travel. part the vehicle. Locomotive means a piece of on-track Head end power means power gen- rail equipment, other than hi-rail, spe- erated on board the locomotive of a cialized maintenance, or other similar passenger train used for purposes other equipment, which may consist of one than propelling the train, such as cook- or more units operated from a single ing, heating, illumination, ventilation control stand with one or more propel- and air conditioning. ling motors designed for moving other In passenger service/in revenue service passenger equipment; with one or more means a train or passenger equipment propelling motors designed to trans- that is carrying, or available to carry, port freight or passenger traffic, or passengers. Passengers need not have both; or without propelling motors but paid a fare in order for the equipment with one or more control stands. This to be considered in passenger or in rev- term does not include a locomotive enue service. propelled by steam power unless it is

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used to haul an intercity or commuter weighing 215 pounds and possessing the passenger train. Nor does this term in- following dimensions: erect sitting clude a freight locomotive when used height: 38 inches; hip breadth (sitting): to haul a passenger train due to failure 16.5 inches; hip circumference (sitting): of a passenger locomotive. 47.2 inches; waist circumference (sit- Locomotive cab means the compart- ting): 42.5 inches; chest depth: 10.5 ment or space on board a locomotive inches; and chest circumference 44.5 where the control stand is located and inches. which is normally occupied by the en- Occupied volume means the volume of gineer when the locomotive is oper- a rail vehicle or passenger train where ated. passengers or crewmembers are nor- Locomotive, cab car means rail rolling mally located during service operation, equipment intended to provide trans- such as the operating cab and pas- portation for members of the general senger seating and sleeping areas. The public that is without propelling mo- entire width of a vehicle’s end com- tors but equipped with one or more partment that contains a control stand control stands. is an occupied volume. A vestibule is Locomotive, controlling means the lo- typically not considered occupied, ex- comotive from which the locomotive cept when it contains a control stand engineer exercises control over the for use as a control cab. train. Ordered, as applied to acquisition of Locomotive, MU means rail rolling equipment, means that the acquiring equipment self-propelled by any power entity has given a notice to proceed to source and intended to provide trans- manufacture the equipment that rep- portation for members of the general resents a firm financial commitment public; however, this term does not in- to compensate the manufacturer for clude an MU locomotive propelled by the contract price of the equipment or steam power unless it is used to haul for damages if the order is nullified. an intercity or commuter passenger Equipment is not ordered if future ex- train. ercise of a contract option is required Longitudinal means in a direction to place the remanufacturing process parallel to the normal direction of in motion. travel. Luminescent material means material Override means to climb over the nor- that absorbs light energy when ambi- mal coupling or side buffers and link- ent levels of light are high and emits ing mechanism and impact the end of this stored energy when ambient levels the adjoining rail vehicle or unit above of light are low, making the material the underframe. appear to glow in the dark. PA system (or public address system) L/V ratio means the ratio of the lat- means a one-way, voice communica- eral force that any wheel exerts on an tion system. individual rail to the vertical force ex- Passenger car means rail rolling erted by the same wheel on the rail. equipment intended to provide trans- Main level means a level of a pas- portation for members of the general senger car that contains a passenger public and includes a self-propelled car compartment whose length is equal to designed to carry passengers, baggage, or greater than half the length of the mail, or express. This term includes a car. passenger coach, cab car, and an MU MIL-STD–882 means a military stand- locomotive. In the context of articu- ard issued by the United States Depart- lated equipment, ‘‘passenger car’’ ment of Defense to provide uniform re- means that segment of the rail rolling quirements for developing and imple- equipment located between two trucks. menting a system safety plan and pro- This term does not include a private gram to identify and then eliminate car. the hazards of a system or reduce the Passenger coach means rail rolling associated risk to an acceptable level. equipment intended to provide trans- Mph means miles per hour. portation for members of the general 95th-percentile adult male means, ex- public that is without propelling mo- cept as used in § 238.447(f)(2), a person tors and without a control stand.

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Passenger compartment means an area Piston travel indicator means a device of a passenger car that consists of a directly activated by the movement of seating area and any vestibule that is the brake cylinder piston, the disc connected to the seating area by an brake actuator, or the tread brake unit open passageway. cylinder piston that provides an indica- Passenger equipment—means tion of the piston travel. (1) All powered and unpowered pas- Power car means a rail vehicle that senger cars, locomotives used to haul a propels a Tier II passenger train or is passenger car, and any other rail roll- the lead vehicle in a Tier II passenger ing equipment used in a train with one train, or both. or more passenger cars. Passenger Pre-revenue service acceptance testing equipment includes— plan means a document, as further (i) A passenger coach, specified in § 238.111, prepared by a rail- (ii) A cab car, road that explains in detail how pre- (iii) A MU locomotive, revenue service tests of passenger (iv) A locomotive not intended to equipment demonstrate that the equip- provide transportation for a member of ment meets Federal safety standards the general public that is used to power and the railroad’s own safety require- a passenger train, and ments. (v) Any non-self-propelled vehicle Primary responsibility means the task used in a passenger train, including an that a person performs during at least express car, baggage car, mail car, 50 percent of the time that the person freight car, or a private car. is working. The totality of the cir- (2) In the context of articulated cumstances will be considered on a equipment, ‘‘passenger equipment’’ case-by-case basis in circumstances means a segment of rail rolling equip- where an individual does not spend 50 ment located between two trucks that percent of his or her workday engaged is used in a train with one or more pas- in any one readily identifiable type of senger cars. This term does not include activity. Time spent supervising em- a freight locomotive when used to haul ployees engaged in the functions of a passenger train due to failure of a troubleshooting, inspection, testing, passenger locomotive. maintenance, or repair of train brake Passenger station means a location and mechanical components and sys- designated in a railroad’s timetable tems covered by this part shall be con- where passengers are regularly sched- sidered work which is generally con- uled to get on or off any train. sistent with the function of trouble- Permanent deformation means the un- shooting of such systems and compo- dergoing of a permanent change in nents for the purpose of the definition shape of a structural member of a rail of this term and the definition of vehicle. ‘‘Qualified Maintenance Person.’’ Person means an entity of any type Private car means rail rolling equip- covered under 1 U.S.C. 1, including but ment that is used only for excursion, not limited to the following: a railroad; recreational, or private transportation a manager, supervisor, official, or purposes. A private car is not a pas- other employee or agent of a railroad; senger car. any owner, manufacturer, lessor, or Public highway-rail grade crossing lessee of railroad equipment, track, or means a location where a public high- facilities; any independent contractor way, road or street, including associ- providing goods or services to a rail- ated sidewalks or pathways, crosses road; and any employee of such owner, one or more active railroad tracks at manufacturer, lessor, lessee, or inde- grade. pendent contractor. Qualified maintenance person means a Piston travel means the amount of lin- qualified person who has received, as a ear movement of the air brake hollow part of the training, qualification, and rod (or equivalent) or piston rod when designation program required under forced outward by movement of the § 238.109, instruction and training that piston in the brake cylinder or actu- includes ‘‘hands-on’’ experience (under ator and limited by the brake shoes appropriate supervision or apprentice- being forced against the wheel or disc. ship) in one or more of the following

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functions: troubleshooting, inspection, individual has received pursuant to testing, maintenance, or repair of the § 238.109 on a particular function. specific train brake and other compo- Railroad means any form of non- nents and systems for which the person highway ground transportation that is assigned responsibility. This person runs on rails or electromagnetic guide- shall also possess a current under- ways and any entity providing such standing of what is required to prop- transportation, including— erly repair and maintain the safety- (i) Commuter or other short-haul critical brake or mechanical compo- railroad passenger service in a metro- nents for which the person is assigned politan or suburban area and com- responsibility. Further, the qualified muter railroad service that was oper- maintenance person shall be a person ated by the Consolidated Rail Corpora- whose primary responsibility includes tion on January 1, 1979; and work generally consistent with the (ii) High speed ground transportation above-referenced functions and is des- systems that connect metropolitan ignated to: areas, without regard to whether those (1) Conduct Class I brake tests under systems use new technologies not asso- this part; ciated with traditional railroads; but (2) Conduct exterior calendar day me- does not include rapid transit oper- chanical inspections on MU loco- ations in an urban area that are not motives or other passenger cars and connected to the general railroad sys- unpowered vehicles under this part; or tem of transportation. Refresher training means periodic re- (3) Determine whether equipment not training required by a railroad for em- in compliance with this part may be ployees or contractors to remain quali- moved as required by § 238.17. fied to perform specific equipment in- Qualified person means a person who spection, testing, or maintenance func- has received, as a part of the training, tions. qualification, and designation program Repair point means a location des- required under § 238.109, instruction and ignated by a railroad where repairs of training necessary to perform one or the type necessary occur on a regular more functions required under this basis. A repair point has, or should part. The railroad is responsible for de- have, the facilities, tools, and per- termining that the person has the sonnel qualified to make the necessary knowledge and skills necessary to per- repairs. A repair point need not be form the required function for which staffed continuously. the person is assigned responsibility. Rescue access window means a side- The railroad determines the qualifica- facing exterior window intended for use tions and competencies for employees by emergency responders to gain access designated to perform various func- to passengers in an emergency situa- tions in the manner set forth in this tion. part. Although the rule uses the term Respond as intended means to produce ‘‘qualified person’’ to describe a person the result that a device or system is responsible for performing various designed to produce. functions required under this part, a Retroreflective material means a mate- person may be deemed qualified to per- rial that is capable of reflecting light form some functions but not qualified rays back to the light source and that to perform other functions. For exam- conforms to the specifications for Type ple, although a person may be deemed I Sheeting as specified in ASTM Inter- qualified to perform the Class II brake national Standard D 4956–07, ‘‘Standard test required by this part, that same Specification for Retroreflective Sheet- person may or may not be qualified to ing for Traffic Control.’’ The Director perform the Class IA brake test or au- of the Federal Register approves the thorize the movement of defective incorporation by reference of this equipment under this part. The rail- standard in accordance with 5 U.S.C. road will determine the required func- 552(a) and 1 CFR part 51. You may ob- tions for which an individual will be tain a copy of the incorporated stand- deemed a ‘‘qualified person’’ based ard from ASTM International, 100 Barr upon the instruction and training the Harbor Drive, P.O. Box C700, West

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Conshohocken, PA 19428–2959. You may train can be performed safely only inspect a copy of the incorporated while at a maintenance or shop loca- standard at the Federal Railroad Ad- tion where personnel can safely get ministration, Docket Clerk, 1200 New under a unit or between units. Jersey Avenue, SE., Washington, DC, Semi-monocoque means a type of rail or at the National Archives and vehicle construction where the shell or Records Administration (NARA). For skin acts as a single unit with the sup- information on the availability of this porting frame to resist and transmit material at NARA, call 202–741–6030, or the loads acting on the rail vehicle. go to http://www.archives.gov/federal-reg- Shear strength means the ability of a ister/cfr/ibr-locations.html. structural member to resist forces or Rollover strength means the strength components of forces acting perpen- provided to protect the structural in- dicular to compression or tension tegrity of a rail vehicle in the event forces, or both, in the member. the vehicle leaves the track and im- Shock absorbent material means mate- pacts the ground on its side or roof. rial designed to prevent or mitigate in- Roof rail means the longitudinal juries due to impact by yielding and structural member at the intersection absorbing much of the energy of im- of the side wall and the roof sheathing. pact. Running brake test means a test (as Side posts means main vertical struc- further specified in § 238.319) performed tural elements in the sides of a rail ve- by a qualified person of a train system hicle. or component while the train is in motion to verify that the system or com- Side sill means that portion of the ponent functions as intended. underframe or side at the bottom of the rail vehicle side wall. Running gear defect means any condition not in compliance with this part Single car test means a comprehensive which involves a truck component, a test (as further specified in § 238.311) of draft system component, a wheel, or a the functioning of all critical brake wheel component. system components installed on an in- Safety appliance means an appliance dividual passenger car or unpowered required under 49 U.S.C. chapter 203, vehicle, other than a self-propelled pas- excluding power brakes. The term in- senger car, used or allowed to be used cludes automatic couplers, hand in a passenger train. brakes, sill steps, handholds, handrails, Single car test device means a device or ladder treads made of steel or a ma- capable of controlling the application terial of equal or greater mechanical and release of the brakes on an indi- strength used by the traveling public vidual passenger car or an unpowered or railroad employees that provide a vehicle, other than a self-propelled pas- means for safely coupling, uncoupling, senger car, through pneumatic or elec- or ascending or descending passenger trical means. equipment. Skin means the outer covering of a Safety-critical means a component, fuel tank and a rail vehicle. The skin system, or task that, if not available, may be covered with another coating of defective, not functioning, not func- material such as fiberglass. tioning correctly, not performed, or Spall, glazing means small pieces of not performed correctly, increases the glazing that fly off the back surface of risk of damage to passenger equipment the glazing when an object strikes the or injury to a passenger, crewmember, front surface. or other person. Switching service means the classifica- Seating area means an area of a pas- tion of freight cars according to com- senger car that normally contains pas- modity or destination; assembling of senger seating. cars for train movements; changing the Semi-permanently coupled means cou- position of cars for purposes of loading, pled by means of a drawbar or other unloading, or weighing; placing of loco- coupling mechanism that requires motives and cars for repair or storage; tools to perform the uncoupling oper- or moving of rail equipment in connec- ation. Coupling and uncoupling of each tion with work service that does not semi-permanently coupled unit in a constitute a train movement.

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Telescope means override an adjoining senger Corporation’s Northeast Cor- rail vehicle or unit and penetrate into ridor. the interior of that adjoining vehicle or Train, passenger means a train that unit because of compressive forces. transports or is available to transport Terminal means a starting point or members of the general public. If a ending point of a single scheduled trip train is composed of a mixture of pas- for a train, where passengers may get senger and freight equipment, that on or off a train. Normally, this loca- train is a passenger train for purposes tion is a point where the train would of this part. reverse direction or change destina- Train, short-distance intercity pas- tions. senger means a passenger train that Tier I means operating at speeds not provides service exclusively on the Na- exceeding 125 mph. tional Railroad Passenger Corpora- Tier II means operating at speeds ex- tion’s Northeast Corridor or between ceeding 125 mph but not exceeding 150 cities that are not more than 125 miles mph. apart. Train, Tier II passenger means a short- Tourist, scenic, historic, or excursion distance or long-distance intercity pas- operations means railroad operations senger train providing service at speeds that carry passengers, often using anti- that include those exceeding 125 mph quated equipment, with the convey- but not exceeding 150 mph. ance of the passengers to a particular Trainset, passenger means a passenger destination not being the principal pur- train. pose. Train movements of new pas- Transverse means in a direction per- senger equipment for demonstration pendicular to the normal direction of purposes are not tourist, scenic, his- travel. toric, or excursion operations. Ultimate strength means the load at Trailer car means a rail vehicle that which a structural member fractures or neither propels a Tier II passenger ceases to resist any load. train nor is the leading unit in a Tier Uncoupling mechanism means the ar- II passenger train. A trailer car is nor- rangement for operating the coupler by mally without a control stand and is any means. normally occupied by passengers. Underframe means the lower hori- Train means a locomotive unit or lo- zontal support structure of a rail vehi- comotive units coupled, with or with- cle. out cars. For the purposes of the provi- Unit means passenger equipment of sions of this part related to power any type, except a freight locomotive brakes, the term ‘‘train’’ does not in- when used to haul a passenger train clude such equipment when being used due to failure of a passenger loco- in switching service. motive. Train brake communication line means Unoccupied volume means the volume the communication link between the of a rail vehicle or passenger train locomotive and passenger equipment in which does not contain seating and is a train by which the brake commands not normally occupied by passengers or are transmitted. This may be a pneu- crewmembers. matic pipe, electrical line, or radio sig- Vehicle, rail means passenger equip- nal. ment of any type and includes a car, Train, commuter means a passenger trailer car, locomotive, power car, ten- train providing commuter service with- der, or similar vehicle. This term does in an urban, suburban, or metropolitan not include a freight locomotive when area. The term includes a passenger used to haul a passenger train due to train provided by an instrumentality of failure of a passenger locomotive. a State or a political subdivision of a Vestibule means an area of a pas- State. senger car that normally does not con- Train, long-distance intercity passenger tain seating and is used in passing from means a passenger train that provides the seating area to the side exit doors. service between large cities more than Witness plate means a thin foil placed 125 miles apart and is not operated ex- behind a piece of glazing undergoing an clusively in the National Railroad Pas- impact test. Any material spalled or

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broken from the back side of the glaz- (i) That has one or more conditions ing will dent or mark the witness not in compliance with a provision of plate. this part, other than the safety appli- Yard means a system of tracks with- ance and power brake provisions of this in defined limits provided for the mak- part, if the railroad has actual knowl- ing up of trains, storing of cars, or edge of the facts giving rise to the vio- other purposes. lation, or a reasonable person acting in Yard air test means a train brake sys- the circumstances and exercising rea- tem test conducted using a source of sonable care would have that knowl- compressed air other than a loco- edge; or motive. (ii) That has not been inspected and Yield strength means the ability of a tested as required by a provision of this structural member to resist a change part, other than the safety appliance in length caused by a heavy load. Ex- ceeding the yield strength may cause and power brake provisions of this permanent deformation of the member. part, if the railroad has actual knowledge of the facts giving rise to the vio- [64 FR 25660, May 12, 1999, as amended at 65 lation, or a reasonable person acting in FR 41305, July 3, 2000; 67 FR 19989, Apr. 23, the circumstances and exercising rea- 2002; 71 FR 36916, June 28, 2006; 71 FR 61857, Oct. 19, 2006; 73 FR 6400, Feb. 1, 2008] sonable care would have that knowledge; or § 238.7 Waivers. (3) Violate any other provision of this (a) A person subject to a requirement part. of this part may petition the Adminis- (b) For purposes of this part, pas- trator for a waiver of compliance with senger equipment will be considered in such requirement. The filing of such a use prior to departure but after it has petition does not affect the person’s re- received, or should have received, the sponsibility for compliance with that inspection required under this part for requirement while the petition is being movement and is deemed ready for pas- considered. senger service. (b) Each petition for waiver under (c) Although the duties imposed by this section shall be filed in the man- this part are generally stated in terms ner and contain the information re- of the duty of a railroad, any person as quired by part 211 of this chapter. defined in § 238.5, including a con- (c) If the Administrator finds that a tractor for a railroad, who performs waiver of compliance is in the public any function covered by this part must interest and is consistent with railroad perform that function in accordance safety, the Administrator may grant with this part. the waiver subject to any conditions the Administrator deems necessary. § 238.11 Penalties. § 238.9 Responsibility for compliance. (a) Any person, as defined in § 238.5, (a) A railroad subject to this part who violates any requirement of this shall not— part or causes the violation of any such (1) Use, haul, permit to be used or requirement is subject to a civil pen- hauled on its line, offer in interchange, alty of at least $650 and not more than or accept in interchange any train or $25,000 per violation, except that: Pen- passenger equipment, while in service, alties may be assessed against individ- (i) That has one or more conditions uals only for willful violations, and, not in compliance with a safety appli- where a grossly negligent violation or ance or power brake provision of this a pattern of repeated violations has part; or created an imminent hazard of death or (ii) That has not been inspected and injury to persons, or has caused death tested as required by a safety appliance or injury, a penalty not to exceed or power brake provision of this part; $100,000 per violation may be assessed. or Each day a violation continues shall (2) Use, haul, offer in interchange, or constitute a separate offense. See ap- accept in interchange any train or pas- pendix A to this part for a statement of senger equipment, while in service, agency civil penalty policy.

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(b) Any person who knowingly and trator for Safety as provided in willfully falsifies a record or report re- § 238.1(c) of this part. quired by this part may be subject to (a) General. This section contains the criminal penalties under 49 U.S.C. requirements for moving passenger 21311. equipment with a power brake defect without liability for a civil penalty [64 FR 25660, May 12, 1999, as amended at 69 FR 30595, May 28, 2004; 72 FR 51198, Sept. 6, under this part. Railroads remain lia- 2007; 73 FR 79704, Dec. 30, 2008] ble for the movement of passenger equipment under 49 U.S.C. 20303(c). For § 238.13 Preemptive effect. purposes of this section, § 238.17, and (a) Under 49 U.S.C. 20106, issuance of § 238.503, a ‘‘power brake defect’’ is a these regulations preempts any State condition of a power brake component, law, regulation, or order covering the or other primary brake component, same subject matter, except an addi- that does not conform with this part. tional or more stringent law, regula- (Passenger cars and other passenger tion, or order that is necessary to equipment classified as locomotives eliminate or reduce an essentially local under part 229 of this chapter are also safety or security hazard; is not incom- covered by the movement restrictions patible with a law, regulation, or order contained in § 229.9 of this chapter for of the United States Government; and those defective conditions covered by does not unreasonably burden inter- part 229 of this chapter.) state commerce. (b) Limitations on movement of passenger equipment containing a power (b) This part establishes Federal brake defect at the time a Class I or IA standards of care for railroad passenger brake test is performed. Except as pro- equipment. This part does not preempt vided in paragraph (c) of this section an action under State law seeking (which addresses brakes that become damages for personal injury, death, or defective en route after a Class I or IA property damage alleging that a party brake test was performed), a commuter has failed to comply with the Federal or passenger train that has in its con- standard of care established by this sist passenger equipment containing a part, including a plan or program re- power brake defect at the time that a quired by this part. Provisions of a Class I or IA brake test (or, for Tier II plan or program that exceed the re- trains, the equivalent) is performed quirements of this part are not in- may only be moved, without civil pen- cluded in the Federal standard of care. alty liability under this part— (c) Under 49 U.S.C. 20701–20703 (for- (1) If all of the following conditions merly the Locomotive (Boiler) Inspec- are met: tion Act), the field of locomotive safe- (i) The train is moved for purposes of ty is preempted, extending to the de- repair, without passengers; sign, the construction, and the mate- (ii) The applicable operating restric- rial of every part of the locomotive and tions in paragraphs (d) and (e) of this tender and all appurtenances thereof. section are observed; and To the extent that the regulations in (iii) The passenger equipment is this part establish requirements affect- tagged, or information is recorded, as ing locomotive safety, the scope of pre- prescribed in paragraph (c)(2) of this emption is provided by 49 U.S.C. 20701– section; or 20703. (2) If the train is moved for purposes [75 FR 1227, Jan. 8, 2010] of scrapping or sale of the passenger equipment that has the power brake § 238.15 Movement of passenger equip- defect and all of the following condi- ment with power brake defects. tions are met: Beginning on January 1, 2002, the fol- (i) The train is moved without pas- lowing provisions of this section apply sengers; to railroads operating Tier I passenger (ii) The movement is at a speed of 15 equipment covered by this part. A rail- mph or less; and road may request earlier application of (iii) The movement conforms with these requirements upon written noti- the railroad’s air brake or power brake fication to FRA’s Associate Adminis- instructions.

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(c) Limitations on movement of pas- equipment. Such a determination will senger equipment in passenger service be made in writing and will state the that becomes defective en route after a basis for such action. Class I or IA brake test. Passenger equip- (4) Conditional requirement. In addi- ment hauled or used in service in a tion, if an en route failure causes commuter or passenger train that de- power brakes to be cut out or renders velops inoperative or ineffective power the brake inoperative on passenger brakes or any other power brake defect equipment, the railroad shall: while en route to another location (i) Determine the percentage of oper- after receiving a Class I or IA brake ative power brakes in the train based test (or, for Tier II trains, the equiva- on the number of brakes known to be lent) may be hauled or used by a rail- cut out or otherwise inoperative, using road for repair, without civil penalty the formula specified in paragraph liability under this part, if the applica- (d)(1) of this section; ble operating restrictions set forth in (ii) Notify the person responsible for paragraphs (d) and (e) of this section the movement of trains of the percent are complied with and all of the fol- of operative brakes and movement re- lowing requisites are satisfied: strictions on the train imposed by (1) En route defect. At the time of the paragraph (d) of this section; train’s Class I or IA brake test, the (iii) Notify the mechanical depart- passenger equipment in the train was ment of the failure; and properly equipped with power brakes (iv) Confirm the percentage of opera- that comply with this part. The power tive brakes by a walking inspection at brakes on the passenger equipment be- the next location where the railroad come defective while it is en route to reasonably judges that it is safe to do another location. so. (2) Record. A tag or card is placed on (d) Operating restrictions based on per- both sides of the defective passenger cent operative power brakes in train—(1) equipment, or an automated tracking Computation of percent operative power system is provided, with the following brakes. (i) Except as specified in para- information about the defective pas- graphs (d)(1)(ii) and (iii) of this section, senger equipment: the percentage of operative power (i) The reporting mark and car or lo- brakes in a train shall be determined comotive number; by dividing the number of axles in the (ii) The name of the inspecting rail- train with operative power brakes by road; the total number of axles in the train. (iii) The name of the inspector; (ii) For trains equipped with only (iv) The inspection location and date; tread brake units (TBUs), the percent- (v) The nature of each defect; age of operative power brakes shall be (vi) The destination of the equipment determined by dividing the number of where it will be repaired; and operative TBUs by the total number of (vii) The signature, if possible, and TBUs in the train. job title of the person reporting the de- (iii) Each cut-out axle on a loco- fective condition. motive that weighs more than 200,000 (3) Automated tracking system. Auto- pounds shall be counted as two cut-out mated tracking systems used to meet axles for the purposes of calculating the tagging requirements contained in the percentage of operative brakes. Un- paragraph (c)(2) of this section may be less otherwise specified by the railroad, reviewed and monitored by FRA at any the friction braking effort over all time to ensure the integrity of the sys- other axles shall be considered uni- tem. FRA’s Associate Administrator form. for Safety may prohibit or revoke a (iv) The following brake conditions railroad’s ability to utilize an auto- not in compliance with this part do not mated tracking system in lieu of tag- render power brakes inoperative for ging if FRA finds that the automated purposes of this calculation: tracking system is not properly secure, (A) Failure or cutting out of sec- is inaccessible to FRA or a railroad’s ondary brake systems; employees, or fails to adequately track (B) Inoperative or otherwise defec- or monitor the movement of defective tive handbrakes or parking brakes;

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(C) Piston travel that is in excess of brake equipment resulting in at least the Class I brake test limits required in 85 percent but less than 100 percent op- § 238.313 but that does not exceed the erative brakes may only be used as fol- maximum prescribed limits for consid- lows: ering the brakes to be effective; and (A) The train may be moved in pas- (D) Power brakes overdue for inspec- senger service only to the next forward tion, testing, maintenance, or sten- location where the necessary repairs ciling under this part. can be made; however, if the next for- (2) All passenger trains developing 50–74 ward location where the necessary re- percent operative power brakes. A pas- pairs can be made does not have the fa- senger train that develops inoperative cilities to handle the safe unloading of power brake equipment resulting in at passengers, the train may be moved least 50 percent but less than 75 per- past the repair location in service only cent operative power brakes may be to the next forward passenger station used only as follows: in order to facilitate the unloading of (i) The train may be moved in pas- passengers; and senger service only to the next forward (B) After all passengers are dis- passenger station; charged, the defective equipment shall (ii) The speed of the train shall be re- be moved to the nearest location where stricted to 20 mph or less; and the necessary repairs can be made. (iii) After all passengers are dis- (4) Long-distance intercity and long-dis- charged, the defective equipment shall tance Tier II passenger trains developing be moved to the nearest location where 75–99 operative power brakes. (i) 75–84 the necessary repairs can be made. percent operative brakes. Long-distance (3) Commuter, short-distance intercity, intercity and long-distance Tier II pas- and short-distance Tier II passenger senger trains which develop inoper- trains developing 75–99 percent operative ative power brake equipment resulting power brakes. (i) 75–84 percent operative in at least 75 percent but less than 85 brakes. Commuter, short-distance percent operative brakes may be used intercity, and short-distance Tier II only if all of the following restrictions passenger trains which develop inoper- are observed: ative power brake equipment resulting (A) The train may be moved in pas- in at least 75 percent but less than 85 senger service only to the next forward percent operative brakes may be used repair location identified for repair of only as follows: that equipment by the railroad oper- (A) The train may be moved in pas- ating the equipment in the list re- senger service only to the next forward quired by § 238.19(d); however, if the location where the necessary repairs next forward repair location does not can be made; however, if the next for- have the facilities to handle the safe ward location where the necessary re- unloading of passengers, the train may pairs can be made does not have the fa- be moved past the designated repair lo- cilities to handle the safe unloading of cation in service only to the next for- passengers, the train may be moved ward passenger station in order to fa- past the repair location in service only cilitate the unloading of passengers; to the next forward passenger station and in order to facilitate the unloading of (B) The speed of the train shall be re- passengers; and stricted to 50 percent of the train’s (B) The speed of the train shall be re- maximum allowable speed or 40 mph, stricted to 50 percent of the train’s whichever is less; and maximum allowable speed or 40 mph, (C) After all passengers are dis- whichever is less; and charged, the defective equipment shall (C) After all passengers are dis- be moved to the nearest location where charged, the defective equipment shall the necessary repairs can be made. be moved to the nearest location where (ii) 85–99 percent operative brakes. the necessary repairs can be made. Long-distance intercity and long-dis- (ii) 85–99 percent operative brakes. tance Tier II passenger trains which Commuter, short-distance intercity, develop inoperative power brake equip- and short-distance Tier II passenger ment resulting in at least 85 percent trains which develop inoperative power but less than 100 percent operative

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brakes may be used only if all of the § 238.17 Movement of passenger equip- following restrictions are observed: ment with other than power brake (A) The train may be moved in pas- defects. senger service only to the next forward Beginning on January 1, 2002, the fol- repair location identified for repair of lowing provisions of this section apply that equipment by the railroad oper- to railroads operating Tier I passenger ating the equipment in the list re- equipment covered by this part. A rail- quired by § 238.19(d); however, if the road may request earlier application of next forward repair location does not these requirements upon written noti- have the facilities to handle the safe fication to FRA’s Associate Adminis- unloading of passengers, the train may trator for Safety as provided in be moved past the designated repair lo- § 238.1(c) of this part. cation in service only to the next for- (a) General. This section contains the ward passenger station in order to fa- requirements for moving passenger cilitate the unloading of passengers; equipment with other than a power and brake defect. (Passenger cars and other (B) After all passengers are dis- passenger equipment classified as loco- charged, the defective equipment shall motives under part 229 of this chapter be moved to the nearest location where are also covered by the movement re- the necessary repairs can be made. strictions contained in § 229.9 of this (e) Operating restrictions on passenger chapter for those defective conditions trains with inoperative power brakes on covered by part 229 of this chapter.) the front or rear unit. If the power (b) Limitations on movement of pas- brakes on the front or rear unit in any senger equipment containing defects passenger train are completely inoper- found at time of calendar day inspection. ative the following shall apply: Except as provided in §§ 238.303(e)(15), (1) If the handbrake is located inside (e)(17) and (e)(18), 238.305(c) and (d), and the interior of the car: 238.307(c)(1), passenger equipment con- (i) A qualified person shall be sta- taining a condition not in conformity tioned at the handbrake on the unit; with this part at the time of its cal- (ii) The car shall be locked-out and endar day mechanical inspection may empty except for the railroad employee be moved from that location for repair manning the handbrake; and if all of the following conditions are (iii) Appropriate speed restrictions satisfied: shall be placed on the train by a quali- (1) If the condition involves a run- fied person; ning gear defect, the defective equip- (2) If the handbrake is located out- ment is not used in passenger service side the interior of the car or is inac- and is moved in a non-revenue train; cessible to a qualified person: (2) If the condition involves a non- running gear defect, the defective (i) The car shall be locked-out and equipment may be used in passenger empty; service in a revenue train provided that (ii) The speed of the train shall be re- a qualified maintenance person deter- stricted to 20 mph or less; and mines that it is safe to do so, and if so, (iii) The car shall be removed from the car is locked out and empty, and the train or repositioned in the train at all movement restrictions are observed the first location where it is possible to except that the car may be occupied by do so. a member of the train crew or a rail- (f) Special Notice for Repair. Nothing road employee to the extent necessary in this section authorizes the move- to safely operate the train; ment of passenger equipment subject (3) The requirements of paragraphs to a Special Notice for Repair under (c)(3) and (c)(4) of this section are met; part 216 of this chapter unless the and movement is made in accordance with (4) The special requirements of para- the restrictions contained in the Spe- graph (e) of this section, if applicable, cial Notice. are met. [64 FR 25660, May 12, 1999, as amended at 65 (c) Limitations on movement of pas- FR 41306, July 3, 2000; 67 FR 19990, Apr. 23, senger equipment that develops defects en 2002] route. Except as provided in

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§§ 238.303(e)(15), (e)(17) and (e)(18), made in conformance with such restric- 238.305(c), 238.307(c)(1), and 238.503(f), tions. passenger equipment that develops en (4) The railroad shall maintain a route to its destination, after its cal- record of all defects reported and their endar day mechanical inspection is subsequent repair in the defect track- performed and before its next calendar ing system required in § 238.19. In addi- day mechanical inspection is per- tion, prior to movement of the defec- formed, any condition not in compli- tive equipment, a tag or card placed on ance with this part, other than a power both sides of the defective equipment, brake defect, may be moved only if the or an automated tracking system, shall railroad complies with all of the fol- record the following information about lowing requirements or, if applicable, the defective equipment: the specified requirements in para- (i) The reporting mark and car or lo- graph (e) of this section: comotive number; (1) Prior to movement of equipment (ii) The name of the inspecting rail- with a potential running gear defect, a road; qualified maintenance person shall de- (iii) The name of the inspector, in- termine if it is safe to move the equip- spection location, and date; ment in passenger service and, if so, (iv) The nature of each defect; the maximum speed and other restric- (v) Movement restrictions and safety tions necessary for safely conducting restrictions, if any; the movement. If appropriate, these de- (vi) The destination of the equipment where it will be repaired; and terminations may be made based upon (vii) The signature, if possible, as a description of the defective condition well as the job title and location of the provided by a crewmember. If the de- person making the determinations re- terminations required by this para- quired by this section. graph are made by an off-site qualified (5) Automated tracking system. Auto- maintenance person based on a descrip- mated tracking systems used to meet tion of the defective condition by on- the tagging requirements contained in site personnel, then a qualified mainte- paragraph (c)(4) of this section may be nance person shall perform a physical reviewed and monitored by FRA at any inspection of the defective equipment, time to ensure the integrity of the sys- at the first location possible, to verify tem. FRA’s Associate Administrator the description of the defect provided for Safety may prohibit or revoke a by the on-site personnel. railroad’s ability to utilize an auto- (2) Prior to movement of equipment mated tracking system in lieu of tag- with a non-running gear defect, a ging if FRA finds that the automated qualified person or a qualified mainte- tracking system is not properly secure, nance person shall determine if it is is inaccessible to FRA or a railroad’s safe to move the equipment in pas- employees, or fails to adequately track senger service and, if so, the maximum or monitor the movement of defective speed and other restrictions necessary equipment. Such a determination will for safely conducting the movement. If be made in writing and will state the appropriate, these determinations may basis for such action. be made based upon a description of (6) After a qualified maintenance per- the defective condition provided by the son or a qualified person verifies that on-site personnel. the defective equipment is safe to re- (3) Prior to movement of any defec- main in service as required in para- tive equipment, the qualified person or graphs (c)(1) and (c)(2) of this section, qualified maintenance person shall no- the defective equipment that develops tify the crewmember in charge of the a condition not in compliance with this movement of the defective equipment, part while en route may continue in who in turn shall inform all other passenger service not later than the crewmembers of the presence of the de- next calendar day mechanical inspec- fective condition(s) and the maximum tion, if the requirements of this para- speed and other restrictions deter- graph are otherwise fully met. mined under paragraph (c)(1) or (c)(2) (d) Inspection of roller bearings on of this section. The movement shall be equipment involved in a derailment. (1) A

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railroad shall not continue passenger chapter unless the movement is made equipment in service that has a roller in accordance with the restrictions bearing whose truck was involved in a contained in the Special Notice. derailment unless the bearing has been [64 FR 25660, May 12, 1999, as amended at 65 inspected and tested in accordance FR 41306, July 3, 2000; 71 FR 61857, Oct. 19, with the railroad’s procedures for han- 2006; 73 FR 6400, Feb. 1, 2008] dling defective equipment. (2) The roller bearing shall be dis- § 238.19 Reporting and tracking of re- assembled from the axle and inspected pairs to defective passenger equip- internally if: ment. (i) It shows any external sign of dam- (a) General. Beginning on January 1, age; 2002, each railroad shall have in place a (ii) It makes any unusual noise when reporting and tracking system for pas- its wheel set is spun freely (an on-track senger equipment with a defect not in rolling test is acceptable) or when the conformance with this part. A railroad bearing is manually rotated; may request earlier application of (iii) Its truck was involved in a de- these requirements upon written noti- railment at a speed of more than 10 fication to FRA’s Associate Adminis- miles per hour; or trator for Safety as provided in (iv) Its truck was dragged on the § 238.1(c) of this part. The reporting and ground for more than 100 feet. tracking system shall record the fol- (e) Special requisites for movement of lowing information: passenger equipment with safety appli- (1) The identification number of the ance defects. Consistent with 49 U.S.C. defective equipment; 20303, passenger equipment with a safe- (2) The date the defect was discov- ty appliance not in compliance with ered; this part or with part 231 of this chap- (3) The nature of the defect; ter, if applicable, may be moved— (4) The determination made by a (1) If necessary to effect repair of the qualified person or qualified mainte- safety appliance; nance person on whether the equip- (2) From the point where the safety ment is safe to run; appliance defect was first discovered by (5) The name of the qualified person the railroad to the nearest available lo- or qualified maintenance person mak- cation on the railroad where the nec- ing such a determination; essary repairs required to bring the (6) Any operating restrictions placed passenger equipment into compliance on the equipment; and can be made or, at the option of the re- (7) Repairs made and the date that ceiving railroad, the equipment may be they were made. received and hauled for repair to a (b) Retention of records. At a min- point on the receiving railroad’s line imum, each railroad shall keep the that is no farther than the point on the records described in paragraph (a) of delivering railroad’s line where the re- this section for one periodic mainte- pair of the defect could have been nance interval for each specific type of made; equipment as described in the rail- (3) If a tag placed on both sides of the road’s inspection, testing, and mainte- passenger equipment or an automated nance plan required by § 238.107. FRA tracking system contains the informa- strongly encourages railroads to keep tion required under paragraph (c)(4) of these records for longer periods of time this section; and because they form the basis for future (4) After notification of the crew- reliability-based decisions concerning member in charge of the movement of test and maintenance intervals that the defective equipment, who in turn may be developed pursuant to shall inform all other crewmembers of § 238.307(b). the presence of the defective condi- (c) Availability of records. Railroads tion(s). shall make defect reporting and track- (f) Special Notice for Repair. Nothing ing records available to FRA upon re- in this section authorizes the move- quest. ment of equipment subject to a Special (d) List of power brake repair points. Notice for Repair under part 216 of this Railroads operating long-distance

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intercity and long-distance Tier II pas- (1) The name, title, address, and tele- senger equipment shall designate loca- phone number of the primary person to tions, in writing, where repairs to pas- be contacted with regard to the peti- senger equipment with a power brake tion; defect will be made and shall provide (2) The elements prescribed in the list to FRA’s Associate Adminis- §§ 238.201(b), 238.229(j)(2), and 238.230(d); trator for Safety and make it available and to FRA for inspection and copying (3) A statement affirming that the upon request. Railroads operating railroad has served a copy of the peti- these trains shall designate a sufficient tion on designated representatives of number of repair locations to ensure the safe and timely repair of passenger its employees, together with a list of equipment. These designations shall the names and addresses of the persons not be changed without at least 30 served. days’ advance written notice to FRA’s (d) Petitions for special approval of pre- Associate Administrator for Safety. revenue service acceptance testing plan. (1) Each petition for special approval of [64 FR 25660, May 12, 1999, as amended at 65 a pre-revenue service acceptance test- FR 41306, July 3, 2000] ing plan shall contain— § 238.21 Special approval procedure. (i) The name, title, address, and tele- (a) General. The following procedures phone number of the primary person to govern consideration and action upon be contacted with regard to review of requests for special approval of alter- the petition; and native standards under § 238.103, (ii) The elements prescribed in § 238.223, § 238.229, § 238.309, § 238.311, § 238.111. § 238.405, or § 238.427; for approval of al- (2) Each petition for special approval ternative compliance under § 238.201, of the pre-revenue service acceptance § 238.229, or § 238.230; and for special ap- testing plan shall be submitted to the proval of pre-revenue service accept- Associate Administrator for Safety, ance testing plans as required by Federal Railroad Administration, 1200 § 238.111. (Requests for approval of pro- New Jersey Avenue, SE., Mail Stop 25, grams for the inspection, testing, and Washington, DC 20590. maintenance of Tier II passenger (e) Federal Register notice. FRA will equipment are governed by § 238.505.) publish a notice in the FEDERAL REG- (b) Petitions for special approval of al- ISTER concerning each petition under ternative standard. Each petition for paragraphs (b) and (c) of this section. special approval of an alternative (f) Comment. Not later than 30 days standard shall contain— from the date of publication of the no- (1) The name, title, address, and tele- tice in the FEDERAL REGISTER con- phone number of the primary person to cerning a petition under paragraphs (b) be contacted with regard to review of and (c) of this section, any person may the petition; comment on the petition. (2) The alternative proposed, in de- (1) Each comment shall set forth spe- tail, to be substituted for the par- cifically the basis upon which it is ticular requirements of this part; (3) Appropriate data or analysis, or made, and contain a concise statement both, establishing that the alternative of the interest of the commenter in the will provide at least an equivalent proceeding. level of safety; and (2) Each comment shall be submitted (4) A statement affirming that the to the U.S. Department of Transpor- railroad has served a copy of the peti- tation, Docket Operations (M–30), West tion on designated representatives of Building Ground Floor, Room W12–140, its employees, together with a list of 1200 New Jersey Avenue, SE., Wash- the names and addresses of the persons ington, DC 20590, and shall contain the served. assigned docket number for that pro- (c) Petitions for special approval of al- ceeding. The form of such submission ternative compliance. Each petition for may be in written or electronic form special approval of alternative compli- consistent with the standards and re- ance shall contain— quirements established by the Federal

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Docket Management System and post- Subpart B—Safety Planning and ed on its web site at http:// General Requirements www.regulations.gov. (g) Disposition of petitions. (1) FRA § 238.101 Scope. will conduct a hearing on a petition in This subpart contains safety plan- accordance with the procedures pro- ning and general safety requirements vided in § 211.25 of this chapter. for all railroad passenger equipment (2) If FRA finds that the petition subject to this part. complies with the requirements of this section or that the proposed plan is ac- § 238.103 Fire safety. ceptable or changes are justified, or (a) Materials. (1) Materials used in both, the petition will be granted, nor- constructing a passenger car or a cab mally within 90 days of its receipt. If of a locomotive ordered on or after the petition is neither granted nor de- September 8, 2000, or placed in service nied within 90 days, the petition re- for the first time on or after September mains pending for decision. FRA may 9, 2002, shall meet the test performance attach special conditions to the ap- criteria for flammability and smoke emission characteristics as specified in proval of the petition. Following the appendix B to this part, or alternative approval of a petition, FRA may re- standards issued or recognized by an open consideration of the petition for expert consensus organization after cause stated. special approval of FRA under § 238.21. (3) If FRA finds that the petition (2) On or after November 8, 1999, ma- does not comply with the requirements terials introduced in a passenger car or of this section, or that the proposed a locomotive cab, as part of any kind of plan is not acceptable or that the pro- rebuild, refurbishment, or overhaul of posed changes are not justified, or the car or cab, shall meet the test per- both, the petition will be denied, nor- formance criteria for flammability and mally within 90 days of its receipt. smoke emission characteristics as (4) When FRA grants or denies a peti- specified in appendix B to this part, or tion, or reopens consideration of the alternative standards issued or recog- petition, written notice is sent to the nized by an expert consensus organiza- petitioner and other interested parties. tion after special approval of FRA under § 238.21. [64 FR 25660, May 12, 1999, as amended at 64 (3) For purposes of complying with FR 70196, Dec. 16, 1999; 71 FR 61858, Oct. 19, the requirements of this paragraph, a 2006; 74 FR 25174, May 27, 2009] railroad may rely on the results of tests of material conducted in accord- § 238.23 Information collection. ance with the standards and perform- (a) The information collection re- ance criteria for flammabilitiy and quirements of this part were reviewed smoke emission characteristics as by the Office of Management and Budg- specified in appendix B to this part in et pursuant to the Paperwork Reduc- effect on July 12, 1999 (see 49 CFR parts tion Act of 1995 (44 U.S.C. 3501 et. seq.) 200–399, revised as of October 1, 1999), if and are assigned OMB control number prior to June 25, 2002 the material is— 2130–0544. (i) Installed in a passenger car or locomotive; (b) The information collection re- (ii) Held in inventory by the railroad; quirements are found in the following or sections: §§ 238.1, 238.7, 238.11, 238.15, (iii) Ordered by the railroad. 238.17, 238.19, 238.21, 238.103, 238.105, (b) Certification. A railroad shall re- 238.107, 238.109, 238.111, 238.201, 238.203, quire certification that a representa- 238.211, 238.223, 238.231, 238.237, 238.301, tive sample of combustible materials 238.303, 238.305, 238.307, 238.309, 238.311, to be— 238.313, 238.315, 238.317, 238.403, 238.405, (1) Used in constructing a passenger 238.421, 238.423, 238.427, 238.431, 238.437, car or a locomotive cab, or 238.441, 238.445, 238.447, 238.503, 238.505, (2) Introduced in a passenger car or a and 238.603. locomotive cab, as part of any kind of rebuild, refurbishment, or overhaul of

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the car or cab, has been tested by a rec- safe evacuation of passengers and crew- ognized independent testing laboratory members from the train. For purposes and that the results show the rep- of this section, an unoccupied train resentative sample complies with the compartment means any part of the requirements of paragraph (a) of this equipment structure that is not nor- section at the time it was tested. mally occupied during operation of the (c) Fire safety analysis for procuring train, including a closet, baggage com- new passenger cars and locomotives. In partment, food pantry, etc. procuring new passenger cars and loco- (6) Determine whether any occupied motives, each railroad shall ensure or unoccupied space requires a portable that fire safety considerations and fea- fire extinguisher and, if so, the proper tures in the design of this equipment type and size of the fire extinguisher reduce the risk of personal injury for each location. As required by caused by fire to an acceptable level in § 239.101 of this chapter, each passenger its operating environment using a for- car is required to have a minimum of mal safety methodology such as MIL- one portable fire extinguisher. If the STD-882. To this end, each railroad analysis performed indicates that one shall complete a written fire safety or more additional portable fire extin- analysis for the passenger equipment guishers are needed, such shall be in- being procured. In conducting the anal- stalled. ysis, the railroad shall— (7) On a case-by-case basis, analyze (1) Identify, analyze, and prioritize the benefit provided by including a the fire hazards inherent in the design fixed, automatic fire-suppression sys- of the equipment. tem in any unoccupied train compart- (2) Take effective steps to design the ment that contains equipment or mate- equipment and select materials which rial that poses a fire hazard, and deter- help provide sufficient fire resistance mine the proper type and size of the to reasonably ensure adequate time to automatic fire-suppression system for detect a fire and safely evacuate the each such location. A fixed, automatic passengers and crewmembers, if a fire fire-suppression system shall be in- cannot be prevented. Factors to con- stalled in any unoccupied compart- sider include potential ignition ment when the analysis determines sources; the type, quantity, and loca- that such equipment is practical and tion of the materials; and availability necessary to ensure sufficient time for of rapid and safe egress to the exterior the safe evacuation of passengers and of the equipment under conditions se- crewmembers from the train. cure from fire, smoke, and other hazards. (8) Explain how safety issues are re- (3) Reasonably ensure that a ventila- solved in the design of the equipment tion system in the equipment does not and selection of materials to reduce contribute to the lethality of a fire. the risk of each fire hazard. (4) Identify in writing any train com- (9) Describe the analysis and testing ponent that is a risk of initiating fire necessary to demonstrate that the fire and which requires overheat protec- protection approach taken in the de- tion. An overheat detector shall be in- sign of the equipment and selection of stalled in any component when the materials meets the fire protection re- analysis determines that an overheat quirements of this part. detector is necessary. (d) Fire safety analysis for existing pas- (5) Identify in writing any unoccu- senger cars and locomotives. (1) Not later pied train compartment that contains than January 10, 2001, each passenger equipment or material that poses a fire railroad shall complete a preliminary hazard, and analyze the benefit pro- fire safety analysis for each category of vided by including a fire or smoke de- existing passenger cars and loco- tection system in each compartment so motives and rail service. identified. A fire or smoke detector (2) Not later than July 10, 2001, each shall be installed in any unoccupied such railroad shall— compartment when the analysis deter- (i) Complete a final fire safety anal- mines that such equipment is nec- ysis for any category of existing pas- essary to ensure sufficient time for the senger cars and locomotives and rail

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service evaluated during the prelimi- the material’s size, or location, or nary fire safety analysis as likely pre- both; or senting an unacceptable risk of per- (B) The railroad takes alternative ac- sonal injury. In conducting the anal- tion which reduces the risk of personal ysis, the railroad shall consider the ex- injuries to an acceptable level. tent to which materials comply with (4) Where possible prior to transfer- the test performance criteria for flam- ring existing passenger cars and loco- mability and smoke emission charac- motives to a new category of rail serv- teristics as specified in Appendix B to ice, but in no case more than 90 days this part or alternative standards ap- following such a transfer, the pas- proved by FRA under this part. senger railroad shall complete a new (ii) Take remedial action to reduce fire safety analysis taking into consid- the risk of personal injuries to an ac- eration the change in railroad oper- ceptable level in any such category, if ations and shall effect prompt action the railroad finds the risk to be unac- to reduce any identified risk to an acceptable. In considering remedial acceptable level. tion, a railroad is not required to re- (5) As used in this paragraph, a ‘‘cat- place material found not to comply egory of existing passenger cars and lo- with the test performance criteria for comotives and rail service’’ shall be de- flammability and smoke emission termined by the railroad based on rel- characteristics required by this part, evant fire safety risks, including avail- if: able ignition sources, presence or ab- (A) The risk of personal injuries from sence of heat/smoke detection systems, the material is negligible based on the known variations from the required railroad’s operating environment and material test performance criteria or the material’s size, or location, or alternative standards approved by both; or FRA, and availability of rapid and safe (B) The railroad takes alternative ac- egress to the exterior of the vehicle tion which reduces the risk of personal under conditions secure from fire, injuries to an acceptable level. smoke, and other hazards. (3) Not later than July 10, 2003, each (e) Inspection, testing, and mainte- such railroad shall— nance. Each railroad shall develop and (i) Complete a final fire safety anal- adopt written procedures for the in- ysis for all categories of existing pas- spection, testing, and maintenance of senger cars and locomotives and rail all fire safety systems and fire safety service. In completing this analysis, equipment on the passenger equipment the railroad shall, as far as practicable, it operates. The railroad shall comply determine the extent to which remain- with those procedures that it des- ignates as mandatory for the safety of ing materials comply with the test per- the equipment and its occupants. formance criteria for flammability and smoke emission characteristics as [64 FR 25660, May 12, 1999, as amended at 67 specified in Appendix B to this part or FR 42909, June 25, 2002] alternative standards approved by FRA under this part. § 238.105 Train electronic hardware (ii) Take remedial action to reduce and software safety. the risk of personal injuries to an ac- The requirements of this section ceptable level in any such category, if apply to electronic hardware and soft- the railroad finds the risk to be unac- ware used to control or monitor safety ceptable. In considering remedial ac- functions in passenger equipment or- tion, a railroad is not required to re- dered on or after September 8, 2000, and place material found not to comply such components implemented or ma- with the test performance criteria for terially modified in new or existing flammability and smoke emission passenger equipment on or after Sep- characteristics required by this part, tember 9, 2002. if: (a) The railroad shall develop and (A) The risk of personal injuries from maintain a written hardware and soft- the material is negligible based on the ware safety program to guide the de- railroad’s operating environment and sign, development, testing, integration,

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and verification of software and hard- (ii) The ability to shut down the ware that controls or monitors equip- main power and fuel intake by non- ment safety functions. electronic means shall be provided to (b) The hardware and software safety the train crew. program shall be based on a formal (e) The railroad shall comply with safety methodology that includes a the elements of its hardware and soft- Failure Modes, Effects, Criticality ware safety program that affect the Analysis (FMECA); verification and safety of the passenger equipment. validation testing for all hardware and [67 FR 19990, Apr. 23, 2002] software components and their inter- faces; and comprehensive hardware and § 238.107 Inspection, testing, and main- software integration testing to ensure tenance plan. that the hardware and software system (a) General. Beginning on January 1, functions as intended. 2002, the following provisions of this (c) The hardware and software safety section apply to railroads operating program shall include a description of Tier I passenger equipment covered by how the following will be accom- this part. A railroad may request ear- plished, achieved, carried out, or im- lier application of these requirements plemented to ensure safety and reli- upon written notification to FRA’s As- ability: sociate Administrator for Safety as (1) The hardware and software design provided in § 238.1(c). process; (b) Each railroad shall develop, and (2) The hardware and software design provide to FRA upon request, a de- documentation; tailed inspection, testing, and mainte- (3) The hardware and software hazard nance plan consistent with the require- analysis; ments of this part. This plan shall in- (4) Hardware and software safety re- clude a detailed description of the fol- views; lowing: (1) Inspection procedures, intervals, (5) Hardware and software hazard and criteria; monitoring and tracking; (2) Test procedures and intervals; (6) Hardware and software integra- (3) Scheduled preventive mainte- tion safety testing; and nance intervals; (7) Demonstration of overall hard- (4) Maintenance procedures; and ware and software system safety as (5) Special testing equipment or part of the pre-revenue service testing measuring devices required to perform of the equipment. inspections and tests. (d)(1) Hardware and software that (c) The inspection, testing, and main- controls or monitors a train’s primary tenance plan required by this section is braking system shall either: not intended to address and should not (i) Fail safely by initiating a full include procedures to address employee service brake application in the event working conditions that arise in the of a hardware or software failure that course of conducting the inspections, could impair the ability of the engineer tests, and maintenance set forth in the to apply or release the brakes; or plan. When requesting a copy of the (ii) Access to direct manual control railroad’s plan, FRA does not intend to of the primary braking system (both review any portion of the plan that re- service and emergency braking) shall lates to employee working conditions. be provided to the engineer. (d) The inspection, testing, and main- (2) Hardware and software that con- tenance plan required by this section trols or monitors the ability to shut shall be reviewed by the railroad annu- down a train’s main power and fuel in- ally. take system shall either: [64 FR 25660, May 12, 1999, as amended at 65 (i) Fail safely by shutting down the FR 41307, July 3, 2000] main power and cutting off the intake of fuel in the event of a hardware or § 238.109 Training, qualification, and software failure that could impair the designation program. ability of the train crew to command (a) Beginning on January 1, 2002, each that electronic function; or railroad shall have adopted a training,

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qualification, and designation program (7) Require all employees and con- for employees and contractors that tractors to individually demonstrate perform any of the inspections, tests, ‘‘hands-on’’ capability to successfully or maintenance required by this part, perform the tasks required by this part and shall have trained such employees that must be performed as part of their and contractors in accordance with the duties on the type equipment to which program. A railroad may request ear- they are assigned; lier application of these requirements (8) Require supervisors to complete upon written notification to FRA’s As- the program that covers the employees sociate Administrator for Safety as whom they supervise, including re- provided in § 238.1(c). For purposes of fresher training; this section, a ‘‘contractor’’ is defined (9) Require supervisors to exercise as a person under contract with the oversight to ensure that all the identi- railroad or an employee of a person fied tasks are performed in accordance under contract with the railroad to with the railroad’s written procedures; perform any of the tasks required by (10) Designate in writing that each this part. employee and contractor has the (b) As part of this program, the rail- knowledge and skills necessary to per- road shall, at a minimum: form the safety-related tasks that are (1) Identify the tasks related to the part of his or her job; inspection, testing, and maintenance (11) Require periodic refresher train- required by this part that must be per- ing, at an interval not to exceed three formed on each type of equipment that years, that includes classroom and the railroad operates; ‘‘hands-on’’ training, as well as testing; (2) Develop written procedures for except, employees and contractors that the performance of the tasks identified have completed their initial training in paragraph (b)(1) of this section; under this part prior to January 1, 2002, (3) Identify the skills and knowledge shall not be required to complete their necessary to perform each task identi- first periodic refresher training until fied in paragraph (b)(1) of this section; four years after the completion of their (4) Adopt a training curriculum that initial training, and every three years includes classroom and ‘‘hands-on’’ les- thereafter; sons designed to impart the skills and (12) Add new equipment to the quali- knowledge identified as necessary to fication and designation program prior perform each task identified in para- to its introduction to revenue service; graph (b)(1) of this section. The train- and ing curriculum shall specifically ad- (13) Maintain records adequate to dress the Federal regulatory require- demonstrate that each employee and ments contained in this part that are contractor performing safety-related related to the performance of the tasks tasks on passenger equipment is cur- identified; rently qualified to do so. These records (5) Require all employees and con- shall be adequate to distinguish the tractors to successfully complete the qualifications of the employee or con- training course that covers the equip- tractor as a qualified person or as a ment and tasks for which they are re- qualified maintenance person. sponsible that are required by this part [64 FR 25660, May 12, 1999, as amended at 65 as well as the specific Federal regu- FR 41307, July 3, 2000; 67 FR 19990, Apr. 23, latory requirements contained in this 2002] part related to equipment and tasks for which they are responsible; § 238.111 Pre-revenue service accept- (6) Require all employees and con- ance testing plan. tractors to pass either a written or an (a) Passenger equipment that has pre- oral examination covering the equip- viously been used in revenue service in the ment and tasks for which they are re- United States. For passenger equipment sponsible that are required by this part that has previously been used in rev- as well as the specific Federal regu- enue service in the United States, each latory requirements contained in this railroad shall test the equipment on its part related to equipment and tasks for system prior to placing such equipment which they are responsible; in revenue service for the first time on

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its railroad to ensure the compatibility (ix) A description of how the informa- of the equipment with the railroad’s tion or data obtained is to be analyzed operating system (including the track, or used; and signal system). A description of (x) A description of any criteria to be such testing shall be retained by the used as safety limits during the test- railroad and made available to FRA for ing; inspection and copying upon request. (xi) A description of the criteria to be For purposes of this paragraph, pas- used to measure or determine the suc- senger equipment that has previously cess or failure of the tests. If accept- been used in revenue service in the ance is to be based on extrapolation of United States means: less than full-level testing results, the (1) The actual equipment used in analysis to be done to justify the valid- such service; ity of the extrapolation shall be de- (2) Equipment manufactured identi- scribed; cally to that actual equipment; and (xii) Quality control procedures to (3) Equipment manufactured simi- ensure that the inspection, testing, and larly to that actual equipment with no maintenance procedures are followed; material differences in safety-critical (xiii) Criteria to be used for the rev- components or systems. enue service operation of the equip- (b) Passenger equipment that has not ment; and been used in revenue service in the United (xiv) A description of any testing of States. Before using passenger equip- the equipment that has previously been ment for the first time on its system performed. that has not been used in revenue serv- (2) Submit a copy of the plan to FRA ice in the United States, each railroad at least 30 days prior to testing the shall: equipment and include with that sub- (1) Prepare a pre-revenue service ac- mission notification of the times and ceptance testing plan for the equip- places of the pre-revenue service tests ment which contains the following ele- to permit FRA observation of such ments: tests. For Tier II passenger equipment, (i) An identification of any waivers of the railroad shall obtain FRA approval FRA or other Federal safety regula- of the plan under the procedures speci- tions required for the testing or for fied in § 238.21. revenue service operation of the equip- (3) Comply with the plan, including ment; fully executing the tests required by (ii) A clear statement of the test ob- the plan. jectives. One of the principal test ob- (4) Document in writing the results jectives shall be to demonstrate that of the tests. For Tier II passenger the equipment meets the safety re- equipment, the railroad shall report quirements specified in this part when the results of the tests to the FRA As- operated in the environment in which sociate Administrator for Safety at it is to be used; least 90 days prior to its intended oper- (iii) A planned schedule for con- ation of the equipment in revenue serv- ducting the testing; ice. (iv) A description of the railroad (5) Correct any safety deficiencies property or facilities to be used to con- identified in the design of the equip- duct the testing; ment or in the inspection, testing, and (v) A detailed description of how the maintenance procedures, uncovered testing is to be conducted, including a during the testing. If safety defi- description of the criteria to be used to ciencies cannot be corrected by design evaluate the equipment’s performance; changes, the railroad shall impose (vi) A description of how the test re- operational limitations on the revenue sults are to be recorded; service operation of the equipment (vii) A description of any special in- that are designed to ensure that the strumentation to be used during the equipment can operate safely. For Tier tests; II passenger equipment, the railroad (viii) A description of the informa- shall comply with any operational lim- tion or data to be obtained; itations imposed by the FRA Associate

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Administrator for Safety on the rev- after August 1, 2009, any level other enue service operation of the equip- than a main level used for passenger ment for cause stated following FRA seating in a multi-level passenger car, review of the results of the test pro- such as an intermediate level, shall gram. This section does not restrict a have a minimum of two emergency railroad from petitioning FRA for a window exits in each seating area. The waiver of a safety regulation under the emergency window exits shall be acces- procedures specified in part 211 of this sible to passengers in the seating area chapter. without requiring movement through (6) Make the plan and documentation an interior door or to another level of kept pursuant to that plan available the car. At least one emergency win- for inspection and copying by FRA dow exit shall be located in each side of upon request. the seating area. An emergency win- (7) For Tier II passenger equipment, dow exit may be located within an ex- obtain approval from the FRA Asso- terior side door in the passenger com- ciate Administrator for Safety prior to partment if it is not practical to place placing the equipment in revenue serv- the window exit in the side of the seat- ice. The Associate Administrator ing area. (See Figures 2 and 2a to this grants such approval upon a showing of subpart.) the railroad’s compliance with the ap- (ii) Only one emergency window exit plicable requirements of this part. is required in a seating area in a pas- (c) If a railroad plans a major up- senger compartment if: grade or introduction of new tech- (A) It is not practical to place an nology on Tier II passenger equipment emergency window exit in a side of the that has been used in revenue service passenger compartment due to the in the United States and that affects a need to provide accessible accommoda- safety system on such equipment, the tions under the Americans with Dis- railroad shall follow the procedures abilities Act of 1990; specified in paragraph (b) of this sec- (B) There are no more than four seats tion prior to placing the equipment in in the seating area; and revenue service with such a major up- (C) A suitable, alternate arrangement grade or introduction of new tech- for emergency egress is provided. nology. (iii) For passenger cars ordered prior to April 1, 2009, and placed in service § 238.113 Emergency window exits. prior to April 1, 2011, only one emer- (a) Number and location. Except as gency window exit is required in a seat- provided in paragraph (a)(3) of this sec- ing area in a passenger compartment tion, the following requirements in this if— paragraph (a) apply on or after April 1, (A) It is not practicable to place a 2008— window exit in a side of the passenger (1) Single-level passenger cars. Each compartment (due to the presence of a single-level passenger car shall have a structure such as a bathroom, elec- minimum of four emergency window trical locker, or kitchen); and exits. At least one emergency window (B) There are no more than eight exit shall be located in each side of seats in the seating area. each end (half) of the car, in a stag- (4) Cars with a sleeping compartment or gered configuration where practical. similar private compartment. Each level (See Figure 1 to this subpart; see also of a passenger car with a sleeping com- Figures 1b and 1c to this subpart.) partment or a similar private compart- (2) Multi-level passenger cars—main ment intended to be occupied by a pas- levels. Each main level in a multi-level senger or train crewmember shall have passenger car is subject to the same re- at least one emergency window exit in quirements specified for single-level each such compartment. For purposes passenger cars in paragraph (a)(1) of of this paragraph (a)(4), a bathroom, this section. kitchen, or locomotive cab is not con- (3) Multi-level passenger cars—levels sidered a ‘‘compartment.’’ with seating areas other than main levels. (b) Ease of operability. On or after No- (i) Except as provided in paragraphs vember 8, 1999, each emergency window (a)(3)(ii) and (iii) of this section, on or exit shall be designed to permit rapid

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and easy removal from the inside of the § 238.114 Rescue access windows. car during an emergency situation (a) Number and location. Except as without requiring the use of a tool or provided in paragraph (a)(1)(ii) of this other implement. section, the following requirements in (c) Dimensions. Except as provided in this paragraph (a) apply on or after paragraphs (c)(1) and (c)(2) of this sec- April 1, 2008— tion, each emergency window exit in a (1) Single-level passenger cars. Except passenger car, including a sleeping car, as provided in this paragraph (a)(1) and ordered on or after September 8, 2000, in paragraphs (a)(1)(i), (a)(1)(ii), and or placed in service for the first time (a)(5) of this section, each single-level on or after September 9, 2002, shall passenger car shall have a minimum of have an unobstructed opening with two rescue access windows. At least minimum dimensions of 26 inches hori- one rescue access window shall be lo- zontally by 24 inches vertically. A cated in each side of the car entirely seatback is not an obstruction if it can within 15 feet of the car’s centerline, or be moved away from the window open- entirely within 71⁄2 feet of the center- ing without using a tool or other im- line if the car does not exceed 45 feet in plement. length. (See Figure 1a to this subpart; (1) Emergency window exits in exterior see also Figures 1b and 1c to this sub- side doors. An emergency window exit part.) If the seating level is obstructed located within an exterior side door, in by an interior door or otherwise parti- accordance with the requirements of tioned into separate seating areas, each separate seating area shall have a paragraph (a)(3)(i) of this section, may minimum of one rescue access window have an unobstructed opening with in each side of the seating area, located minimum dimensions of 24 inches hori- as near to the center of the car as prac- zontally by 26 inches vertically. tical. (2) Additional emergency window exits. (i) For a single-level passenger car Any emergency window exit in addi- ordered prior to April 1, 2009, and tion to the minimum number required placed in service prior to April 1, 2011, by paragraph (a) of this section that rescue access windows may be located has been designated for use by the rail- farther than the above prescribed dis- road need not comply with the min- tances from the car’s centerline, or lo- imum dimension requirements in para- cated within exterior side doors, or graph (c) of this section, but must oth- both, if at least one rescue access win- erwise comply with all requirements in dow is located within each side of each this part applicable to emergency win- end (half) of the same passenger com- dow exits. partment. (d) Marking and instructions. (1) Each (ii) For a single-level passenger car emergency window exit shall be con- ordered prior to September 8, 2000, and spicuously and legibly marked with lu- placed in service prior to September 9, minescent material on the inside of 2002, the requirements of paragraph each car to facilitate passenger egress. (a)(1) apply on or after August 1, 2009 if (2) Legible and understandable oper- the car has at least two exterior side ating instructions, including instruc- doors (or door leaves), each with a tions for removing the window, shall be manual override device, and such doors posted at or near each such window (or door leaves) are located one on each exit. If window removal may be hin- side of the car, in opposite ends (halves) of the car (i.e., in diagonally- dered by the presence of a seatback, opposite quadrants). The manual over- headrest, luggage rack, or other fix- ride device shall be— ture, the instructions shall state the (A) Capable of releasing the door (or method for allowing rapid and easy re- door leaf) to permit it to be opened moval of the window, taking into ac- without power from outside the car; count the fixture(s), and this portion of (B) Located adjacent to the door (or the instructions may be in written or door leaf) that it controls; and pictorial format. (C) Designed and maintained so that [73 FR 6401, Feb. 1, 2008] a person can access the override device

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from outside the car without using a of a passenger car with a sleeping com- tool or other implement. partment or a similar private compart- (2) Multi-level passenger cars—main ment intended to be occupied by a pas- levels. Each main level in a multi-level senger or train crewmember shall have passenger car is subject to the same re- a minimum of one rescue access win- quirements specified for single-level dow in each such compartment. For passenger cars in paragraph (a)(1) of purposes of this paragraph, a bath- this section, with the exception of room, kitchen, or locomotive cab is not paragraph (a)(1)(ii), which is not appli- considered a ‘‘compartment.’’ cable. (5) Dual-function windows. If, on any (3) Multi-level passenger cars—levels level of a passenger car, the emergency with seating areas other than main levels. window exits installed to meet the (i) Except as provided in paragraphs minimum requirements of § 238.113 are (a)(3)(ii) and (a)(3)(iii) of this section, also intended to function as rescue ac- any level other than a main level used cess windows, the minimum require- for passenger seating in a multi-level ments for the number and location of passenger car, such as an intermediate rescue access windows in paragraphs level, shall have a minimum of two res- (a)(1) through (a)(4) of this section are cue access windows in each seating also met for that level. area. The rescue access windows shall (b) Ease of operability. On or after permit emergency responders to gain April 1, 2008, each rescue access window access to passengers in the seating area must be capable of being removed with- without requiring movement through out unreasonable delay by an emer- an interior door or to another level of gency responder using either— the car. At least one rescue access win- (1) A provided external mechanism; dow shall be located in each side of the or seating area. A rescue access window (2) Tools or implements that are may be located within an exterior side commonly available to the responder door in the passenger compartment if in a passenger train emergency. it is not practical to place the access (c) Dimensions. Each rescue access window in the side of the seating area. window in a passenger car, including a (See Figures 2 and 2a of this subpart.) sleeping car, ordered on or after April (ii) Only one rescue access window is 1, 2009, or placed in service for the first required in a seating area in a pas- time on or after April 1, 2011, shall senger compartment if— have an unobstructed opening with (A) It is not practical to place a res- minimum dimensions of 26 inches hori- cue access window in a side of the pas- zontally by 24 inches vertically. A res- senger compartment due to the need to cue access window located within an provide accessible accommodations exterior side door, in accordance with under the Americans with Disabilities the requirements of paragraph (a)(3)(i) Act of 1990; of this section, may have an unob- (B) There are no more than four seats structed opening with minimum di- in the seating area; and mensions of 24 inches horizontally by (C) A suitable, alternate arrangement 26 inches vertically. A seatback is not for rescue access is provided. an obstruction if it can be moved away (iii) For passenger cars ordered prior from the window opening without to April 1, 2009, and placed in service using a tool or other implement. prior to April 1, 2011, only one rescue (d) Marking and instructions. Each res- access window is required in a seating cue access window shall be marked area in a passenger compartment if— with retroreflective material. A unique (A) It is not practicable to place an and easily recognizable symbol, sign, access window in a side of the pas- or other conspicuous marking shall senger compartment (due to the pres- also be used to identify each such win- ence of a structure such as a bathroom, dow. Legible and understandable win- electrical locker, or kitchen); and dow-access instructions, including in- (B) There are no more than eight structions for removing the window, seats in the seating area. shall be posted at or near each rescue (4) Cars with a sleeping compartment or access window. similar private compartment. Each level [73 FR 6401, Feb. 1, 2008]

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§ 238.115 Emergency lighting. place or continue in service any vehi- (a) This section applies to each pas- cle, other than a private car, that is senger car ordered on or after Sep- equipped with a rim-stamped straight- tember 8, 2000, or placed in service for plate wheel if a brake shoe acts on the the first time on or after September 9, tread of the wheel for the purpose of 2002. This section applies to each level slowing the vehicle. of a multi-level passenger car. (2) A commuter railroad may con- (b) Emergency lighting shall be pro- tinue in service a vehicle equipped with vided in each passenger car and shall a Class A, rim-stamped straight-plate include the following: wheel mounted on an inboard-bearing (1) A minimum, average illumination axle until the railroad exhausts its re- level of 1 foot-candle measured at floor placement stock of wheels held as of level adjacent to each exterior door May 12, 1999, provided the railroad does and each interior door providing access not modify the operation of the vehicle to an exterior door (such as a door in any way that would result in in- opening into a vestibule); creased thermal input to the wheel (2) A minimum, average illumination during braking. level of 1 foot-candle measured 25 (b) A rim-stamped straight-plate inches above floor level along the cen- wheel shall not be used as a replace- ter of each aisle and passageway; ment wheel on a private car that oper- (3) A minimum illumination level of ates in a passenger train if a brake 0.1 foot-candle measured 25 inches shoe acts on the tread of the wheel for above floor level at any point along the the purpose of slowing the car. center of each aisle and passageway; (c) The requirements of this section and do not apply to a wheel that is periodi- (4) A back-up power system capable cally tread-braked for a short duration of: by automatic circuitry for the sole pur- (i) Operating in all equipment ori- pose of cleaning the wheel tread sur- entations within 45 degrees of vertical; face. (ii) Operating after the initial shock of a collision or derailment resulting in § 238.121 Emergency communication. the following individually applied ac- (a) PA system (public address system). celerations: (1) Existing Tier I passenger cars. On or (A) Longitudinal: 8g; after January 1, 2012, each Tier I pas- (B) Lateral: 4g; and senger car shall be equipped with a PA (C) Vertical: 4g; and system that provides a means for a (iii) Operating all emergency lighting train crewmember to communicate by for a period of at least 90 minutes with- voice to passengers of his or her train out a loss of more than 40% of the min- in an emergency situation. imum illumination levels specified in (2) New Tier I and all Tier II passenger this paragraph (b). cars. Each Tier I passenger car ordered on or after April 1, 2008, or placed in § 238.117 Protection against personal service for the first time April 1, 2010, injury. and all Tier II passenger cars shall be On or after November 8, 1999, all mov- equipped with a PA system that pro- ing parts, high voltage equipment, vides a means for a train crewmember electrical conductors and switches, and to communicate by voice to passengers pipes carrying hot fluids or gases on all of his or her train in an emergency sit- passenger equipment shall be appro- uation. The PA system shall also pro- priately equipped with interlocks or vide a means for a train crewmember guards to minimize the risk of personal to communicate by voice in an emer- injury. This section does not apply to gency situation to persons in the im- the interior of a private car. mediate vicinity of his or her train (e.g., persons on the station platform). § 238.119 Rim-stamped straight-plate The PA system may be part of the wheels. same system as the intercom system. (a)(1) Except as provided in para- (b) Intercom system. (1) New Tier I and graph (a)(2) of this section, on or after all Tier II passenger cars. Each Tier I November 8, 1999, no railroad shall passenger car ordered on or after April

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1, 2008, or placed in service for the first roof access locations, each with a min- time on or after April 1, 2010, and all imum opening of 26 inches longitu- Tier II passenger cars shall be equipped dinally (i.e., parallel to the longitu- with an intercom system that provides dinal axis of the car) by 24 inches lat- a means for passengers and crew- erally. members to communicate by voice (b) Means of access. Emergency roof with each other in an emergency situa- access shall be provided by means of a tion. Except as further specified, at hatch, or a conspicuously marked least one intercom that is accessible to structural weak point in the roof for passengers without using a tool or access by properly equipped emergency other implement shall be located in response personnel. each end (half) of each car. If any pas- (c) Location. Emergency roof access senger car does not exceed 45 feet in locations shall be situated as practical length, or if a Tier II passenger car was so that when a car is on its side— ordered prior to May 12, 1999, only one (1) One emergency access location is such intercom is required. The intercom system may be part of the same wholly within each half of the roof as system as the PA system. divided top from bottom; and (2) Marking and instructions. The fol- (2) One emergency access location is lowing requirements apply to each Tier wholly within each half of the roof as I passenger car on or after April 1, 2010 divided left from right. (See Figure 3 to and to all Tier II passenger cars: this subpart.) (i) The location of each intercom in- (d) Obstructions. The ceiling space tended for passenger use shall be con- below each emergency roof access loca- spicuously marked with luminescent tion shall be free from wire, cabling, material; and conduit, and piping. This space shall (ii) Legible and understandable oper- also be free of any rigid secondary ating instructions shall be posted at or structure (e.g., a diffuser or diffuser near each such intercom. support, lighting back fixture, mount- (c) Back-up power. PA and intercom ed PA equipment, or luggage rack) systems shall have a back-up power where practicable. If emergency roof system capable of— access is provided by means of a hatch, (1) Operating in all equipment ori- it shall be possible to push interior entations within 45 degrees of vertical; panels or liners out of their retention (2) Operating after the initial shock devices and into the interior of the ve- of a collision or derailment resulting in hicle after removing the hatch. If the following individually applied ac- emergency roof access is provided by celerations: means of a structural weak point, it (i) Longitudinal: 8g; shall be permissible to cut through in- (ii) Lateral: 4g; and terior panels, liners, or other non-rigid (iii) Vertical: 4g; and secondary structures after making the (3) Powering each system to allow cutout hole in the roof, provided any intermittent emergency communica- such additional cutting necessary to tion for a minimum period of 90 min- access the interior of the vehicle per- utes. Intermittent communication mits a minimum opening of the dimen- shall be considered equivalent to con- sions specified in paragraph (a) to be tinuous communication during the last maintained. 15 minutes of the 90-minute minimum (e) Marking and instructions. Each period. emergency roof access location shall be [73 FR 6402, Feb. 1, 2008] conspicuously marked with retroreflective material of contrasting § 238.123 Emergency roof access. color. As further specified, legible and Except as provided in § 238.441 of this understandable instructions shall be chapter— posted at or near each such location. If (a) Number and dimensions. Each pas- emergency roof access is provided by senger car ordered on or after April 1, means of a structural weak point— 2009, or placed in service for the first (1) The retroreflective material shall time on or after April 1, 2011, shall conspicuously mark the line along have a minimum of two emergency which the roof skin shall be cut; and

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(2) A sign plate with a retroreflective CAUTION—DO NOT USE FLAME CUTTING border shall also state as follows: DEVICES CAUTION—WARN PASSENGERS BEFORE CUTTING CUT ALONG DASHED LINE TO GAIN ACCESS ROOF CONSTRUCTION—[STATE RELEVANT DETAILS]

[73 FR 6403, Feb. 1, 2008]

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

[73 FR 6403, Feb. 1, 2008]

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

[73 FR 6403, Feb. 1, 2008]

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

[73 FR 6403, Feb. 1, 2008]

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

[73 FR 6403, Feb. 1, 2008]

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

[73 FR 6403, Feb. 1, 2008]

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

[73 FR 6403, Feb. 1, 2008]

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

[73 FR 6403, Feb. 1, 2008]

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

[73 FR 6403, Feb. 1, 2008]

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Subpart C—Specific Requirements termination under paragraph (c) the for Tier I Passenger Equipment Associate Administrator shall consider, as a whole, all of those elements § 238.201 Scope/alternative compli- of casualty prevention or mitigation ance. relevant to the integrity of the equip- (a) Scope. (1) This subpart contains ment that are addressed by the require- requirements for railroad passenger ments of this subpart. equipment operating at speeds not ex- (c)(1) The Associate Administrator ceeding 125 miles per hour. As stated in may only make a finding of equivalent § 238.229, all such passenger equipment safety and compliance with this sub- remains subject to the safety appliance part, other than § 238.203, based upon a requirements contained in Federal submission of data and analysis suffi- statute at 49 U.S.C. chapter 203 and in cient to support that determination. FRA regulations at part 231 and § 232.2 The petition shall include: of this chapter. Unless otherwise speci- (i) The information required by fied, these requirements only apply to § 238.21(c); passenger equipment ordered on or (ii) Information, including detailed after September 8, 2000 or placed in drawings and materials specifications, service for the first time on or after sufficient to describe the actual con- September 9, 2002. struction of the equipment of special (2) The structural standards of this design; subpart (§ 238.203—static end strength; (iii) Engineering analysis sufficient § 238.205—anti-climbing mechanism; to describe the likely performance of § 238.207—link between coupling mecha- the equipment in derailment and colli- nism and car body; § 238.209—forward- sion scenarios pertinent to the safety facing end structure of locomotives; requirements for which compliance is § 238.211—collision posts; § 238.213—cor- required and for which the equipment ner posts; § 238.215—rollover strength; does not conform to the specific re- § 238.217—side structure; § 238.219— quirements of this subpart; and truck-to-car-body attachment; and (iv) A quantitative risk assessment, § 238.223—locomotive fuel tanks) do not incorporating the design information apply to passenger equipment if used and engineering analysis described in exclusively on a rail line: this paragraph, demonstrating that the (i) With no public highway-rail grade equipment, as utilized in the service crossings; environment for which recognition is (ii) On which no freight operations sought, presents no greater hazard of occur at any time; serious personal injury than equipment (iii) On which only passenger equip- that conforms to the specific requirement of compatible design is utilized; ments of this subpart. and (2) Any petition made under this (iv) On which trains operate at speeds paragraph is subject to the procedures not exceeding 79 mph. Any such pas- set forth in § 238.21, and will be disposed senger equipment remains subject to of in accordance with § 238.21(g). the requirements of § 229.141 of this chapter, as applicable. [64 25660, May 12, 1999, as amended at 67 FR (b) Alternative compliance. Passenger 19990, Apr. 23, 2002; 71 FR 36916, June 28, 2006] equipment of special design shall be deemed to comply with this subpart, § 238.203 Static end strength. other than § 238.203, for the service en- (a)(1) Except as further specified in vironment in which the petitioner pro- this paragraph or in paragraph (d), on poses to operate the equipment if the or after November 8, 1999 all passenger FRA Associate Administrator for Safe- equipment shall resist a minimum ty determines under paragraph (c) of static end load of 800,000 pounds applied this section that the equipment pro- on the line of draft without permanent vides at least an equivalent level of deformation of the body structure. safety in such environment with re- (2) For a passenger car or a loco- spect to the protection of its occupants motive, the static end strength of un- from serious injury in the case of a de- occupied volumes may be less than railment or collision. In making a de- 800,000 pounds if:

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(i) Energy absorbing structures are a particular rail line or lines. Before used as part of a crash energy manage- grandfathered equipment can be used ment design of the passenger car or lo- on another rail line, a railroad must comotive, and file and secure approval of a (ii) The passenger car or locomotive grandfathering petition under para- resists a minimum static end load of graph (d)(3) of this section. 800,000 pounds applied on the line of (2) Temporary usage of non-compliant draft at the ends of its occupied volume equipment. Any passenger equipment without permanent deformation of the placed in service on a rail line or lines body structure. before November 8, 1999 that does not (3) For a locomotive placed in service comply with the requirements of para- prior to November 8, 1999, as an alter- graph (a)(1) may continue to be oper- native to resisting a minimum static ated on that particular line or (those end load of 800,000 pounds applied on particular lines) if the operator of the the line of draft without permanent de- equipment files a petition seeking formation of the body structure, the lo- grandfathering approval under para- comotive shall resist a horizontal load graph (d)(3) before November 8, 1999. of 1,000,000 pounds applied along the Such usage may continue while the pe- longitudinal center line of the loco- tition is being processed, but in no motive at a point on the buffer beam event later than May 8, 2000, unless the construction 12 inches above the center petition is approved. line of draft without permanent defor- (3) Petitions for grandfathering. Peti- mation of the body structure. The ap- tions for grandfathering shall include: plication of this load shall not be dis- (i) The name, title, address, and tele- tributed over an area greater than 6 phone number of the primary person to inches by 24 inches. The alternative be contacted with respect to the peti- specified in this paragraph is not appli- tion; cable to a cab car or an MU locomotive. (ii) Information, including detailed (4) The requirements of this para- drawings and material specifications, graph do not apply to: sufficient to describe the actual con- (i) A private car; or struction of the equipment; (ii) Unoccupied passenger equipment (iii) Engineering analysis sufficient operating at the rear of a passenger to describe the likely performance of train. the static end strength of the equip- (b) Passenger equipment placed in ment and the likely performance of the service before November 8, 1999 is pre- equipment in derailment and collision sumed to comply with the require- scenarios pertinent to the equipment’s ments of paragraph (a)(1) of this sec- static end strength; tion, unless the railroad operating the (iv) A description of risk mitigation equipment has knowledge, or FRA measures that will be employed in con- makes a showing, that such passenger nection with the usage of the equip- equipment was not built to the requirement on a specified rail line or lines to ments specified in paragraph (a)(1). decrease the likelihood of accidents in- (c) When overloaded in compression, volving the use of the equipment; and the body structure of passenger equip- (v) A quantitative risk assessment, ment shall be designed, to the max- incorporating the design information, imum extent possible, to fail by buck- engineering analysis, and risk mitiga- ling or crushing, or both, of structural tion measures described in this para- members rather than by fracture of graph, demonstrating that the use of structural members or failure of struc- the equipment, as utilized in the serv- tural connections. ice environment for which recognition (d) Grandfathering of non-compliant is sought, is in the public interest and equipment for use on a specified rail line is consistent with railroad safety. or lines—(1) Grandfathering approval is (e) Service. Each petition shall be sub- equipment and line specific. mitted to the Associate Administrator Grandfathering approval of non-com- for Safety, Federal Railroad Adminis- pliant equipment under this paragraph tration, 1200 New Jersey Avenue, SE., is limited to usage of the equipment on Mail Stop 25, Washington, DC 20590.

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(f) Federal Register notice. FRA will petition, written notice is sent to the publish a notice in the FEDERAL REG- petitioner and other interested parties. ISTER concerning each petition under [64 FR 25660, May 12, 1999, as amended at 64 paragraph (d) of this section. FR 70196, Dec. 16, 1999; 67 FR 19991, Apr. 23, (g) Comment. Not later than 30 days 2002; 74 FR 25174, May 27, 2009] from the date of publication of the notice in the FEDERAL REGISTER con- § 238.205 Anti-climbing mechanism. cerning a petition under paragraph (d) (a) Except as provided in paragraph of this section, any person may com- (b) of this section, all passenger equipment on the petition. ment placed in service for the first (1) Each comment shall set forth spe- time on or after September 8, 2000, and cifically the basis upon which it is prior to March 9, 2010, shall have at made, and contain a concise statement both the forward and rear ends an anti- of the interest of the commenter in the climbing mechanism capable of resist- proceeding. ing an upward or downward vertical (2) Each comment shall be submitted force of 100,000 pounds without failure. to the U.S. Department of Transpor- All passenger equipment placed in tation, Docket Operations (M–30), West service for the first time on or after Building Ground Floor, Room W12B140, March 9, 2010, shall have at both the 1200 New Jersey Avenue, SE., Wash- forward and rear ends an anti-climbing ington, DC 20590, and shall contain the mechanism capable of resisting an up- assigned docket number for that pro- ward or downward vertical force of ceeding. The form of such submission 100,000 pounds without permanent de- may be in written or electronic form formation. When coupled together in consistent with the standards and re- any combination to join two vehicles, quirements established by the Federal AAR Type H and Type F tight-lock Docket Management System and post- couplers satisfy the requirements of ed on its web site at http:// this paragraph (a). www.regulations.gov. (b) Except for a cab car or an MU lo- (h) Disposition of petitions (1) If the comotive, each locomotive ordered on Administrator finds it necessary or de- or after September 8, 2000, or placed in sirable, FRA will conduct a hearing on service for the first time on or after a petition in accordance with the pro- September 9, 2002, shall have an anti- cedures provided in § 211.25 of this chap- climbing mechanism at its forward end ter. capable of resisting both an upward (2) If FRA finds that the petition and downward vertical force of 200,000 complies with the requirements of this pounds without failure. Locomotives section and that the proposed usage is required to be constructed in accord- in the public interest and consistent ance with subpart D of part 229 of this with railroad safety, the petition will chapter shall have an anti-climbing be granted, normally within 90 days of mechanism in compliance with § 229.206 its receipt. If the petition is neither of this chapter, in lieu of the require- granted nor denied within 90 days, the ments of this paragraph. petition remains pending for decision. [75 FR 1227, Jan. 8, 2010] FRA may attach special conditions to the approval of the petition. Following § 238.207 Link between coupling mech- the approval of a petition, FRA may anism and car body. reopen consideration of the petition for All passenger equipment placed in cause stated. service for the first time on or after (3) If FRA finds that the petition September 8, 2000 shall have a coupler does not comply with the requirements carrier at each end designed to resist a of this section or that the proposed vertical downward thrust from the cou- usage is not in the public interest and pler shank of 100,000 pounds for any consistent with railroad safety, the pe- normal horizontal position of the cou- tition will be denied, normally within pler, without permanent deformation. 90 days of its receipt. For passenger equipment that is con- (4) When FRA grants or denies a peti- nected by articulated joints that com- tion, or reopens consideration of the ply with the requirements of

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§ 238.205(a), such passenger equipment value for a distance of 18 inches up also complies with the requirements of from the underframe connection and this section. then taper to a point approximately 30 inches above the underframe connec- § 238.209 Forward end structure of lo- tion; or comotives, including cab cars and MU locomotives. (ii) An equivalent end structure that can withstand the sum of forces that (a)(1) The skin covering the forward- each collision post in paragraph facing end of each locomotive, includ- (a)(1)(i) of this section is required to ing a cab car and an MU locomotive, withstand. For analysis purposes, the shall be: required forces may be assumed to be (i) Equivalent to a 1⁄2-inch steel plate evenly distributed at the end structure with a yield strength of 25,000 pounds- at the underframe joint. per-square-inch—material of a higher yield strength may be used to decrease (2) The requirements of this para- the required thickness of the material graph (a) do not apply to unoccupied provided at least an equivalent level of passenger equipment operating in a strength is maintained; passenger train, or to the rear end of a (ii) Designed to inhibit the entry of locomotive if the end is unoccupied by fluids into the occupied cab area of the design. equipment; and (b) Except for a locomotive that is (iii) Affixed to the collision posts or constructed on or after January 1, 2009, other main vertical structural mem- and is subject to the requirements of bers of the forward end structure so as subpart D of part 229 of this chapter, to add to the strength of the end struc- each locomotive, including a cab car ture. and an MU locomotive, ordered on or (2) As used in this paragraph (a), the after September 8, 2000, or placed in term ‘‘skin’’ does not include forward- service for the first time on or after facing windows and doors. September 9, 2002, shall have at its for- (b) The forward end structure of a ward end, in lieu of the structural pro- cab car or an MU locomotive may com- tection described in paragraph (a) of ply with the requirements of appendix this section, either: F to this part in lieu of the require- (1) Two forward collision posts, lo- ments of either § 238.211 (Collision cated at approximately the one-third posts) or § 238.213 (Corner posts), or points laterally, each capable of with- both, provided that the end structure is standing: designed to protect the occupied vol- (i) A 500,000-pound longitudinal force ume for its full height, from the at the point even with the top of the underframe to the anti-telescoping underframe, without exceeding the ul- plate (if used) or roof rails. timate strength of the joint; and [75 FR 1228, Jan. 8, 2010] (ii) A 200,000-pound longitudinal force exerted 30 inches above the joint of the § 238.211 Collision posts. post to the underframe, without ex- (a) Except as further specified in this ceeding the ultimate strength; or paragraph, paragraphs (b) through (d) (2) An equivalent end structure that of this section, and § 238.209(b)— can withstand the sum of the forces (1) All passenger equipment placed in that each collision post in paragraph service for the first time on or after (b)(1) of this section is required to September 8, 2000, shall have either: withstand. (i) Two full-height collision posts, lo- (c)(1) Each cab car and MU loco- cated at approximately the one-third motive ordered on or after May 10, 2010, points laterally, at each end. Each col- or placed in service for the first time lision post shall have an ultimate lon- on or after March 8, 2012, shall have at gitudinal shear strength of not less its forward end, in lieu of the struc- than 300,000 pounds at a point even tural protection described in para- with the top of the underframe member graphs (a) and (b) of this section, two to which it is attached. If reinforce- forward collision posts, located at ap- ment is used to provide the shear proximately the one-third points lat- value, the reinforcement shall have full erally, meeting the requirements set

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forth in paragraphs (c)(2) and (c)(3) of § 238.21 a documented engineering anal- this section: ysis establishing that the articulated (2) Each collision post acting to- connection is capable of preventing dis- gether with its supporting car body engagement and telescoping to the structure shall be capable of with- same extent as equipment satisfying standing the following loads individ- the anti-climbing and collision post re- ually applied at any angle within 15 de- quirements contained in this subpart; grees of the longitudinal axis: and (i) A 500,000-pound horizontal force (2) FRA finds the analysis persuasive. applied at a point even with the top of [75 FR 1228, Jan. 8, 2010] the underframe, without exceeding the ultimate strength of either the post or § 238.213 Corner posts. its supporting car body structure; (a)(1) Except as further specified in (ii) A 200,000-pound horizontal force paragraphs (b) and (c) of this section applied at a point 30 inches above the and § 238.209(b), each passenger car top of the underframe, without exceed- shall have at each end of the car, ing the ultimate strength of either the placed ahead of the occupied volume, post or its supporting car body struc- two full-height corner posts, each capa- ture; and ble of resisting together with its sup- (iii) A 60,000-pound horizontal force porting car body structure: applied at any height along the post (i) A 150,000-pound horizontal force above the top of the underframe, with- applied at a point even with the top of out permanent deformation of either the underframe, without exceeding the the post or its supporting car body ultimate strength of either the post or structure. its supporting car body structure; (3) Prior to or during structural de- (ii) A 20,000-pound horizontal force formation, each collision post acting applied at the point of attachment to together with its supporting car body the roof structure, without exceeding structure shall be capable of absorbing the ultimate strength of either the a minimum of 135,000 foot-pounds of en- post or its supporting car body struc- ergy (0.18 megajoule) with no more ture; and than 10 inches of longitudinal, perma- (iii) A 30,000-pound horizontal force nent deformation into the occupied applied at a point 18 inches above the volume, in accordance with the fol- top of the underframe, without perma- lowing: nent deformation of either the post or (i) The collision post shall be loaded its supporting car body structure. longitudinally at a height of 30 inches (2) For purposes of this paragraph (a), above the top of the underframe; the orientation of the applied hori- (ii) The load shall be applied with a zontal forces shall range from longitu- fixture, or its equivalent, having a dinal inward to lateral inward. width sufficient to distribute the load (b)(1) Except as provided in para- directly into the webs of the post, but graph (c) of this section, each cab car of no more than 36 inches, and either: and MU locomotive ordered on or after (A) A flat plate with a height of 6 May 10, 2010, or placed in service for inches; or the first time on or after March 8, 2012, (B) A curved surface with a diameter shall have at its forward end, in lieu of of no more than 48 inches; and the structural protection described in (iii) There shall be no complete sepa- paragraph (a) of this section, two cor- ration of the post, its connection to the ner posts ahead of the occupied vol- underframe, its connection to either ume, meeting all of the requirements the roof structure or anti-telescoping set forth in paragraphs (b)(2) and (b)(3) plate (if used), or of its supporting car of this section: body structure. (2) Each corner post acting together (d) The end structure requirements of with its supporting car body structure this section apply only to the ends of a shall be capable of withstanding the semi-permanently coupled consist of following loads individually applied to- articulated units, provided that: ward the inside of the vehicle at all an- (1) The railroad submits to FRA gles in the range from longitudinal to under the procedures specified in lateral:

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

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the underframe, without exceeding the post ahead of the stepwell is permitted ultimate strength of either the post or to fail. (A graphical description of the its supporting car body structure; forward end of a cab car or an MU loco- (ii) A 100,000-pound longitudinal force motive utilizing low-level passenger applied at a point 18 inches above the boarding on the non-operating side of top of the underframe, without perma- the cab end is provided in Figure 1 to nent deformation of either the post or subpart C of this part.) its supporting car body structure; [75 FR 1229, Jan. 8, 2010] (iii) A 45,000-pound longitudinal force applied at any height along the post § 238.215 Rollover strength. above the top of the underframe, with- (a) Each passenger car shall be de- out permanent deformation of either signed to rest on its side and be uni- the post or its supporting car body formly supported at the top (‘‘roof structure; rail’’), the bottom cords (‘‘side sill’’) of (iv) A 100,000-pound lateral force ap- the side frame, and, if bi-level, the in- plied at a point even with the top of termediate floor rail. The allowable the underframe, without exceeding the stress in the structural members of the ultimate strength of either the post or occupied volumes for this condition its supporting car body structure; shall be one-half yield or one-half the (v) A 30,000-pound lateral force ap- critical buckling stress, whichever is plied at a point 18 inches above the top less. Local yielding to the outer skin of of the underframe, without permanent the passenger car is allowed provided deformation of either the post or its that the resulting deformations in no supporting car body structure; and way intrude upon the occupied volume (vi) A 20,000-pound lateral force ap- of the car. plied at any height along the post (b) Each passenger car shall also be above the top of the underframe, with- designed to rest on its roof so that any out permanent deformation of either damage in occupied areas is limited to the post or its supporting car body roof sheathing and framing. Other than structure. roof sheathing and framing, the allow- (4) Prior to or during structural de- able stress in the structural members formation, the two posts in combina- of the occupied volumes for this condition acting together with their sup- tion shall be one-half yield or one-half porting body structure shall be capable the critical buckling stress, whichever of absorbing a minimum of 120,000 foot- is less. Deformation to the roof sheath- pounds of energy (0.16 megajoule) in ac- ing and framing is allowed to the ex- cordance with the following: tent necessary to permit the vehicle to (i) The corner posts shall be loaded be supported directly on the top chords longitudinally at a height of 30 inches of the side frames and end frames. above the top of the underframe; (ii) The load shall be applied with a § 238.217 Side structure. fixture, or its equivalent, having a Each passenger car shall comply with width sufficient to distribute the load the following: directly into the webs of the post, but (a) Side posts and corner braces. (1) For of no more than 36 inches and either: modified girder, semi-monocoque, or (A) A flat plate with a height of 6 truss construction, the sum of the sec- inches; or tion moduli in inches 3—about a longi- (B) A curved surface with a diameter tudinal axis, taken at the weakest hor- of no more than 48 inches; and izontal section between the side sill (iii) The corner post located behind and side plate—of all posts and braces the stepwell shall have no more than 10 on each side of the car located between inches of longitudinal, permanent de- the body corner posts shall be not less formation. There shall be no complete than 0.30 multiplied by the distance in separation of the corner post located feet between the centers of end panels. behind the stepwell, its connection to (2) For modified girder or semi-mono- the underframe, its connection to ei- coque construction only, the sum of ther the roof structure or anti-tele- the section moduli in inches 3—about a scoping plate (if used), or of its sup- transverse axis, taken at the weakest porting car body structure. The corner horizontal section between the side sill

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and side plate—of all posts, braces and § 238.221 Glazing. pier panels, to the extent available, on (a) Passenger equipment shall com- each side of the car located between ply with the applicable Safety Glazing body corner posts shall be not less than Standards contained in part 223 of this 0.20 multiplied by the distance in feet chapter, if required by that part. between the centers of end panels. (b) Each exterior window on a loco- (3) The center of an end panel is the motive cab and a passenger car shall point midway between the center of remain in place when subjected to: the body corner post and the center of the adjacent side post. (1) The forces described in part 223 of this chapter; and (4) The minimum section moduli or thicknesses specified in paragraph (a) (2) The forces due to air pressure dif- of this section may be adjusted in pro- ferences caused when two trains pass portion to the ratio of the yield at the minimum separation for two ad- strength of the material used to that of jacent tracks, while traveling in oppo- mild open-hearth steel for a car whose site directions, each train traveling at structural members are made of a high- the maximum authorized speed. er strength steel. § 238.223 Locomotive fuel tanks. (b) Sheathing. (1) Outside sheathing of mild, open-hearth steel when used flat, Locomotive fuel tanks shall comply without reinforcement (other than side with either the following or an indus- posts) in a side frame of modified gird- try standard providing at least an er or semi-monocoque construction equivalent level of safety if approved shall not be less than 1/8 inch nominal by FRA under § 238.21: thickness. Other metals may be used of (a) External fuel tanks. External loco- a thickness in inverse proportion to motive fuel tanks shall comply with their yield strengths. the requirements contained in Appen- (2) Outside metal sheathing of less dix D to this part. than 1⁄8 inch thickness may be used (b) Internal fuel tanks. (1) Internal lo- only if it is reinforced so as to produce comotive fuel tanks shall be positioned at least an equivalent sectional area at in a manner to reduce the likelihood of a right angle to reinforcements as that accidental penetration from roadway of the flat sheathing specified in para- debris or collision. graph (b)(1) of this section. (2) Internal fuel tank vent systems (3) When the sheathing used for truss shall be designed so they do not be- construction serves no load-carrying come a path of fuel loss in any tank function, the minimum thickness of orientation due to a locomotive over- that sheathing shall be not less than 40 turning. percent of that specified in paragraph (3) Internal fuel tank bulkheads and (b)(1) of this section. skin shall, at a minimum, be equivalent to a 5/16-inch thick steel plate § 238.219 Truck-to-car-body attach- with a yield strength of 25,000 pounds ment. per square inch. Material of a higher Passenger equipment shall have a yield strength may be used to decrease truck-to-car-body attachment with an the required thickness of the material ultimate strength sufficient to resist provided at least an equivalent level of without failure the following individ- strength is maintained. Skid plates are ually applied loads: 2g vertically on the not required. mass of the truck; and 250,000 pounds in [67 FR 19991, Apr. 23, 2002] any horizontal direction on the truck, along with the resulting vertical reac- § 238.225 Electrical system. tion to this load. For purposes of this All passenger equipment shall com- section, the mass of the truck includes ply with the following: axles, wheels, bearings, the truck- (a) Conductors. Conductor sizes shall mounted brake system, suspension sys- be selected on the basis of current-car- tem components, and any other compo- rying capacity, mechanical strength, nent attached to the truck by design. temperature, flexibility requirements, [67 FR 19991, Apr. 23, 2002] and maximum allowable voltage drop.

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Current-carrying capacity shall be de- (a) All passenger equipment shall ex- rated for grouping and for operating hibit freedom from hunting oscilla- temperature. tions at all operating speeds. If hunting (b) Main battery system. (1) The main oscillations do occur, a railroad shall battery compartment shall be isolated immediately take appropriate action from the cab and passenger seating to prevent derailment. For purposes of areas by a non-combustible barrier. this paragraph, hunting oscillations (2) Battery chargers shall be designed shall be considered lateral oscillations to protect against overcharging. of trucks that could lead to a dan- (3) If batteries are of the type to po- gerous instability. tentially vent explosive gases, the bat- (b) All passenger equipment intended tery compartment shall be adequately for service above 110 mph shall dem- ventilated to prevent the accumulation onstrate stable operation during pre- of explosive concentrations of these revenue service qualification tests at gases. all operating speeds up to 5 mph in ex- (c) Power dissipation resistors. (1) cess of the maximum intended oper- Power dissipating resistors shall be ating speed under worst-case condi- adequately ventilated to prevent over- tions—including component wear—as heating under worst-case operating determined by the operating railroad. conditions as determined by the rail- (c) Nothing in this section shall af- road. fect the requirements of part 213 of this (2) Power dissipation grids shall be chapter as they apply to passenger designed and installed with sufficient equipment as provided in that part. isolation to prevent combustion. (3) Resistor elements shall be elec- § 238.229 Safety appliances—general. trically insulated from resistor frames, and the frames shall be electrically in- (a) Except as provided in this part, sulated from the supports that hold all passenger equipment continues to them. be subject to the safety appliance re- (d) Electromagnetic interference and quirements contained in Federal stat- compatibility. (1) The operating railroad ute at 49 U.S.C. chapter 203 and in Fed- shall ensure electromagnetic compat- eral regulations at part 231 of this ibility of the safety-critical equipment chapter. systems with their environment. Elec- (b) Except as provided in this part, tromagnetic compatibility may be FRA interprets the provisions in part achieved through equipment design or 231 of this chapter that expressly man- changes to the operating environment. date that the manner of application of (2) The electronic equipment shall a safety appliance be a bolt, rivet, or not produce electrical noise that af- screw to mean that the safety appli- fects the safe performance of train line ance and any related bracket or sup- control and communications or way- port used to attach that safety appli- side signaling systems. ance to the equipment shall be so af- (3) To contain electromagnetic inter- fixed to the equipment. Specifically, ference emissions, suppression of tran- FRA prohibits the use of welding as a sients shall be at the source wherever method of attachment of any such safe- possible. ty appliance or related bracket or sup- (4) All electronic equipment shall be port. A ‘‘safety appliance bracket or self-protected from damage or im- support’’ means a component or part proper operation, or both, due to high attached to the equipment for the sole voltage transients and long-term over- purpose of securing or attaching of the voltage or under-voltage conditions. safety appliance. FRA does allow the This includes protection from both welded attachment of a brace or stiff- power frequency and harmonic effects ener used in connection with a meas well as protection from radio fre- chanically fastened safety appliance. quency signals into the microwave fre- In order to be considered a ‘‘brace’’ or quency range. ‘‘stiffener,’’ the component or part shall not be necessary for the attach- § 238.227 Suspension system. ment of the safety appliance to the On or after November 8, 1999— equipment and is used solely to provide

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extra strength or steadiness to the contained in paragraphs (g) through (k) safety appliance. of this section. (c) Welded safety appliances. (1) Pas- (d) Defective welded safety appliance or senger equipment placed in service welded safety appliance bracket or sup- prior to January 1, 2007, that is port. Passenger equipment with a weld- equipped with a safety appliance, re- ed safety appliance or a welded safety quired by the ‘‘manner of application’’ appliance bracket or support will be provisions in part 231 of this chapter to considered defective and shall be han- be attached by a mechanical fastener dled in accordance with § 238.17(e) if (i.e., bolts, rivets, or screws), and the any part or portion of the weld con- safety appliance is mechanically fas- tains a defect. Any repairs made to tened to a bracket or support that is such equipment shall be in accordance attached to the equipment by welding with the inspection plan required in may continue to be used in service pro- paragraph (g) of this section and the vided all of the requirements in para- remedial actions identified in paragraphs (e) through (k) of this section are met. The welded safety appliance graph (j) of this section. A defect for bracket or support only needs to re- the purposes of this section means a ceive the initial visual inspection re- crack or fracture of any visibly dis- quired under paragraph (g)(1) of this cernible length or width. When appro- section if all of the following condi- priate, civil penalties for improperly tions are met: using or hauling a piece of equipment (i) The welded safety appliance with a defective welded safety appli- bracket or support meets all of the ance or safety appliance bracket or conditions contained in § 238.230(b)(1) support addressed in this section will for being considered part of the car be assessed as an improperly applied body; safety appliance pursuant to the pen- (ii) The weld on the safety appliance alty schedule contained in Appendix A bracket or support does not contain to part 231 of this chapter under the ap- any defect as defined in paragraph (d) propriate defect code contained thereof this section; and in. (iii) The railroad submits a written (e) Identification of equipment. The list to FRA identifying each piece of railroad shall submit a written list to passenger equipment equipped with a FRA that identifies each piece of pas- welded safety appliance bracket or sup- senger equipment equipped with a port as described in paragraph (c)(1)(i) welded safety appliance bracket or sup- and (c)(1)(ii) of this section and pro- port by January 1, 2007. Passenger vides a description of the specific safe- equipment placed in service prior to ty appliance bracket or support. January 1, 2007, but not discovered (2) Passenger equipment placed in until after January 1, 2007, shall be im- service prior to January 1, 2007, that is mediately added to the railroad’s writ- equipped with a safety appliance that ten list and shall be immediately in- is directly attached to the equipment spected in accordance with paragraph by welding (i.e., no mechanical fas- (g) through (k) of this section. The tening of any kind) shall be considered written list submitted by the railroad defective and immediately handled for shall contain the following: repair pursuant to the requirements (1) The equipment number; contained in § 238.17(e) unless the railroad meets the following: (2) The equipment type; (i) The railroad submits a written list (3) The safety appliance bracket(s) or to FRA that identifies each piece of support(s) affected; passenger equipment equipped with a (4) Any equipment and any specific welded safety appliance as described in safety appliance bracket(s) or sup- paragraph (c)(2) of this section and pro- ports(s) on the equipment that will not vides a description of the specific safe- be subject to the inspection plan re- ty appliance; and quired in paragraph (g) of this section; (ii) The involved safety appliance(s) (5) A detailed explanation for any on such equipment are inspected and such exclusion recommended in para- handled pursuant to the requirements graph (e)(4) of this section;

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(f) FRA’s Associate Administrator tify defective weld conditions. At a for Safety reserves the right to dis- minimum, these personnel include the approve any exclusion recommended by following: the railroad in paragraphs (c)(2)(i) and (1) A qualified maintenance person (d)(4) of this section and will provide (QMP) with at least 4 hours of training written notification to the railroad of specific to the identification of weld any such determination. defects and the railroad’s weld inspec- (g) Inspection plans. The railroad tion procedures; shall adopt and comply with and sub- (2) A current certified welding in- mit to FRA upon request a written spector (CWI) pursuant to American safety appliance inspection plan. At a Welding Society Standard—AWS QC–1, minimum, the plan shall include the Standard for AWS Certification of following: Welding Inspectors (1996) or its current (1) Except as provided in paragraph revised equivalent; (c)(1) of this section, an initial visual (3) A person possessing a current Ca- inspection (within 1 year of date of nadian Welding Bureau (CWB) certifi- publication) and periodic re-inspec- cation pursuant to the Canadian tions (at intervals not to exceed 6 Standards Association Standard W59 years) of each welded safety appliance (2003) or its current revised equivalent; bracket or support identified in para- (4) A person possessing a current graph (e) of this section. If significant level II or level III visual inspector cer- disassembly of a car is necessary to tification from the American Society visually inspect the involved safety ap- for Non-destructive Testing pursuant pliance bracket or support, the initial to Recommended Practice SNT–TC– visual inspection may be conducted at 1A—Personnel Qualification and Cer- the equipment’s first periodic brake tification in Nondestructive Testing equipment maintenance interval pur- (2001) or its current revised equivalent; suant to § 238.309 occurring after Janu- or ary 1, 2007. (5) A person possessing a current cer- (2) Identify the personnel that will tification under any other nationally conduct the initial and periodic inspec- or internationally recognized welding tions and any training those individ- qualification standard that is equiva- uals are required to receive in accord- lent to those identified in paragraphs ance with the criteria contained in (h)(2) through (h)(4) of this section. paragraph (h) of this section. (i) Inspection procedures. The initial (3) Identify the specific procedures and periodic safety appliance inspec- and criteria for conducting the initial tions shall be conducted in accordance and periodic safety appliance inspec- with the procedures and criteria estab- tions in accordance with the require- lished in the railroad’s inspection plan. ments and criteria contained in para- At a minimum, these procedures and graph (i) of this section. criteria shall include: (4) Identify when and what type of (1) A complete visual inspection of potential repairs or potential remedial the entire welded surface of any safety action will be required for any defec- appliance bracket or support identified tive welded safety appliance bracket or in paragraph (e) of this section. support discovered during the initial or (2) The visual inspection shall occur periodic safety appliance inspection in after the complete removal of any dirt, accordance with paragraph (j) of this grease, rust, or any other foreign mat- section. ter from the welded portion of the in- (5) Identify the records that will be volved safety appliance bracket or sup- maintained that are related to the ini- port. Removal of paint is not required. tial and periodic safety appliance in- (3) The railroad shall disassemble any spections in accordance with the re- equipment necessary to permit full vis- quirements contained in paragraph (k) ual inspection of the involved weld. of this section. (4) Any materials necessary to con- (h) Inspection personnel. The initial duct a complete inspection must be and periodic safety appliance inspec- made available to the inspection per- tions shall be performed by individuals sonnel throughout the inspection proc- properly trained and qualified to iden- ess. These include but are not limited

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to such items as mirrors, magnifying aged appliance, bracket, or support the glasses, or other location specific in- following requirements shall be met: spection aids. Remote viewing aids pos- (i) The repair shall be conducted in sessing equivalent sensitivity are per- accordance with the welding proce- missible for restricted areas. dures contained in APTA Standard SS– (5) Any weld found with a defect as C&S–020–03—Standard for Passenger defined in paragraph (d) of this section Rail Vehicle Structural Repair (Sep- during the initial or periodic safety ap- tember 2003); or an alternative proce- pliance inspection shall be inspected by dure approved by FRA pursuant to either a certified weld inspector identi- § 238.21. The Director of the Federal fied in paragraphs (h)(2) through (h)(5) Register approves incorporation by ref- of this section or a welding or mate- erence of the APTA Standard SS–C&S– rials engineer possessing a professional 020–03 (September 2003), ‘‘Standard for engineer’s license for a final deter- Passenger Rail Vehicle Structural Re- mination. No car with a defect in the pair,’’ in this section in accordance weld of a safety appliance or its attach- with 5 U.S.C. 552(a) and 1 CFR part 51. ment may continue in use until a final You may obtain a copy of the incor- determination as to the existence of a porated standard from the American defect is made by the personnel identi- Public Transportation Association, fied in this paragraph. 1666 K Street, Washington, DC 20006. (6) A weld finally determined to con- You may inspect a copy of the incor- tain a defect shall be handled for repair porated standard at the Federal Rail- road Administration, Docket Clerk, in accordance with § 238.17(e) and re- 1200 New Jersey Avenue, SE., Wash- paired in accordance with the remedial ington, DC 20590 or at the National Ar- action criteria contained in paragraph chives and Records Administration (j) of this section. (NARA). For information on the avail- (j) Remedial action. Unless a defect in ability of this material at NARA, call a weld is known to have been caused by 202–741–6030, or go to http:// crash damage, the railroad shall con- www.archives.gov/federallregister/ duct a failure and engineering analysis codeloflfederallregulations/ of any weld identified in paragraph (e) ibrllocations.html; of this section determined to have a (ii) A qualified individual under para- break or crack either during the initial graph (h) of this section shall inspect or periodic safety appliance inspection the weld to ensure it is free of any or while otherwise in service to deter- cracks or fractures prior to the equip- mine if the break or crack is the result ment being placed in-service; of crash damage, improper construc- (iii) The welded safety appliance tion, or inadequate design. Based on bracket or support shall receive a peri- the results of the analysis, the repair odic safety appliance inspection pursu- of the involved safety appliance brack- ant to the requirements contained in et or support shall be handled as fol- paragraphs (g) through (i) of this sec- lows: tion; and (1) A defect in a weld due to crash (iv) A record of the welded repair pur- damage (i.e., impact of the safety appli- suant to the requirements of paragraph ance by an outside force during service (k) of this section shall be maintained or an accident) or improper construc- by the railroad. tion (i.e., the weld did not conform to (2) A defect in the weld that is due to the engineered design) shall be re- inadequate design (i.e., unanticipated attached by either mechanically fas- stresses or loads during service) shall tening the safety appliance or the safe- be handled in accordance with the fol- ty appliance bracket or support to the lowing: equipment or welding the safety appli- (i) The railroad must immediately ance bracket or support to the equip- notify FRA’s Associate Administrator ment in a manner that is at least as for Safety in writing of its discovery of strong as the original design or at least a defective weld that is due to inad- twice the strength of a bolted mechan- equate design; ical attachment, whichever is greater. (ii) The involved safety appliance or If welding is used to repair the dam- the safety appliance bracket or support

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shall be reattached to the equipment ance inspection or while the equipment by mechanically fastening the safety is in-service. This record shall also appliance or the safety appliance identify the cause of the crack or frac- bracket or support to the equipment ture. unless such mechanical fastening is (4) The date, time, location, identi- impractical due to the design of the fication of the person making the re- equipment; pair, and the nature of the repair to (iii) The railroad shall develop and any welded safety appliance bracket or comply with a written plan submitted support identified in paragraph (e) of to and approved by FRA’s Associate this section. Administrator for Safety detailing a [71 FR 61858, Oct. 19, 2006, as amended at 74 schedule for all passenger equipment in FR 25174, May 27, 2009] that series of cars with a similar welded safety appliance bracket or support § 238.230 Safety appliances—new to have the involved safety appliance equipment. or the safety appliance bracket or sup- (a) Applicability. This section applies port mechanically fastened to the to passenger equipment placed in serv- equipment; and ice on or after January 1, 2007. (iv) If a railroad determines that the (b) Welded safety sppliances. Except as design of the equipment makes it im- provided in this section, all passenger practical to mechanically fasten the equipment placed into service on or safety appliance or the safety appli- after January 1, 2007, that is equipped ance bracket or support to the equip- with a safety appliance, required by ment, then the railroad shall submit a the ‘‘manner of application’’ provisions request to FRA for special approval of in part 231 of this chapter to be at- alternative compliance pursuant to tached by a mechanical fastener (i.e., § 238.21. Such a request shall explain bolts, rivets, or screws), shall have the the necessity for any relief sought and safety appliance and any bracket or shall contain appropriate data and support necessary to attach the safety analysis supporting its determination appliance to the piece of equipment that any alternative method of attach- mechanically fastened to the piece of ment provides at least an equivalent equipment. level of safety. (1) Safety appliance brackets or sup- (k) Records. Railroads shall maintain ports considered part of the car body. written or electronic records of the in- Safety appliance brackets or supports spection and repair of the welded safe- will be considered part of the car body ty appliance brackets or supports on and will not be required to be mechani- any equipment identified in paragraph cally fastened to the piece of passenger (e) of this section. The records shall be equipment if all of the following are made available to FRA upon request. met: At a minimum, these records shall in- (i) The bracket or support is welded clude all of the following: to a surface of the equipment’s body (1) Training or certification records that is at a minimum 3/16-inch sheet for any person performing any of the steel or structurally reinforced to pro- inspections or repairs required in this vide the equivalent strength and rigid- section. ity of 3/16-inch sheet steel; (2) The date, time, location, and iden- (ii) The area of the weld is sufficient tification of the person performing the to ensure a minimum weld strength, initial and periodic safety appliance in- based on yield, of three times the spections for each piece of equipment strength of the number of SAE grade 2, identified in paragraph (e) of this sec- 1⁄2 inch diameter bolts that would be re- tion. This includes the identification of quired for each attachment; the person making any final deter- (iii) Except for any access required mination as to the existence of a defect for attachment of the safety appliance, under paragraph (i)(5) of this section. the weld is continuous around the pe- (3) A record of all passenger equip- rimeter of the surface of the bracket or ment found with a safety appliance support; weldment that is defective either dur- (iv) The attachment is made with filing the initial or periodic safety appli- let welds at least 3/16-inch in size;

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(v) The weld is designed for infinite (3) Other welded safety appliances and fatigue life in the application that it safety appliance brackets and supports. will be placed; Except for safety appliance brackets (vi) The weld is performed in accord- and supports identified in paragraph ance with the welding process and the (b)(1) of this section, safety appliance quality control procedures contained in brackets and supports on passenger the current American Welding Society equipment shall not be welded to the (AWS) Standard, the Canadian Welding car body unless the design of the equip- Bureau (CWB) Standard, or an equiva- ment makes it impractical to mechani- lent nationally or internationally rec- cally fasten the safety appliance and it ognized welding standard; is impossible to meet the conditions (vii) The weld is performed by an infor considering the bracket or support dividual possessing the qualifications part of the car body contained in para- to be certified under the current AWS graph (b)(1) of this section. Prior to Standard, CWB Standard, or any equiv- placing a piece of passenger equipment alent nationally or internationally rec- in service with a welded safety appli- ognized welding qualification standard; ance bracket or support as described in (viii) The weld is inspected by an in- this paragraph, the railroad shall sub- dividual qualified to determine that all mit documentation to FRA, for FRA’s of the conditions identified in para- review and approval, containing all of graph (b)(1)(i) through (b)(1)(vii) of this the following information: section are met prior to the equipment (i) Identification of the equipment by being placed in service; and number, type, series, operating rail- (ix) A written or electronic record of road, and other pertinent data; the inspection required in paragraph (ii) Identification of the safety appli- (b)(1)(viii) of this section shall be re- ance bracket(s) or support(s) not me- tained by the railroad operating the chanically fastened to the equipment equipment and shall be provided to and not considered part of the car body FRA upon request. At a minimum, this under paragraph (b)(1) of this section; record shall include the date, time, lo- (iii) A detailed analysis describing cation, identification of the person per- the necessity to attach the safety ap- forming the inspection, and the quali- pliance bracket or support to the fications of the person performing the equipment by a means other than me- inspection. chanical fastening; (2) Directly welded safety appliances. (iv) A detailed analysis describing Passenger equipment that is equipped the inability to make the bracket or with a safety appliance that is directly support part of the car body as pro- attached to the equipment by welding vided for in paragraph (b)(1) of this sec- (i.e., no mechanical fastening of any tion; and kind) may be placed in service only if (v) A copy and description of the con- the railroad meets the following: sensus or other appropriate industry (i) The railroad submits a written list standard used to ensure the effective- to FRA that identifies each piece of ness and strength of the attachment; new passenger equipment equipped (c) Inspection and repair. Passenger with a welded safety appliance as de- equipment with a welded safety appli- scribed in paragraph (b)(2) of this sec- ance or a welded safety appliance tion and provides a description of the bracket or support will be considered specific safety appliance; defective and shall be handled in ac- (ii) The railroad provides a detailed cordance with § 238.17(e) if any part or basis as to why the design of the vehi- portion of the weld is defective as de- cle or placement of the safety appli- fined in § 238.229(d). When appropriate, ance requires that the safety appliance civil penalties for improperly using or be directly welded to the equipment; hauling a piece of equipment with a de- and fective welded safety appliance or safe- (iii) The involved safety appliance(s) ty appliance bracket or support ad- on such equipment are inspected and dressed in this section will be assessed handled pursuant to the requirements pursuant to the penalty schedule con- contained in § 238.229(g) through (k). tained in Appendix A to part 231 of this

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chapter under the appropriate defect (2) As nearly as possible, based upon code contained therein. the design of the equipment, ensure (1) Any safety appliance bracket or that the standard provides for the same support approved by FRA pursuant to complement of handholds, sill steps, paragraph (b)(3) of this section shall be ladders, hand or parking brakes, run- inspected and handled in accordance ning boards, and other safety appli- with the requirements contained in ances as are required for a piece of § 238.229(g) through (k). equipment of the nearest approximate (2) Any repair to a safety appliance type already identified in part 231 of bracket or support considered to be this chapter; part of the car body under paragraph (3) Comply with all statutory requirements relating to safety appli- (b)(1) of this section shall be conducted ances contained at 49 U.S.C. 20301 and in accordance with APTA Standard 20302; SS–C&S–020–03—Standard for Pas- (4) Specifically address the number, senger Rail Vehicle Structural Repair dimension, location, and manner of ap- (September 2003), or an alternative pro- plication of each safety appliance con- cedure approved by FRA pursuant to tained in the standard; § 238.21, and shall ensure that the repair (5) Provide specific analysis regard- meets the requirements contained in ing why and how the standard was de- paragraphs (b)(1)(i) through (b)(1)(vii) veloped and specifically discuss the of this section. The Director of the need or benefit of the safety appliance Federal Register approves incorpora- arrangement contained in the stand- tion by reference of the APTA Stand- ard; ard SS–C&S–020–03 (September 2003), (6) Include drawings, sketches, or ‘‘Standard for Passenger Rail Vehicle other visual aids that provide detailed Structural Repair,’’ in this section in information relating to the design, lo- accordance with 5 U.S.C. 552(a) and 1 cation, placement, and attachment of CFR part 51. You may obtain a copy of the safety appliances; and the incorporated standard from the (7) Demonstrate the ergonomic suit- American Public Transportation Asso- ability of the proposed arrangements in ciation, 1666 K Street, Washington, DC normal use. 20006. You may inspect a copy of the in- (e) Any industry standard approved corporated standard at the Federal pursuant to § 238.21 will be enforced Railroad Administration, Docket against any person who violates any Clerk, 1200 New Jersey Avenue, SE., provision of the approved standard or Washington, DC 20590 or at the Na- causes the violation of any such provi- tional Archives and Records Adminis- sion. Civil penalties will be assessed tration (NARA). For information on under part 231 of this chapter by using the availability of this material at the applicable defect code contained in NARA, call 202–741–6030, or go to http:// appendix A to part 231 of this chapter. wwww.archives.gov/federal register/ l [71 FR 61860, Oct. 19, 2006, as amended at 74 codeloflfederallregulations/ FR 25174, May 27, 2009] ibrllocations.html. (d) Passenger cars of special construc- § 238.231 Brake system. tion. A railroad or a railroad’s recog- Except as otherwise provided in this nized representative may submit a re- section, on or after September 9, 1999 quest for special approval of alter- the following requirements apply to all native compliance pursuant to § 238.21 passenger equipment and passenger relating to the safety appliance ar- trains. rangements on any passenger car con- (a) A passenger train’s primary brake sidered a car of special construction system shall be capable of stopping the under § 231.18 of this chapter. Any such train with a service application from petition shall be in the form of an in- its maximum authorized operating dustry-wide standard and at a min- speed within the signal spacing exist- imum shall: ing on the track over which the train is (1) Identify the type(s) of car to operating. which the standard would be applica- (b) Where practicable, the design of ble; passenger equipment ordered on or

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after September 8, 2000, or placed in equipped with a hand or parking brake service for the first time on or after that can: September 9, 2002, shall not require an (i) Be applied or activated by hand; inspector to place himself or herself (ii) Be released by hand; and on, under, or between components of (iii) Hold the loaded unit on the max- the equipment to observe brake actu- imum grade anticipated by the operation or release. Passenger equipment ating railroad. not designed in this manner shall be (2) Except for a private car and loco- equipped and handled in accordance motives addressed in paragraph (h)(1) with one of the following: of this section, all other passenger (1) Equipped with piston travel indi- equipment, including MU locomotives, cators as defined in § 238.5 or devices of shall be equipped with a hand brake similar design and inspected pursuant that meets the requirements for hand to the requirements contained in brakes contained in part 231 of this § 238.313 (j); or chapter and that can: (2) Equipped with brake indicators as (i) Be applied or activated by hand; defined in § 238.5, designed so that the (ii) Be released by hand; and pressure sensor is placed in a location (iii) Hold the loaded unit on the max- so that nothing may interfere with the imum grade anticipated by the oper- air flow to brake cylinder and in- ating railroad. spected pursuant to the requirements (3) Except for MU locomotives, on lo- contained in § 238.313 (j). comotives so equipped, the hand or (c) Passenger equipment shall be pro- parking brake as well as its parts and vided with an emergency brake appli- connections shall be inspected, and cation feature that produces an irre- necessary repairs made, as often as trievable stop, using a brake rate con- service requires but no less frequently sistent with prevailing adhesion, pas- than every 368 days. The date of the senger safety, and brake system ther- last inspection shall be either entered mal capacity. An emergency brake ap- on Form FRA F 6180–49A, suitably plication shall be available at any stenciled or tagged on the equipment, time, and shall be initiated by an unin- or maintained electronically provided tentional parting of the train. FRA has access to the record upon re- (d) A passenger train brake system quest. shall respond as intended to signals (4) A train’s air brake shall not be de- from a train brake control line or lines. pended upon to hold unattended equip- Control lines shall be designed so that ment (including a locomotive, a car, or failure or breakage of a control line a train whether or not locomotive is will cause the brakes to apply or will attached). For purposes of this section, result in a default to control lines that ‘‘unattended equipment’’ means equip- meet this requirement. ment left standing and unmanned in (e) Introduction of alcohol or other such a manner that the brake system chemicals into the air brake system of of the equipment cannot be readily passenger equipment is prohibited. controlled by a qualified person. Unat- (f) The operating railroad shall re- tended equipment shall be secured in quire that the design and operation of accordance with the following require- the brake system results in wheels that ments: are free of condemnable cracks. (i) A sufficient number of hand or (g) Disc brakes shall be designed and parking brakes shall be applied to hold operated to produce a surface tempera- the equipment. Railroads shall develop ture no greater than the safe operating and implement a process or procedure temperature recommended by the disc to verify that the applied hand or park- manufacturer and verified by testing or ing brakes will sufficiently hold the previous service. equipment with the air brakes re- (h) Hand brakes and parking brakes. (1) leased; Except for a locomotive that is ordered (ii) Except for equipment connected before September 8, 2000 or placed in to a source of compressed air (e.g., lo- service for the first time before comotive or ground air source), prior Sepbember 9, 2002, and except for MU to leaving equipment unattended, the locomotives, all locomotives shall be brake pipe shall be reduced to zero at a

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rate that is no less than a service rate (k) For new designs of braking sys- reduction; tems, the design process shall include (iii) At a minimum, the hand or park- computer modeling or dynamometer ing brake shall be fully applied on at simulation of train braking that shows least one locomotive or vehicle in an compliance with paragraphs (f) and (g) unattended locomotive consist or of this section over the range of equip- train; ment operating speeds. A new simula- (iv) A railroad shall develop, adopt, tion is required prior to implementing and comply with procedures for secur- a change in operating parameters. ing any unattended locomotive re- (l) Locomotives ordered on or after quired to have a hand or parking brake September 8, 2000 or placed in service applied when the locomotive is not for the first time on or after September equipped with an operative hand or 9, 2002, shall be equipped with effective parking brake; air coolers or dryers that provide air to (v) A railroad shall adopt and comply the main reservoir with a dew point at with instructions to address throttle least 10 degrees F. below ambient tem- position, status of the reverser lever, perature. position of the generator field switch, (m) When a passenger train is oper- status of the independent brakes, posi- ated in either direct or graduated re- tion of the isolation switch, and posi- lease— tion of the automatic brake valve, or (1) All the cars in the train consist the functional equivalent of these shall be set up in the same operating items, on all unattended locomotives. mode or The procedures and instruction shall (2) Up to two cars may be operated in take into account weather conditions direct release mode when the rest of as they relate to throttle position and the cars in the train are operated in reverser handle; and graduated release mode, provided that (vi) Any hand or parking brakes ap- the cars operated in direct release plied to hold unattended equipment mode are hauled at the rear of the shall not be released until it is known train consist. that the air brake system is properly (n) Before adjusting piston travel or charged. working on brake rigging, the cutout (i) Passenger cars shall be equipped cock in the brake pipe branch must be with a means to apply the emergency closed and the air reservoirs must be brake that is accessible to passengers voided of all compressed air. When cut- and located in the vestibule or pas- out cocks are provided in brake cyl- senger compartment. The emergency inder pipes, these cutout cocks may be brake shall be clearly identified and closed, and air reservoirs need not be marked. voided of all compressed air. (j) Locomotives ordered after Sep- (o) All passenger trains to which this tember 8, 2000, or placed in service for part applies shall comply with the re- the first time after September 9, 2002, quirements covering the use of two- that are equipped with blended brakes way end-of-train devices contained in shall be designed so that: part 232 of this chapter. (1) The blending of friction and dy- [64 FR 25660, May 12, 1999, as amended at 65 namic brake to obtain the correct re- FR 41307, July 3, 2000; 71 FR 61861, Oct. 19, tarding force is automatic; 2006] (2) Loss of power or failure of the dynamic brake does not result in exceed- § 238.233 Interior fittings and surfaces. ing the allowable stopping distance; (a) Each seat in a passenger car (3) The friction brake alone is ade- shall— quate to safely stop the train under all (1) Be securely fastened to the car operating conditions; and body so as to withstand an individually (4) Operation of the friction brake applied acceleration of 4g acting in the alone does not result in thermal dam- lateral direction and 4g acting in the age to wheels or disc rotor surface tem- upward vertical direction on the dead- peratures exceeding the manufacturer’s weight of the seat or seats, if held in recommendation. tandem; and

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(2) Have an attachment to the car mass of the seat and a 95th-percentile body of an ultimate strength capable of adult male occupying it: resisting simultaneously: (1) Longitudinal: 8g; (i) The longitudinal inertial force of (2) Lateral: 4g; and 8g acting on the mass of the seat; and (3) Vertical: 4g. (ii) The load associated with the im- (g) If, for purposes of showing compli- pact into the seatback of an unre- ance with the requirements of this sec- strained 95th-percentile adult male ini- tion, the strength of a seat attachment tially seated behind the seat, when the is to be demonstrated through sled floor to which the seat is attached decelerates with a triangular crash pulse testing, the seat structure and seat at- having a peak of 8g and a duration of tachment to the sled that is used in 250 milliseconds. such testing must be representative of (b) Overhead storage racks in a pas- the actual seat structure in, and seat senger car shall provide longitudinal attachment to, the rail vehicle subject and lateral restraint for stowed arti- to the requirements of this section. If cles. Overhead storage racks shall be the attachment strength of any other attached to the car body with suffi- interior fitting is to be demonstrated cient strength to resist loads due to through sled testing, for purposes of the following individually applied ac- showing compliance with the require- celerations acting on the mass of the ments of this section, such testing luggage stowed as determined by the shall be conducted in a similar manner. railroad: [64 FR 25660, May 12, 1999, as amended at 71 (1) Longitudinal: 8g; FR 36917, June 28, 2006] (2) Vertical: 4g; and (3) Lateral: 4g. § 238.235 Doors. (c) Other interior fittings within a passenger car shall be attached to the (a) By December 31, 1999, each pow- car body with sufficient strength to ered, exterior side door in a vestibule withstand the following individually that is partitioned from the passenger applied accelerations acting on the compartment of a passenger car shall mass of the fitting: have a manual override device that is: (1) Longitudinal: 8g; (1) Capable of releasing the door to (2) Vertical: 4g; and permit it to be opened without power (3) Lateral: 4g. from inside the car; (d) To the extent possible, all interior (2) Located adjacent to the door fittings in a passenger car, except which it controls; and seats, shall be recessed or flush-mount- (3) Designed and maintained so that a ed. person may readily access and operate (e) Sharp edges and corners in a loco- the override device from inside the car motive cab and a passenger car shall be without requiring the use of a tool or either avoided or padded to mitigate other implement. If the door is dual- the consequences of an impact with leafed, only one of the door leafs is re- such surfaces. quired to respond to the manual over- (f) Locomotives required to be con- ride device. structed in accordance with subpart D (b) Each passenger car ordered on or of part 229 of this chapter shall have cab seat attachment in compliance after September 8, 2000, or placed in with § 229.206 of this chapter, in lieu of service for the first time on or after the following requirements of this September 9, 2002 shall have a min- paragraph. Each seat provided for a imum of two exterior side doors, each crewmember regularly assigned to oc- door providing a minimum clear open- cupy the cab of a locomotive and each ing with dimensions of 30 inches hori- floor-mounted seat in the cab shall be zontally by 74 inches vertically. secured to the car body with an attach- NOTE: The Americans with Disabilities Act ment having an ultimate strength ca- (ADA) Accessibility Specifications for Trans- pable of withstanding the loads due to portation Vehicles also contain require- the following individually applied ac- ments for doorway clearance (See 49 CFR celerations acting on the combined part 38).

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Each powered, exterior side door on road taking into consideration max- each such passenger car shall have a imum train speed and capabilities of manual override device that is: the signal system. The railroad shall (1) Capable of releasing the door to document the basis for setting alerter permit it to be opened without power or deadman control timing and make from both inside and outside the car; this documentation available to FRA (2) Located adjacent to the door upon request. which it controls; and (c) If the train operator does not re- (3) Designed and maintained so that a spond to the alerter or maintain proper person may access the override device contact with the deadman control, it from both inside and outside the car shall initiate a penalty brake applica- without requiring the use of a tool or tion. other implement. (d) The following procedures apply if (c) A railroad may protect a manual the alerter or deadman control fails en override device used to open a powered, route and causes the locomotive to be exterior door with a cover or a screen in non-compliance with paragraph (a): capable of removal without requiring (1)(i) A second person qualified on the the use of a tool or other implement. signal system and trained to apply the (d) Door exits shall be marked, and emergency brake shall be stationed in instructions provided for their use, as the locomotive cab; or required by § 239.107(a) of this chapter. (ii) The engineer shall be in constant [64 FR 25660, May 12, 1999, as amended at 67 communication with a second crew- FR 19991, Apr. 23, 2002] member until the train reaches the next terminal. § 238.237 Automated monitoring. (2)(i) A tag shall be prominently dis- (a) Except as further specified in this played in the locomotive cab to indi- paragraph, on or after November 8, 1999 cate that the alerter or deadman con- a working alerter or deadman control trol is defective, until such device is shall be provided in the controlling lo- repaired; and comotive of each passenger train oper- (ii) When the train reaches its next ating in other than cab signal, auto- terminal or the locomotive undergoes matic train control, or automatic train its next calender day inspection, stop territory. If the controlling loco- whichever occurs first, the alerter or motive is ordered on or after Sep- deadman control shall be repaired or tember 8, 2000, or placed into service the locomotive shall be removed as the for the first time on or after September controlling locomotive in the train. 9, 2002, a working alerter shall be pro- [64 FR 25660, May 12, 1999, as amended at 67 vided. FR 19991, Apr. 23, 2002] (b) Alerter or deadman control timing shall be set by the operating rail- PART 238, SUBPART C, FIGURE 1

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[75 FR 1230, Jan. 8, 2010] (c) Paragraphs (b) and (c) of § 238.309 shall apply beginning September 9, Subpart D—Inspection, Testing, 1999. and Maintenance Require- [64 FR 25660, May 12, 1999, as amended at 65 ments for Tier I Passenger FR 41307, July 3, 2000] Equipment § 238.303 Exterior calendar day me- § 238.301 Scope. chanical inspection of passenger equipment. (a) This subpart contains requirements pertaining to the inspection, (a) General. (1) Except as provided in testing, and maintenance of passenger paragraph (f) of this section, each pas- equipment operating at speeds not ex- senger car and each unpowered vehicle ceeding 125 miles per hour. The require- used in a passenger train shall receive ments in this subpart address the in- an exterior mechanical inspection at spection, testing, and maintenance of least once each calendar day that the the brake system as well as other me- equipment is placed in service. chanical and electrical components (2) Except as provided in paragraph covered by this part. (f) of this section, all passenger equip- (b) Beginning on January 1, 2002, the ment shall be inspected as required in requirements contained in this subpart this section at least once each calendar shall apply to railroads operating Tier day that the equipment is placed in I passenger equipment covered by this service to ensure that the equipment part. A railroad may request earlier ap- conforms with the requirement con- plication of the requirements contained in paragraph (e)(15) of this sec- tained in this subpart upon written no- tion. tification to FRA’s Associate Adminis- (3) If a passenger care is also classi- trator for Safety as provided in fied as a locomotive under part 229 of § 238.1(c). this chapter, the passenger car shall

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also receive a daily inspection pursu- (3) Each coupler is in the following ant to the requirements of § 229.21 of condition: this chapter. (i) Sidewall or pin bearing bosses and (b) Each passenger car and each the pulling face of the knuckles are not unpowered vehicle added to a passenger broken or cracked; train shall receive an exterior calendar (ii) The coupler assembly is equipped day mechanical inspection in accord- with anti-creep protection; ance with the following: (iii) The coupler carrier is not broken (1) Except as provided in paragraph or cracked; and (b)(2) of this section, each passenger (iv) The yoke is not broken or car and each unpowered vehicle added cracked. to a passenger train shall receive an (4) A device is provided under the exterior calendar day mechanical in- lower end of all drawbar pins and ar- spection at the time it is added to the ticulated connection pins to prevent train unless notice is provided to the the pin from falling out of place in case train crew that an exterior mechanical of breakage. inspection was performed on the car or (5) The suspension system, including vehicle on the last day it was used in the spring rigging, is in the following passenger service. The notice required condition: by this section shall contain the date, (i) Protective construction or safety time, and location of the last exterior hangers are provided to prevent spring mechanical inspection; planks, spring seats, or bolsters from (2) Each express car, freight car, and dropping to the track structure in each unit of intermodal equipment ® event of a hanger or spring failure; (e.g., RoadRailers ) added to a pas- (ii) The top (long) leaf or any of the senger train shall receive an exterior other three leaves of the elliptical calendar day mechanical inspection at spring is not broken, except when a the time it is added to the train, unless spring is part of a nest of three or more notice is provided to the train crew springs and none of the other springs in that an exterior mechanical inspection the nest has its top leaf or any of the was performed on the car within the other three leaves broken; previous calendar day. The notice re- (iii) The outer coil spring or saddle is quired by this section shall contain the not broken; date, time, and location of the last exterior mechanical inspection. (iv) The equalizers, hangers, bolts, (c) The exterior calendar day me- gibs, or pins are not cracked or broken; chanical inspection shall be performed (v) The coil spring is not fully com- by a qualified maintenance person. pressed when the car is at rest; (d) The exterior calendar day me- (vi) The shock absorber is not broken chanical inspection required by this or leaking oil or other fluid; and section shall be conducted to the ex- (vii) Each air bag or other pneumatic tent possible without uncoupling the suspension system component inflates trainset and without placing the equip- or deflates, as applicable, correctly and ment over a pit or on an elevated otherwise operates as intended. track. (6) Each truck is in the following (e) As part of the exterior calendar condition: day mechanical inspection, the rail- (i) Each tie bar is not loose; road shall verify conformity with the (ii) Each motor suspension lug, following conditions, and noncon- equalizer, hanger, gib, or pin is not formity with any such condition ren- cracked or broken; and ders the passenger car or unpowered (iii) The truck frame is not broken vehicle used in a passenger train defec- and is not cracked in a stress area that tive whenever discovered in service: may affect its structural integrity. (1) Products of combustion are re- (7) Each side bearing is in the fol- leased entirely outside the cab and lowing condition: other compartments. (i) Each friction side bearing with (2) Each battery container is vented springs designed to carry weight does and each battery is kept from gassing not have more than 25 percent of the excessively. springs in any one nest broken;

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

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dynamic brakes shall be handled in ac- ysis, or test shall establish the max- cordance with the following: imum number of air compressors that (A) A tag bearing the words ‘‘inoper- may be inoperative based on size of the ative dynamic brakes’’ shall be se- train consist, the type of passenger curely displayed in a conspicuous loca- equipment in the train, and the num- tion in the cab of the locomotive and ber of service and emergency brake ap- contain the locomotive number, the plications typically expected in the run date and location where the condition profile for the involved train; was discovered, and the signature of (iii) The involved train does not ex- the person discovering the condition; ceed the maximum number of inoper- (B) The locomotive engineer shall be ative or ineffective air compressors es- informed in writing that the dynamic tablished in accordance with paragraph brakes on the locomotive are inoperative at the location where the loco- (e)(17)(ii) of this section; motive engineer first takes charge of (iv) A qualified maintenance person the train; and determines and verifies that the inop- (C) The inoperative or defective dy- erative or ineffective air compressor namic brakes shall be repaired within 3 does not compromise the safety or in- calendar days of being found in defec- tegrity of the train and that it is safe tive condition or at the locomotive’s to move the equipment in passenger next periodic inspection pursuant to service; § 229.23 of this chapter, whichever oc- (v) The train crew is informed in curs first. writing of the number of units in the (16) All roller bearings do not have train consist with inoperative or inef- any of the following conditions: fective air compressors at the location (i) A sign of having been overheated where the train crew first takes charge as evidenced by discoloration or other of the train; telltale sign of overheating, such as (vi) A record is maintained of the in- damage to the seal or distortion of any operative or ineffective air compressor bearing component; pursuant to the requirements con- (ii) A loose or missing cap screw; tained in § 238.17(c)(4); and (iii) A broken, missing, or improperly (vii) Prior to operating equipment applied cap screw lock; or (iv) A seal that is loose or damaged under the provisions contained in this or permits leakage of lubricant in paragraph, the railroad shall provide in clearly formed droplets. writing to FRA’s Associate Adminis- (17) Each air compressor, on pas- trator for Safety the maximum number senger equipment so equipped, shall be of inoperative or ineffective air com- in effective and operative condition. pressors identified in accordance with MU passenger equipment found with an paragraph (e)(17)(ii) of this section. inoperative or ineffective air com- (viii) The data, analysis, or testing pressor at the time of its exterior cal- developed and conducted under para- endar day mechanical inspection may graph (e)(17)(ii) of this section shall be remain in passenger service until the made available to FRA upon request. equipment’s next exterior calendar day FRA’s Associate Administrator for mechanical inspection where it must Safety may revoke a railroad’s ability be repaired or removed from passenger to utilize the flexibility provided in service; provided, all of the following this paragraph if the railroad fails to requirements are met: comply with the maximum limits es- (i) The equipment has an inherent re- tablished under paragraph (e)(17)(ii) or dundancy of air compressors, due to ei- if such maximum limits are not sup- ther the make-up of the train consist ported by credible data or do not pro- or the design of the equipment; vide adequate safety assurances. (ii) The railroad demonstrates through verifiable data, analysis, or ac- (18) All rescue-access-related exterior tual testing that the safety and integ- markings, signage, and instructions re- rity of a train is not compromised in quired by § 238.114 and § 239.107(a) of this any manner by the inoperative or inef- chapter shall be in place and, as appli- fective air compressor. The data, anal- cable, conspicuous or legible, or both.

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

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(c) As part of the interior calendar service pursuant to paragraph (d) of day mechanical inspection, the rail- this section— road shall verify conformity with the (i) If at least one operative and acces- following conditions, and noncon- sible door is available on each side of formity with any such condition ren- the car; ders the car defective whenever discov- (ii) The train crew is provided writ- ered in service, except as provided in ten notification of the noncomplying paragraphs (c)(8) through (c)(12) and condition; and paragraph (d) of this section. (iii) A notice is prominently dis- (1) All fan openings, exposed gears played directly on the defective door and pinions, exposed moving parts of indicating that the door is defective. mechanisms, pipes carrying hot gases (11) [Reserved] and high-voltage equipment, switches, (12) On passenger cars so equipped, circuit breakers, contactors, relays, public address and intercom systems grid resistors, and fuses are installed in shall be operative and function as in- non-hazardous locations or equipped tended. A passenger car with an inoper- with guards to prevent personal injury. ative or nonfunctioning public address (2) Floors of passageways and com- or intercom system may remain in pas- partments are free from oil, water, senger service until no later than the waste, or any obstruction that creates car’s fourth interior calendar day me- a slipping, tripping, or fire hazard, and chanical inspection or next periodic floors are properly treated to provide mechanical inspection required under secure footing. § 238.307, whichever occurs first, or for a (3) All D rings, pull handles, or other passenger car used in long-distance means to access manual door releases intercity train service until the eighth are in place based on a visual inspec- interior calendar day mechanical in- tion. spection or next periodic mechanical (4) All emergency equipment, includ- inspection required under § 238.307, ing a fire extinguisher, pry bar, auxil- whichever occurs first, after the non- iary portable lighting, and first aid complying condition is discovered, kits, as applicable, are in place. where it shall be repaired or removed (5) The words ‘‘Emergency Brake from service; provided, the train crew Valve’’ are legibly stenciled or marked is given written notification of the near each brake pipe valve or shown on noncomplying condition, and all of the an adjacent badge plate. requirements contained in paragraph (6) All doors and cover plates guard- (d)(3) of this section are met. ing high voltage equipment are marked (d) Any passenger car found not to be ‘‘Danger—High Voltage’’ or with the in compliance with the requirements word ‘‘Danger’’ and the normal voltage contained in paragraphs (c)(5) through carried by the parts so protected. (c)(10) of this section at the time of its (7) All safety-related signage is in interior calendar day mechanical in- place and legible. spection may remain in passenger serv- (8) All trap doors safely operate and ice until the car’s next interior cal- securely latch in place in both the up endar day mechanical inspection where and down position. A non-complying it must be repaired or removed from car may continue in passenger service passenger service; provided, all of the pursuant to paragraph (d) of this sec- specific conditions contained in para- tion, if the trap door can be secured by graphs (c)(8) through (c)(10) of this sec- locking out the door for which it is tion are met and all of the following re- used. quirements are met: (9) All vestibule steps are illumi- (1) A qualified person or a qualified nated. A non-complying car may con- maintenance person determines that tinue in passenger service pursuant to the repairs necessary to bring the car paragraph (d) of this section, if the car into compliance cannot be performed will be used solely in high-platform at the time that the current day’s inte- service. rior mechanical inspection is con- (10) All end doors and side doors oper- ducted; ate safely and as intended. A noncom- (2) A qualified person or a qualified plying car may continue in passenger maintenance person determines that it

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is safe to move the equipment in pas- (2) A railroad may, upon written no- senger service; and tification to FRA’s Associate Adminis- (3) A record is maintained of the non- trator for Safety, adopt and comply complying condition with the date and with alternative periodic mechanical time that the condition was first dis- inspection intervals for specific compo- covered. nents or equipment in lieu of the re- (e) A long-distance intercity pas- quirements of this section. Any alter- senger train that misses a scheduled native interval must be based upon a calendar day interior mechanical in- documented reliability assessment con- spection due to a delay en route may ducted under a system safety plan sub- continue in service to the location ject to periodic peer audit. (See Appen- where the inspection was scheduled to dix E to this part for a discussion of be performed. At that point, an inte- the general principles of reliability- rior calendar day mechanical inspec- based maintenance programs.) The tion shall be performed prior to return- periodic inspection intervals provided ing the equipment to service. in this section may be changed only (f) Records. A record shall be main- when justified by accumulated, tained of each interior calendar day verifiable data that provides a high mechanical inspection performed. level of confidence that the compo- (1) This record may be maintained in nent(s) will not fail in a manner result- writing or electronically provided FRA ing in harm to persons. FRA may mon- has access to the record upon request. itor and review a railroad’s implemen- (2) The written or electronic record tation and compliance with any alter- must contain the following informa- native interval adopted. FRA’s Asso- tion: ciate Administrator for Safety may (i) The identification number of the prohibit or revoke a railroad’s ability unit; to utilize an alternative inspection in- (ii) The place, date, and time of the terval if FRA determines that the inspection; adopted interval is not supported by (iii) Any non-complying conditions credible data or does not provide ade- found; and quate safety assurances. Such a deter- (iv) The signature or electronic iden- mination will be made in writing and tification of the inspector. will state the basis for such action. (3) This record may be part of a sin- (b) Each periodic mechanical inspec- gle master report covering an entire tion required by this section shall be group of cars and equipment. performed by a qualified maintenance (4) This record shall be maintained at person. the place where the inspection is con- (c) The periodic mechanical inspec- ducted or at one central location and tion shall specifically include the fol- shall be retained for at least 92 days. lowing interior and exterior mechanical components, which shall be in- [64 FR 25660, May 12, 1999, as amended at 65 FR 41308, July 3, 2000; 73 FR 6412, Feb. 1, 2008] spected not less frequently than every 184 days. At a minimum, this inspec- § 238.307 Periodic mechanical inspection shall determine that: tion of passenger cars and (1) Seats and seat attachments are unpowered vehicles used in pas- not broken or loose. If a car is found senger trains. with a seat that is not in compliance (a) General. (1) Railroads shall con- with this requirement while being used duct periodic mechanical inspections of between periodic mechanical inspec- all passenger cars and all unpowered tions, the equipment may continue to vehicles used in a passenger train as re- be used in passenger service until the quired by this section or as warranted performance of an interior calendar and justified by data developed pursu- day mechanical inspection pursuant to ant to paragraph (a)(2) of this section. § 238.305 on the day following the dis- A periodic inspection conducted under covery of the defective condition pro- part 229 of this chapter satisfies the re- vided the seat is rendered unuseable, a quirement of this section with respect notice is prominently displayed on the to the features inspected. seat, and a record is maintained with

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the date and time that the non-com- at each COT&S cycle provided in plying condition was discovered. § 238.309 for the equipment. (2) Luggage racks are not broken or (10) All mechanical systems and com- loose. ponents of the equipment are free of all (3) All beds and bunks are not broken the following general conditions that or loose, and all restraints or safety endanger the safety of the crew, pas- latches and straps are in place and sengers, or equipment: function as intended. (i) A continuous accumulation of oil (4) A representative sample of emer- or grease; gency window exits on the railroad’s (ii) Improper functioning of a compo- passenger cars properly operate, in ac- nent; cordance with the requirements of (iii) A crack, break, excessive wear, § 239.107 of this chapter. structural defect, or weakness of a (5) With regard to the following component; emergency systems: (iv) A leak; (i) Emergency lighting systems required under § 238.115 are in place and (v) Use of a component or system operational; and under a condition that exceeds that for (ii) [Reserved] which the component or system is de- (6) With regard to switches: signed to operate; and (i) All hand-operated switches car- (vi) Insecure attachment of a compo- rying currents with a potential of more nent. than 150 volts that may be operated (11) All of the items identified in the while under load are covered and are exterior calendar day mechanical inoperative from the outside of the cover; spection contained at § 238.303 are in (ii) A means is provided to display conformity with the conditions pre- whether the switches are open or scribed in that section. closed; and (12) All of the items identified in the (iii) Switches not designed to be op- interior calendar day mechanical in- erated safely while under load are leg- spection contained at § 238.305 are in ibly marked with the voltage carried conformity with the conditions pre- and the words ‘‘must not be operated scribed in that section. under load’’. (13) The hand or parking brake shall (7) Each coupler is in the following be applied and released to determine condition: that it functions as intended. (i) The distance between the guard (d) At an interval not to exceed 368 arm and the knuckle nose is not more days, the periodic mechanical inspec- than 51⁄8 inches on standard type cou- tion shall specifically include inspec- plers (MCB contour 1904), or not more tion of the following: 5 than 5 ⁄16 inches on D&E couplers; (1) Manual door releases, to deter- (ii) The free slack in the coupler or mine that all manual door releases op- drawbar not absorbed by friction de- erate as intended; vices or draft gears is not more than 1⁄2 inch; and (2) The hand or parking brake as well as its parts and connections, to deter- (iii) The draft gear is not broken, to the extent possible without dropping mine that they are in proper condition cover plates. and operate as intended. The date of (8) All trucks are equipped with a de- the last inspection shall be either en- vice or securing arrangement to pre- tered on Form FRA F 6180–49A, suit- vent the truck and car body from sepa- ably stenciled or tagged on the equip- rating in case of derailment. ment, or maintained electronically (9) All center castings on trucks are provided FRA has access to the record not cracked or broken, to the extent upon request; and possible without jacking the car and (3) Emergency roof access markings rolling out the trucks. However, an ex- and instructions required under tensive inspection of all center cast- § 238.123(e), to determine that they are ings shall be conducted by jacking the in place and, as applicable, conspicuous equipment and rolling out the trucks or legible, or both.

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(e) Records. (1) A record shall be prove alternative maintenance proce- maintained of each periodic mechan- dures providing equivalent safety, in ical inspection required to be per- lieu of the requirements of this section. formed by this section. This record The petition shall be filed as provided may be maintained in writing or elec- in § 238.21. tronically, provided FRA has access to (b) MU locomotives. The brake equip- the record upon request. The record ment of each MU locomotive shall be shall be maintained either in the rail- cleaned, repaired, and tested at inter- road’s files, the cab of the locomotive, vals in accordance with the following or a designated location in the pas- schedule: senger car. The record shall be retained (1) Every 736 days if the MU loco- until the next periodic mechanical in- motive is part of a fleet that is not 100 spection of the same type is performed percent equipped with air dryers; and shall contain the following infor- (2) Every 1,104 days if the MU loco- mation: motive is part of a fleet that is 100 per- (i) The date of the inspection; cent equipped with air dryers and is (ii) The location where the inspection equipped with PS–68, 26–C, 26–L, PS–90, was performed; CS–1, RT–2, RT–5A, GRB–1, CS–2, or 26– (iii) The signature or electronic iden- R brake systems. (This listing of brake tification of the inspector; and system types is intended to subsume (iv) The signature or electronic iden- all brake systems using 26 type, ABD, tification of the inspector’s supervisor. or ABDW control valves and PS68, PS– (2) Detailed documentation of any re- 90, 26B–1, 26C, 26CE, 26–B1, 30CDW, or liability assessments depended upon for 30ECDW engineer’s brake valves.); and implementing an alternative inspec- (3) Every 736 days for all other MU lo- tion interval under paragraph (a)(2) of comotives. this section, including underlying data, shall be retained during the period that (c) Conventional locomotives. The the alternative inspection interval is in brake equipment of each conventional effect. Data documenting inspections, locomotive shall be cleaned, repaired, tests, component replacement and re- and tested at intervals in accordance newals, and failures shall be retained with the following schedule: for not less than three (3) inspection (1) Every 1,104 days for a locomotive intervals. equipped with a 26–L or equivalent (f) Nonconformity with any of the brake system; and conditions set forth in this section ren- (2) Every 736 days for a locomotive ders the car or vehicle defective when- equipped with other than a 26–L or ever discovered in service. equivalent brake system. (d) Passenger coaches and other [64 FR 25660, May 12, 1999, as amended at 65 unpowered vehicles. The brake equip- FR 41308, July 3, 2000; 71 FR 61862, Oct. 19, 2006; 73 FR 6412, Feb. 1, 2008] ment on each passenger coach and each unpowered vehicle used in a passenger § 238.309 Periodic brake equipment train shall be cleaned, repaired, and maintenance. tested at intervals in accordance with (a) General. (1) This section contains following schedule: the minimum intervals at which the (1) Every 2,208 days for a coach or ve- brake equipment on various types of hicle equipped with an AB-type brake passenger equipment shall be periodi- system. cally cleaned, repaired, and tested. (2) Every 1,476 days for a coach or ve- This maintenance procedure requires hicle equipped with a 26–C or equiva- that all of the equipment’s brake sys- lent brake system; and tem pneumatic components that con- (3) Every 1,104 days for a coach or ve- tain moving parts and are sealed hicle equipped with other than an AB, against air leaks be removed from the ABD, ABDX, 26–C, or equivalent brake equipment, disassembled, cleaned, and system. lubricated and that the parts that can (e) Cab cars. The brake equipment of deteriorate with age be replaced. each cab car shall be cleaned, repaired, (2) A railroad may petition FRA’s As- and tested at intervals in accordance sociate Administrator for Safety to ap- with the following schedule:

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(1) Every 1,476 days for that portion Archives and Records Administration of the cab car brake system using (NARA). For information on the avail- brake valves that are identical to the ability of this material at NARA, call passenger coach 26–C brake system; 202–741–6030, or go to: http:// (2) Every 1,104 days for that portion www.archives.gov/federallregister/ of the cab car brake system using codeloflfederallregulations/ brake valves that are identical to the ibrllocations.html. locomotive 26–L brake system; and (b) Each single car test required by (3) Every 736 days for all other types this section shall be performed by a of cab car brake valves. qualified maintenance person. (f) Records of periodic maintenance. (1) (c) A railroad shall perform a single The date and place of the cleaning, re- car test of the brake system of a car or pairing, and testing required by this vehicle described in paragraph (a) of section shall be recorded on Form FRA this section if the car or vehicle is 6180–49A or a similar form developed by found with one or more of the following the railroad containing the same infor- wheel defects: mation, and the person performing the (1) Built-up tread; work and that person’s supervisor shall (2) Slid flat wheel; sign the form, if possible. Alter- (3) Thermal crack; natively, the railroad may stencil the (4) Overheated wheel; or vehicle with the date and place of the (5) Shelling. cleaning, repairing, and testing and (d) A railroad need not perform the maintain an electronic record of the single car test required in paragraph person performing the work and that (c) of this section, if the railroad can person’s supervisor. establish that the wheel defect is other (2) A record of the parts of the air than built-up tread and is due to a brake system that are cleaned, re- cause other than a defective brake sys- paired, and tested shall be kept in the tem on the car. railroad’s files, the cab of the loco- (e) Except as provided in paragraph motive, or a designated location in the (f) of this section, a railroad shall per- passenger car until the next such peri- form a single car test of the brake sys- odic test is performed. tem of a car or vehicle described in [64 FR 25660, May 12, 1999, as amended at 65 paragraph (a) of this section when: FR 41309, July 3, 2000] (1) Except for private cars, a car or vehicle is placed in service after having § 238.311 Single car test. been out of service for 30 days or more; (a) Except for self-propelled pas- or senger cars, single car tests of all pas- (2) One or more of the following con- senger cars and all unpowered vehicles ventional air brake equipment items is used in passenger trains shall be per- removed, repaired, or replaced: formed in accordance with either (i) Relay valve; APTA Standard SS-M-005-98, ‘‘Code of (ii) Service portion; Tests for Passenger Car Equipment (iii) Emergency portion; or Using Single Car Testing Device,’’ pub- (iv) Pipe bracket. lished March, 1998; or an alternative (f) Exception. If the single car test procedure approved by FRA pursuant cannot be made at the point where re- to § 238.21. The incorporation by ref- pairs are made, the car may be moved erence of this APTA standard was ap- in passenger service to the next for- proved by the Director of the Federal ward location where the test can be Register in accordance with 5 U.S.C. made. A railroad may move a car in 552(a) and 1 CFR part 51. You may ob- this fashion only after visually tain a copy of the incorporated docu- verifying an application and release of ment from the American Public Tran- the brakes on both sides of the car that sit Association, 1201 New York Avenue, was repaired, and provided that the car NW., Washington, DC 20005. You may is appropriately tagged to indicate the inspect a copy of the document at the need to perform a single car test. The Federal Railroad Administration, single car test shall be completed prior Docket Clerk, 1200 New Jersey Avenue, to, or as a part of, the car’s next cal- SE., Washington, DC or at the National endar day mechanical inspection.

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(g) If one or more of the following senger train in passenger service from conventional air brake equipment a location where a Class I brake test items is removed, repaired, or replaced has been performed, or was required by only that portion which is renewed or this part to have been performed, with replaced must be tested to satisfy the less than 100 percent operative brakes. provisions of this section: (g) A Class I brake test shall be per- (1) Brake reservoir; formed at the air pressure at which the (2) Brake cylinder; train’s air brakes will be operated, but (3) Piston assembly; not less than 90 psi, and shall be made (4) Vent valve; to determine and ensure that: (5) Quick service valve; (1) The friction brakes apply and re- (6) Brake cylinder release valve; main applied on each car in the train (7) Modulating valve or slack ad- until a release of the brakes has been juster; or initiated on each car in response to (8) Angle cock or cutout cock. train line electric, pneumatic, or other [64 FR 25660, May 12, 1999, as amended at 65 signals. This test shall include a FR 41309, July 3, 2000; 74 FR 25174, May 27, verification that each side of each car’s 2009] brake system responds properly to application and release signals; § 238.313 Class I brake test. (2) The brake shoes or pads are firmly (a) Each commuter and short-dis- seated against the wheel or disc with tance intercity passenger train shall the brakes applied; receive a Class I brake test once each (3) Piston travel is within prescribed calendar day that the train is placed or limits, either by direct observation, ob- continues in passenger service. servation of a piston travel indicator, (b) Except as provided in paragraph or in the case of tread or disc brakes by (i) of this section, each long-distance determining that the brake shoe or pad intercity passenger train shall receive provides pressure to the wheel. For ve- a Class I brake test: hicles equipped with 81⁄2-inch or 10-inch (1) Prior to the train’s departure diameter brake cylinders, piston travel from an originating terminal; and shall be within 7 to 9 inches. If piston (2) Every 1,500 miles or once each ad- travel is found to be less than 7 inches ditional calendar day, whichever oc- or more than 9 inches, it must be ad- curs first, that the train remains in justed to nominally 71⁄2 inches. Proper continuous passenger service. release of the brakes can be determined (c) Each passenger car and each by observation of the clearance be- unpowered vehicle added to a passenger tween the brake shoe and the wheel or train shall receive a Class I or Class IA between the brake pad and the brake brake test at the time it is added to disc. the train unless notice is provided to the train crew that a Class I brake test (4) The communicating signal system was performed on the car within the is tested and known to be operating as previous calendar day and the car has intended; a tested and operating two- not been disconnected from a source of way radio system meets this require- compressed air for more than four ment; hours prior to being added to the train. (5) Each brake shoe or pad is securely The notice required by this section fastened and correctly aligned in rela- shall contain the date, time, and location to the wheel or to the disc; tion of the last Class I brake test. (6) The engineer’s brake valve or con- (d) Each Class I brake test shall be troller will cause the proper train line performed by a qualified maintenance commands for each position or brake person. level setting; (e) Each Class I brake test may be (7) Brake pipe leakage does not ex- performed either separately or in con- ceed 5 pounds per square inch per junction with the exterior calendar day minute if leakage will affect service mechanical inspection required under performance; § 238.303. (8) The emergency brake application (f) Except as provided in § 238.15(b), a and deadman pedal or other emergency railroad shall not use or haul a pas- control devices function as intended;

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(9) Each brake shoe or pad is not ducted or at one central location and below the minimum thickness estab- shall be retained for at least 92 days. lished by the railroad. This thickness (i) A long-distance, intercity pas- shall not be less than the minimum senger train that misses a scheduled thickness necessary to safely travel calendar day Class I brake test due to the maximum distance allowed be- a delay en route may proceed to the tween Class I brake tests; point where the Class I brake test was (10) Each angle cock and cutout cock scheduled to be performed. A Class I is properly positioned; brake test shall be completed at that (11) The brake rigging or the system point prior to placing the train back in mounted on the car for the trans- service. mission of the braking force operates (j) In addition to complying with all as intended and does not bind or foul so the Class I brake test requirements as to impede the force delivered to a performed by a qualified maintenance brake shoe, impede the release of a person as contained in paragraphs (a) brake shoe, or otherwise adversely af- through (i) of this section, railroads op- fect the operation of the brake system; erating passenger equipment that is (12) If the train is equipped with not designed to permit the visual ob- electropneumatic brakes, an servation of the brake actuation and electropneumatic application of the release without the inspector going on, brakes is made and the train is walked under, or between the equipment in ac- to determine that the brakes on each cordance with § 238.231(b) shall perform car in the train properly apply; an additional inspection. At a min- (13) Each brake disc is free of any imum, the additional inspection re- crack in accordance with the manufac- quirement for such equipment shall in- turer’s specifications or, if no speci- clude all of the following: fications exist, free of any crack to the (1) An additional inspection by a extent that the design permits; qualified maintenance person of all (14) If the equipment is provided with items and components contained in a brake indicator, the brake indicator paragraphs (g)(1) through (g)(15) of this operates as intended; and section; (15) The communication of brake pipe (2) The additional inspection shall be pressure changes at the rear of the conducted at an interval not to exceed train is verified, which may be accom- five (5) in-service days and shall be plished by observation of an applica- conducted while the equipment is over tion and release of the brakes on the an inspection pit or on a raised inspec- last car in the train. tion track; and (h) Records. A record shall be main- (3) A record of the additional inspec- tained of each Class I brake test per- tion shall be maintained pursuant to formed. the requirements contained in para- (1) This record may be maintained in graph (h) of this section. This record writing or electronically, provided can be combined with the Class I brake FRA has access to the record upon re- test record. quest. (2) The written or electronic record [64 FR 25660, May 12, 1999, as amended at 65 must contain the following informa- FR 41309, July 3, 2000; 71 FR 61862, Oct. 19, tion: 2006] (i) The date and time that the Class § 238.315 Class IA brake test. I brake test was performed; (ii) The location where the test was (a) Except as provided in paragraph performed; (b) of this section, either a Class I or a (iii) The identification number of the Class IA brake test shall be performed: controlling locomotive of the train; (1) Prior to the first morning depar- (iv) The total number of cars in- ture of each commuter or short-dis- spected during the test; and tance intercity passenger train, unless (v) The signature or electronic iden- all of the following conditions are sat- tification of the inspector. isfied: (3) This record shall be maintained at (i) A Class I brake test was performed the place where the inspection is con- within the previous twelve (12) hours;

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(ii) The train has not been used in (4) Each angle cock and cutout cock passenger service since the perform- is properly set; ance of the Class I brake test; and (5) The communication of brake pipe (iii) The train has not been discon- pressure changes at the rear of the nected from a source of compressed air train is verified, which may be accom- for more than four hours since the per- plished by observation of an applica- formance of the Class I brake test; and tion and release of the brakes on the (2) Prior to placing a train in service last car in the train; and that has been off a source of com- (6) The communicating signal system pressed air for more than four hours. is tested and known to be operating as (b) A commuter or short-distance intended; a tested and operating two- intercity passenger train that provides way radio system meets this require- continuing late night service that ment. began prior to midnight may complete (g) In determining whether each its daily operating cycle after mid- brake sets and releases— (1) The inspection of the set and re- night without performing another lease of the brakes shall be completed Class I or Class IA brake test. A Class by walking the train to directly ob- I or Class IA brake test shall be per- serve the set and release of each brake, formed on such a train before it starts if the railroad determines that such a a new daily operating cycle. procedure is safe. (c) A Class IA brake test may be per- (2) If the railroad determines that op- formed at a shop or yard site and is not erating conditions pose a safety hazard required to be repeated at the first pas- to an inspector walking the brakes, senger terminal if the train remains on brake indicators may be used to verify a source of compressed air and: the set and release on cars so equipped. (1) The train remains in the custody However, the observation of the brake of the train crew; or indicators shall not be made from the (2) The train crew receives notice cab of the locomotive. The inspector that the Class IA brake test has been shall walk the train in order to posi- performed. tion himself or herself to accurately (d) The Class IA brake test shall be observe each indicator. performed by either a qualified person or a qualified maintenance person. [64 FR 25660, May 12, 1999, as amended at 65 FR 41310, July 3, 2000; 67 FR 19991, Apr. 23, (e) Except as provided in § 238.15(b), a 2002] railroad shall not use or haul a passenger train in passenger service from § 238.317 Class II brake test. a location where a Class IA brake test (a) A Class II brake test shall be per- has been performed, or was required by formed on a passenger train when any this part to have been performed, with of the following events occurs: less than 100 percent operative brakes. (1) Whenever the control stand used (f) A Class IA brake test shall be per- to control the train is changed; except formed at the air pressure at which the if the control stand is changed to fa- train’s air brakes will be operated and cilitate the movement of a passenger shall determine and ensure that: train from one track to another within (1) Brake pipe leakage does not ex- a terminal complex while not in pas- ceed 5 pounds per square inch per senger service. In these circumstances, minute if brake pipe leakage will affect a Class II brake test shall be performed service performance; prior to the train’s departure from the (2) Each brake sets and releases by terminal complex with passengers; inspecting in the manner described in (2) Prior to the first morning depar- paragraph (g) of this section; ture of each commuter or short-dis- (3) For MU locomotives that utilize tance intercity passenger train where a an electric signal to communicate a Class I brake test remains valid as pro- service brake application and only a vided in § 238.315(a)(1); pneumatic signal to propagate an (3) When previously tested units (i.e., emergency brake application, the cars that received a Class I brake test emergency brake application functions within the previous calendar day and as intended. have not been disconnected from a

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source of compressed air for more than train from one track to another within four hours) are added to the train; a terminal complex while not in pas- (4) When cars or equipment are re- senger service. moved from the train; and (c) The running brake test shall be (5) When an operator first takes conducted in accordance with the rail- charge of the train, except for face-to- road’s established operating rules, and face relief. shall be made by applying brakes in a (b) A Class II brake test shall be per- manner that allows the engineer to as- formed by a qualified person or a quali- certain whether the brakes are oper- fied maintenance person. ating properly. (c) Except as provided in § 238.15, a railroad shall not use or haul a pas- (d) If the engineer determines that senger train in passenger service from the brakes are not operating properly, a terminal or yard where a Class II the engineer shall stop the train and brake test has been performed, or was follow the procedures provided in required by this part to have been per- § 238.15. formed, with any of the brakes cut-out, inoperative, or defective. § 238.321 Out-of-service credit. (d) In performing a Class II brake When a passenger car is out of serv- test on a train, a railroad shall deter- ice for 30 or more consecutive days or mine that: is out of service when it is due for any (1) The brakes on the rear unit of the test or inspection required by § 238.307 train apply and release in response to a or § 238.309 an out of use notation show- signal from the engineer’s brake valve ing the number of out of service days or controller of the leading or control- shall be made in the records required ling unit, or a gauge or similar device under § 238.307(e) and § 238.309(f). If the located at the rear of the train or in passenger car is out of service for one the cab of the rear unit indicates that or more periods of at least 30 consecu- brake pipe pressure changes are prop- tive days, the interval prescribed for erly communicated at the rear of the any test or inspection required by train; § 238.307 and § 238.309 may be extended (2) For MU locomotives that utilize by the number of days in each period an electric signal to communicate a the passenger car is out of service since service brake application and only a pneumatic signal to propagate an the last test or inspection in question. emergency brake application, the A movement made in accordance with emergency brake application functions § 229.9 of this chapter or § 238.17 is not as intended. considered service for the purposes of (3) The communicating signal system determining the out-of-service credit. is tested and known to be operating as [71 FR 61862, Oct. 19, 2006] intended; a tested and operating two- way radio system meets this requirement. Subpart E—Specific Requirements for Tier II Passenger Equipment [64 FR 25660, May 12, 1999, as amended at 65 FR 41310, July 3, 2000; 67 FR 19991, Apr. 23, § 238.401 Scope. 2002] This subpart contains specific re- § 238.319 Running brake test. quirements for railroad passenger (a) As soon as conditions safely per- equipment operating at speeds exceed- mit, a running brake test shall be per- ing 125 mph but not exceeding 150 mph. formed on each passenger train after The requirements of this subpart apply the train has received, or was required beginning on September 9, 1999. As under this part to have received, either stated in § 238.433(b), all such passenger a Class I, Class IA, or Class II brake equipment remains subject to the re- test. quirements concerning couplers and (b) A running brake test shall be per- uncoupling devices contained in Fed- formed whenever the control stand eral statute at 49 U.S.C. chapter 203 used to control the train is changed to and in FRA regulations at part 231 and facilitate the movement of a passenger § 232.2 of this chapter.

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§ 238.403 Crash energy management. be processed through a low-pass filter having a bandwidth of 50 Hz. (a) Each power car and trailer car shall be designed with a crash energy (e) Compliance with paragraphs (a) management system to dissipate ki- through (d) of this section shall be netic energy during a collision. The demonstrated by analysis using a dy- crash energy management system shall namic collision computer model. For provide a controlled deformation and the purpose of demonstrating compli- collapse of designated sections within ance, the following assumptions shall the unoccupied volumes to absorb col- be made: lision energy and to reduce the decel- (1) The train remains upright, in line, erations on passengers and crew- and with all wheels on the track members resulting from dynamic throughout the collision; and forces transmitted to occupied vol- (2) Resistance to structural crushing umes. follows the force-versus-displacement (b) The design of each unit shall con- relationship determined during the sist of an occupied volume located be- structural analysis required as part of tween two normally unoccupied vol- the design of the train. umes. Where practical, sections within (f) Passenger seating shall not be per- the unoccupied volumes shall be de- mitted in the leading unit of a Tier II signed to be structurally weaker than passenger train. the occupied volume. During a collision, the designated sections within § 238.405 Longitudinal static compres- the unoccupied volumes shall start to sive strength. deform and eventually collapse in a (a) To form an effective crash refuge controlled fashion to dissipate energy for crewmembers occupying the cab of before any structural damage occurs to a power car, the underframe of the cab the occupied volume. of a power car shall resist a minimum (c) At a minimum, each Tier II pas- longitudinal static compressive force senger train shall be designed to meet of 2,100,000 pounds without permanent the following requirements: deformation to the cab, unless equiva- (1) Thirteen megajoules (MJ) shall be lent protection to crewmembers is pro- absorbed at each end of the train vided under an alternate design ap- through the controlled crushing of un- proach, validated through analysis and occupied volumes, and of this amount a testing, and approved by FRA under minimum of 5 MJ shall be absorbed the provisions of § 238.21. ahead of the operator’s cab in each (b) The underframe of the occupied power car; volume of each trailer car shall resist a (2) A minimum of an additional 3 MJ minimum longitudinal static compres- shall be absorbed by the power car sive force of 800,000 pounds without per- structure between the operator’s cab manent deformation to the car. To and the first trailer car; and demonstrate compliance with this re- (3) The end of the first trailer car ad- quirement, the 800,000-pound load shall jacent to each power car shall absorb a be applied to the underframe of the oc- minimum of 5 MJ through controlled cupied volume as it would be trans- crushing. mitted to the underframe by the full (d) For a 30-mph collision of a Tier II structure of the vehicle. passenger train on tangent, level track (c) Unoccupied volumes of a power with an identical stationary train: car or a trailer car designed to crush as (1) When seated anywhere in a trailer part of the crash energy management car, the velocity at which a 50th-per- design are not subject to the require- centile adult male contacts the seat ments of this section. back ahead of him shall not exceed 25 mph; and § 238.407 Anti-climbing mechanism. (2) The deceleration of the occupied (a) Each power car shall have an volumes of each trailer car shall not anti-climbing mechanism at its for- exceed 8g. For the purpose of dem- ward end capable of resisting an ulti- onstrating compliance with this para- mate upward or downward static graph, deceleration measurements may vertical force of 200,000 pounds. A

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power car constructed with a crash en- (c) Corner posts. The forward end ergy management design is permitted structure shall have two full-height to crush in a controlled manner before corner posts, or their structural equiv- the anti-climbing mechanism fully en- alent, each capable of withstanding the gages. following: (b) Interior train coupling points be- (1) A horizontal, longitudinal or lat- tween units, including between units of eral shear load of 300,000 pounds at its articulated cars or other permanently joint with the underframe, without ex- joined units of cars, shall have an anti- ceeding the ultimate strength of the climbing mechanism capable of resist- joint; ing an upward or downward vertical (2) A horizontal, lateral force of force of 100,000 pounds without yield- 100,000 pounds applied at a point 30 ing. inches up from the underframe attach- (c) The forward coupler of a power ment, without exceeding the yield or car shall be attached to the car body to the critical buckling stress; and resist a vertical downward force of (3) A horizontal, longitudinal or lat- 100,000 pounds for any horizontal posi- eral shear load of 80,000 pounds at its tion of the coupler without yielding. joint with the roof, without exceeding the ultimate strength of the joint. § 238.409 Forward end structures of (d) Skin. The skin covering the for- power car cabs. ward-facing end of each power car shall This section contains requirements be: for the forward end structure of the cab (1) Equivalent to a 1⁄2-inch steel plate of a power car. (A conceptual imple- with a 25,000 pounds-per-square-inch mentation of this end structure is pro- yield strength—material of a higher vided in Figure 1 to this subpart.) yield strength may be used to decrease (a) Center collision post. The forward the required thickness of the material end structure shall have a full-height provided at least an equivalent level of center collision post, or its structural strength is maintained; equivalent, capable of withstanding the (2) Securely attached to the end following: structure; and (1) A shear load of 500,000 pounds at (3) Sealed to prevent the entry of its joint with the underframe without fluids into the occupied cab area of the exceeding the ultimate strength of the equipment. As used in paragraph (d), joint; the term ‘‘skin’’ does not include for- (2) A shear load of 150,000 pounds at ward-facing windows and doors. its joint with the roof without exceeding the ultimate strength of the joint; § 238.411 Rear end structures of power and car cabs. (3) A horizontal, longitudinal force of The rear end structure of the cab of 300,000 pounds, applied at a point on a power car shall be designed to include level with the bottom of the wind- the following elements, or their struc- shield, without exceeding its ultimate tural equivalent. (A conceptual imple- strength. mentation of this end structure is pro- (b) Side collision posts. The forward vided in Figure 2 to this subpart.) end structure shall have two side colli- (a) Corner posts. The rear end struc- sion posts, or their structural equiva- ture shall have two full-height corner lent, located at approximately the one- posts, or their structural equivalent, third points laterally, each capable of each capable of withstanding the fol- withstanding the following: lowing: (1) A shear load of 500,000 pounds at (1) A horizontal, longitudinal or lat- its joint with the underframe without eral shear load of 300,000 pounds at its exceeding the ultimate strength of the joint with the underframe without ex- joint; and ceeding the ultimate strength of the (2) A horizontal, longitudinal force of joint; and 300,000 pounds, applied at a point on (2) A horizontal, longitudinal or lat- level with the bottom of the wind- eral shear load of 80,000 pounds at its shield, without exceeding its ultimate joint with the roof without exceeding strength. the ultimate strength of the joint.

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(b) Collision posts. The rear end struc- implementation of this end structure is ture shall have two full-height colli- provided in Figure 4 to this subpart): sion posts, or their structural equiva- (1) A horizontal, longitudinal shear lent, each capable of withstanding the load of 200,000 pounds at its joint with following: the underframe without exceeding the (1) A horizontal, longitudinal shear ultimate strength of the joint; load of 500,000 pounds at its joint with (2) A horizontal, lateral force of 30,000 the underframe without exceeding the pounds applied at a point 18 inches up ultimate strength of the joint; and from the underframe attachment with- (2) A horizontal, longitudinal shear out exceeding the yield or the critical load of 75,000 pounds at its joint with buckling stress; the roof without exceeding the ulti- (3) A horizontal, longitudinal force of mate strength of the joint. 50,000 pounds applied at a point 18 [64 FR 25660, May 12, 1999, as amended at 67 inches up from the underframe attach- FR 19991, Apr. 23, 2002] ment without exceeding the yield or the critical buckling stress; and § 238.413 End structures of trailer (4) A horizontal, longitudinal or lat- cars. eral shear load of 20,000 pounds at its (a) Except as provided in paragraph joint with the roof without exceeding (b) of this section, the end structure of the ultimate strength of the joint. a trailer car shall be designed to include the following elements, or their § 238.415 Rollover strength. structural equivalent. (A conceptual (a) Each passenger car and power car implementation of this end structure is shall be designed to rest on its side and provided in Figure 3 to this subpart.) be uniformly supported at the top (1) Corner posts. Two full-height cor- (‘‘roof rail’’) and the bottom chords ner posts, each capable of withstanding (‘‘side sill’’) of the side frame. The al- the following: lowable stress in the structural mem- (i) A horizontal, longitudinal shear bers of the occupied volumes for this load of 150,000 pounds at its joint with condition shall be one-half yield or the underframe without exceeding the one-half the critical buckling stress, ultimate strength of the joint; whichever is less. Minor localized de- (ii) A horizontal, longitudinal or lat- formations to the outer side skin of the eral force of 30,000 pounds applied at a passenger car or power car is allowed point 18 inches up from the underframe provided such deformations in no way attachment without exceeding the intrude upon the occupied volume of yield or the critical buckling stress; each car. and (iii) A horizontal, longitudinal or lat- (b) Each passenger car and power car eral shear load of 20,000 pounds at its shall also be designed to rest on its joint with the roof without exceeding roof so that any damage in occupied the ultimate strength of the joint. areas is limited to roof sheathing and (2) Collision posts. Two full-height col- framing. The allowable stress in the lision posts each capable of with- structural members of the occupied standing the following: volumes for this condition shall be one- (i) A horizontal, longitudinal shear half yield or one-half the critical buck- load of 300,000 pounds at its joint with ling stress, whichever is less. Deforma- the underframe without exceeding the tion to the roof sheathing and framing ultimate strength of the joint; and is allowed to the extent necessary to (ii) A horizontal, longitudinal shear permit the vehicle to be supported di- load of 60,000 pounds at its joint with rectly on the top chords of the side the roof without exceeding the ulti- frames and end frames. mate strength of the joint. (b) If the trailer car is designed with § 238.417 Side loads. an end vestibule, the end structure in- (a) Each passenger car body structure board of the vestibule shall have two shall be designed to resist an inward full-height corner posts, or their struc- transverse load of 80,000 pounds of force tural equivalent, each capable of with- applied to the side sill and 10,000 standing the following (A conceptual pounds of force applied to the belt rail

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(horizontal members at the bottom of rior window in a passenger car and a the window opening in the side frame). power car cab shall also, in the orienta- (b) These loads shall be considered to tion in which it is installed in the car: be applied separately over the full (1) Resist the impact of a 12-pound vertical dimension of the specified solid steel sphere traveling (i) at the member for any distance of 8 feet in maximum speed at which the car will the direction of the length of the car. operate (ii) at an impact angle no less (c) The allowable stress shall be the severe than horizontal to the car, with lesser of the yield stress, except as oth- no penetration or spall. An impact erwise allowed by this paragraph, or angle that is perpendicular (90 degrees) the critical buckling stress. In calcu- to the window’s surface shall be consid- lating the stress to show compliance ered the most severe impact angle for with this requirement, local yielding of purposes of this requirement; and the side skin adjacent to the side sill (2) Demonstrate anti-spalling per- and belt rail, and local yielding of the formance by the use of a 0.001-inch side sill bend radii at the crossbearer thick aluminum witness plate, placed and floor-beam connections is allowed. 12 inches from the window’s surface For purposes of this paragraph, local during all impact tests. The witness yielding is allowed provided the result- plate shall contain no marks from ing deformations in no way intrude spalled glazing particles after any im- upon the occupied volume of the car. pact test; and (d) The connections of the side frame to the roof and underframe shall sup- (3) Be permanently marked, prior to port the loads specified in this section. installation, in such a manner that the marking is clearly visible after the ma- § 238.419 Truck-to-car-body and truck terial has been installed. The marking component attachment. shall include: (a) The ultimate strength of the (i) The words ‘‘FRA TYPE IHP’’ to truck-to-car-body attachment for each indicate that the material has success- unit in a train shall be sufficient to re- fully passed the testing requirements sist without failure the following indi- specified in this paragraph; vidually applied loads: a vertical force (ii) The name of the manufacturer; equivalent to 2g acting on the mass of and the truck; and a force of 250,000 pounds (iii) The type or brand identification acting in any horizontal direction on of the material. the truck, along with the resulting (c) Passenger equipment ordered prior vertical reaction to this load. to May 12, 1999. Each exterior window (b) Each component of a truck (which in passenger equipment ordered prior include axles, wheels, bearings, the to May 12, 1999, may comply with the truck-mounted brake system, suspen- following glazing requirements in lieu sion system components, and any other of the requirements specified in para- components attached to the truck by graphs (a) and (b) of this section: design) shall remain attached to the (1) Each end-facing exterior window truck when a force equivalent to 2g shall, in the orientation in which it is acting on the mass of the component is installed in the vehicle, resist the im- exerted in any direction on that com- pact of a 12-pound solid steel sphere ponent. traveling (i) at the maximum speed at [64 FR 25660, May 12, 1999, as amended at 67 which the vehicle will operate (ii) at an FR 19992, Apr. 23, 2002] impact angle no less severe than horizontal to the vehicle, with no penetra- § 238.421 Glazing. tion or spall. An impact angle that is (a) General. Except as provided in perpendicular to the window’s surface paragraphs (b) and (c) of this section, shall be considered the most severe im- each exterior window on a passenger pact angle for purposes of this require- car and a power car cab shall comply ment. with the requirements contained in (2) Each side-facing exterior window part 223 of this chapter. shall resist the impact of a: (b) Particular end-facing exterior glaz- (i) 12-pound solid steel sphere at 15 ing requirements. Each end-facing exte- mph, at an angle of 90 degrees to the

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window’s surface, with no penetration § 238.423 Fuel tanks. or spall; and (a) External fuel tanks. Each type of (ii) A granite ballast stone weighing external fuel tank must be approved by a minimum of 0.5 pounds, traveling at FRA’s Associate Administrator for 75 mph and impacting at a 90-degree Safety upon a showing that the fuel angle to the window’s surface, with no tank provides a level of safety at least penetration or spall. equivalent to a fuel tank that complies (3) All exterior windows shall: with the external fuel tank require- (i) Resist a single impact of a 9-mm, ments in § 238.223(a). 147-grain bullet traveling at an impact (b) Internal fuel tanks. Internal fuel velocity of 900 feet per second, with no tanks shall comply with the require- bullet penetration or spall; and ments specified in § 238.223(b). (ii) Demonstrate anti-spalling performance by the use of a 0.002-inch § 238.425 Electrical system. thick aluminum witness plate, placed (a) Circuit protection. (1) The main 12 inches from the window’s surface propulsion power line shall be pro- during all impact tests. The witness tected with a lightning arrestor, auto- plate shall contain no marks from matic circuit breaker, and overload spalled glazing particles after any im- relay. The lightning arrestor shall be pact test; and run by the most direct path possible to (iii) Be permanently marked, prior to ground with a connection to ground of installation, in such a manner that the not less than No. 6 AWG. These over- marking is clearly visible after the ma- load protection devices shall be housed terial has been installed. The marking in an enclosure designed specifically shall include: for that purpose with the arc chute (A) The words ‘‘FRA TYPE IH’’ for vented directly to outside air. end-facing glazing or ‘‘FRA TYPE IIH’’ (2) Head end power, including for side-facing glazing, to indicate that trainline power distribution, shall be the material has successfully passed provided with both overload and the testing requirements of this sec- ground fault protection. tion; (3) Circuits used for purposes other (B) The name of the manufacturer; than propelling the equipment shall be and connected to their power source (C) The type or brand identification through circuit breakers or equivalent of the material. current-limiting devices. (d) Glazing securement. Each exterior (4) Each auxiliary circuit shall be window on a passenger car and a power provided with a circuit breaker located car cab shall remain in place when sub- as near as practical to the point of con- jected to: nection to the source of power for that (1) The forces due to air pressure dif- circuit; however, such protection may ferences caused when two trains pass be omitted from circuits controlling at the minimum separation for two ad- safety-critical devices. (b) (1) The main jacent tracks, while traveling in oppo- Main battery system. batteries shall be isolated from the cab site directions, each train traveling at and passenger seating areas by a non- the maximum authorized speed; and combustible barrier. (2) The impact forces that the glazed (2) Battery chargers shall be designed window is required to resist as speci- to protect against overcharging. fied in this section. (3) Battery circuits shall include an (e) Stenciling. Each car that is fully emergency battery cut-off switch to equipped with glazing materials that completely disconnect the energy meet the requirements of this section stored in the batteries from the load. shall be stenciled on an interior wall as (4) If batteries are of the type to po- follows: ‘‘Fully Equipped with FRA tentially vent explosive gases, the bat- Part 238 Glazing’’ or similar words con- teries shall be adequately ventilated to veying that meaning, in letters at least prevent accumulation of explosive con- 3 ⁄8 of an inch high. centrations of these gases. [64 FR 25660, May 12, 1999, as amended at 67 (c) Power dissipation resistors. (1) FR 19992, Apr. 23, 2002] Power dissipating resistors shall be

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adequately ventilated to prevent over- Track Safety Standards in part 213 of heating under worst-case operating this chapter, up to the maximum oper- conditions. ating speed and maximum cant defi- (2) Power dissipation grids shall be ciency of the equipment. designed and installed with sufficient (2) Passenger equipment shall meet isolation to prevent combustion be- the safety performance standards for tween resistor elements and combus- suspension systems contained in appen- tible material. dix C to this part, or alternative stand- (3) Power dissipation resistor circuits ards providing at least equivalent safe- shall incorporate warning or protective ty if approved by FRA under the provi- devices for low ventilation air flow, sions of § 238.21. over-temperature, and short circuit (b) Car body accelerations. (1) A pas- failures. senger car shall not operate under con- (4) Resistor elements shall be elec- ditions that result in a steady-state trically insulated from resistor frames, lateral acceleration greater than 0.12g and the frames shall be electrically in- as measured parallel to the car floor sulated from the supports that hold inside the passenger compartment. them. During pre-revenue service acceptance (d) Electromagnetic interference and testing of the equipment under § 238.111 compatibility. (1) The operating railroad and § 213.345 of this chapter, a pas- shall ensure electromagnetic compat- senger car shall demonstrate that ibility of the safety-critical equipment steady-state lateral acceleration does systems with their environment. Elec- not exceed 0.1g at the maximum in- tromagnetic compatibility can be tended cant deficiency. achieved through equipment design or (2) While traveling at the maximum changes to the operating environment. operating speed over the intended (2) The electronic equipment shall route, the train suspension system not produce electrical noise that inter- shall be designed to: feres with trainline control and com- (i) Limit the vertical acceleration, as munications or with wayside signaling measured by a vertical accelerometer systems. mounted on the car floor, to no greater (3) To contain electromagnetic inter- than 0.55g single event, peak-to-peak ference emissions, suppression of tran- over a one second period; sients shall be at the source wherever (ii) Limit lateral acceleration, as possible. measured by a lateral accelerometer (4) Electrical and electronic systems mounted on the car floor, to no greater of equipment shall be capable of oper- than 0.3g single event, peak-to-peak ation in the presence of external elec- over a one second period; and tromagnetic noise sources. (iii) Limit the combination of lateral (5) All electronic equipment shall be acceleration (aL) and vertical accelera- self-protected from damage or im- tion (aV) occurring over a one second proper operation, or both, due to high period as expressed by the square root 2 2 voltage transients and long-term over- of (aL +aV ) to no greater than 0.6g, voltage or under-voltage conditions. where aL may not exceed 0.3g and aV may not exceed 0.55g. Compliance with § 238.427 Suspension system. the requirements of paragraph (b)(2) (a) General requirements. (1) Suspen- shall be demonstrated during the pre- sion systems shall be designed to rea- revenue service acceptance testing of sonably prevent wheel climb, wheel un- the equipment required under § 238.111 loading, rail rollover, rail shift, and a and § 213.345 of this chapter. vehicle from overturning to ensure (3) For purposes of this paragraph: safe, stable performance and ride qual- (i) Car body acceleration measure- ity. These requirements shall be met: ments shall be processed through a fil- (i) In all operating environments, and ter having a cut-off frequency of 10 Hz; under all track conditions and loading and conditions as determined by the oper- (ii) Steady-state lateral acceleration ating railroad; and shall be computed as the mathematical (ii) At all track speeds and over all average of the accelerations in the track qualities consistent with the body of a curve, between the spiral/

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curve points. In a compound curve, trains shall be equipped with a parking steady-state lateral acceleration shall or hand brake that can be applied and be measured separately for each curve released manually and that is capable segment. of holding the train on a 3-percent (c) Truck (hunting) acceleration.Each grade. truck shall be equipped with a perma- (c) Safety appliance mechanical nently installed lateral accelerometer strength and fasteners. (1) All handrails, mounted on the truck frame. The ac- handholds, and sill steps shall be made celerometer output signals shall be of 1-inch diameter steel pipe, 5⁄8-inch processed through a filter having a thickness steel, or a material of equal band pass of 0.5 to 10 Hz to determine if or greater mechanical strength. hunting oscillations of the truck are (2) All safety appliances shall be se- occurring. If hunting oscillations are curely fastened to the car body struc- detected, the train monitoring system ture with mechanical fasteners that shall provide an alarm to the operator, have mechanical strength greater than and the train shall be slowed to a speed or equal to that of a 1⁄2-inch diameter at least 5 mph less than the speed at SAE grade steel bolt mechanical fas- which the hunting oscillations stopped. tener. For purposes of this paragraph, hunt- (i) Safety appliance mechanical fas- ing oscillations are considered a sus- teners shall have mechanical strength tained cyclic oscillation of the truck and fatigue resistance equal to or which is evidenced by lateral accelera- greater than a 1⁄2-inch diameter SAE tions in excess of 0.4g root mean square steel bolt. (mean-removed) for 2 seconds. (d) Overheat sensors. Overheat sensors (ii) Mechanical fasteners shall be infor each wheelset journal bearing shall stalled with a positive means to pre- be provided. The sensors may be placed vent unauthorized removal. Self-lock- either onboard the equipment or at ing threaded fasteners do not meet this reasonable intervals along the rail- requirement. road’s right-of-way. (iii) Mechanical fasteners shall be installed to facilitate inspection. [64 FR 25660, May 12, 1999, as amended at 67 (d) Handrails and handholds. Except FR 19992, Apr. 23, 2002] as provided in paragraph (f) of this sec- § 238.429 Safety appliances. tion: (1) Handrails shall be provided for (a) Couplers. (1) The leading and the passengers on both sides of all steps trailing ends of a semi-permanently used to board or depart the train. coupled trainset shall each be equipped with an automatic coupler that couples (2) Exits on a power vehicle shall be on impact and uncouples by either ac- equipped with handrails and handholds tivation of a traditional uncoupling so that crewmembers can get on and lever or some other type of uncoupling off the vehicle safely. mechanism that does not require a per- (3) Throughout their entire length, son to go between the equipment units. handrails and handholds shall be a (2) The automatic coupler and uncou- color that contrasts with the color of pling device on the leading and trailing the vehicle body to which they are fas- ends of a semi-permanently coupled tened. trainset may be stored within a remov- (4) The maximum distance above the able shrouded housing. top of the rail to the bottom of vertical (3) If the units in a train are not handrails and handholds shall be 51 semi-permanently coupled, both ends inches, and the minimum distance of each unit shall be equipped with an shall be 21 inches. automatic coupler that couples on im- (5) Vertical handrails and handholds pact and uncouples by either activa- shall be installed to continue to a point tion of a traditional uncoupling lever at least equal to the height of the top or some other type of uncoupling edge of the control cab door. mechanism that does not require a per- (6) The minimum hand clearance dis- son to go between the equipment units. tance between a vertical handrail or (b) Hand brakes. Except as provided in handhold and the vehicle body shall be paragraph (f) of this section, Tier II 21⁄2 inches for the entire length.

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(7) All vertical handrails and units shall be equipped with hand handholds shall be securely fastened to brakes, sill steps, end handholds, and the vehicle body. side handholds that meet the require- (8) If the length of the handrail ex- ments contained in § 231.14 of this chap- ceeds 60 inches, it shall be securely fas- ter. tened to the power vehicle body with (3) If two trainsets are coupled to two fasteners at each end. form a single train that is not semi- (e) Sill steps. Except as provided in permanently coupled (i.e., that is cou- paragraph (f) of this section, each pled by an automatic coupler), the power vehicle shall be equipped with a automatically coupled ends shall be sill step below each exterior door as equipped with an end handhold that is follows: located and installed so that an indi- (1) The sill step shall have a min- vidual can safely couple and uncouple imum cross-sectional area of 1⁄2 by 3 inches; the trainsets. The end handhold shall (2) The sill step shall be made of steel be not more than 16 inches from each or a material of equal or greater side of the car and shall extend the re- strength and fatigue resistance; maining length of the end of the car. (If (3) The minimum tread length of the the equipment is designed with a ta- sill step shall be 10 inches; pered nose, the side of the car shall be (4) The minimum clear depth of the determined based on the outer dimen- sill step shall be 8 inches; sion of the tapered nose where the end (5) The outside edge of the tread of handhold is attached.) The end hand- the sill step shall be flush with the side hold shall also meet the mechanical of the car body structure; strength and design requirements con- (6) Sill steps shall not have a vertical tained in paragraphs (c), (d)(3), and rise between treads exceeding 18 (d)(6) of this section. If the trainsets inches; are semi-permanently coupled, this (7) The lowest sill step tread shall be safety appliance is not required. not more than 24, preferably not more (g) Optional safety appliances. Safety than 22, inches above the top of the appliances installed at the option of track rail; the railroad shall be firmly attached (8) Sill steps shall be a color that with mechanical fasteners and shall contrasts with the color of the power meet the design and installation re- vehicle body to which they are fas- quirements provided in this section. tened; (9) Sill steps shall be securely fas- [64 FR 25660, May 12, 1999, as amended at 67 tened; FR 19992, Apr. 23, 2002] (10) At least 50 percent of the tread surface area of each sill step shall be § 238.431 Brake system. open space; and (a) A passenger train’s brake system (11) The portion of the tread surface shall be capable of stopping the train area of each sill step which is not open from its maximum operating speed space and is normally contacted by the within the signal spacing existing on foot shall be treated with an anti-skid the track over which the train is oper- material. ating under worst-case adhesion condi- (f) Exceptions. (1) If the units of the equipment are semi-permanently cou- tions. pled, with uncoupling done only at (b) The brake system shall be de- maintenance facilities, the equipment signed to allow an inspector to deter- units that are not required by para- mine that the brake system is func- graph (a) of this section to be equipped tioning properly without having to with automatic couplers need not be place himself or herself in a dangerous equipped with sill steps or end or side position on, under, or between the handholds that would normally be used equipment. to safely perform coupling and uncoupling operations. (2) If the units of the equipment are not semi-permanently coupled, the

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(c) Passenger equipment shall be pro- (h) Passenger equipment shall be vided with an emergency brake appli- equipped with an adhesion control sys- cation feature that produces an irre- tem designed to automatically adjust trievable stop, using a brake rate con- the braking force on each wheel to pre- sistent with prevailing adhesion, pas- vent sliding during braking. In the senger safety, and brake system ther- event of a failure of this system to pre- mal capacity. An emergency brake ap- vent wheel slide within preset param- plication shall be available at any eters, a wheel slide alarm that is visual time, and shall be initiated by an unin- or audible, or both, shall alert the tentional parting of the train. A means train operator in the cab of the con- to initiate an emergency brake appli- trolling power car to wheel-slide condi- cation shall be provided at two locations on any axle of the train. tions in each unit of the train; however, where a unit of the train is 45 feet § 238.433 Draft system. or less in length a means to initiate an (a) Leading and trailing automatic emergency brake application need only couplers of trains shall be compatible be provided at one location in the unit. with standard AAR couplers with no (d) The brake system shall be de- special adapters used. signed to prevent thermal damage to (b) All passenger equipment con- wheels and brake discs. The operating tinues to be subject to the require- railroad shall demonstrate through ments concerning couplers and uncou- analysis and testing that no thermal pling devices contained in Federal damage results to the wheels or brake Statute at 49 U.S.C. chapter 203 and in discs under conditions resulting in FRA regulations at part 231 and § 232.2 maximum braking effort being exerted of this chapter. on the wheels or discs. § 238.435 Interior fittings and surfaces. (e) The following requirements apply to blended braking systems: (a) Each seat back and seat attach- (1) Loss of power or failure of the dy- ment in a passenger car shall be de- namic brake does not result in exceed- signed to withstand, with deflection ing the allowable stopping distance; but without total failure, the load associated with the impact into the seat (2) The friction brake alone is ade- back of an unrestrained 95th-percentile quate to safely stop the train under all adult male initially seated behind the operating conditions; seat back, when the floor to which the (3) The operational status of the elec- seat is attached decelerates with a tri- tric portion of the brake system shall angular crash pulse having a peak of 8g be displayed for the train operator in and a duration of 250 milliseconds. the control cab; and (b) Each seat back in a passenger car (4) The operating railroad shall dem- shall include shock-absorbent material onstrate through analysis and testing to cushion the impact of occupants the maximum operating speed for safe with the seat ahead of them. operation of the train using only the (c) The ultimate strength of each friction brake portion of the blended seat attachment to a passenger car brake with no thermal damage to body shall be sufficient to withstand wheels or discs. the following individually applied ac- (f) The brake system design shall celerations acting on the mass of the allow a disabled train’s pneumatic seat plus the mass of a seat occupant brakes to be controlled by a conven- who is a 95th-percentile adult male: tional locomotive, during a rescue op- (1) Lateral: 4g; and eration, through brake pipe control (2) Vertical: 4g. alone. (d)(1) Other interior fittings shall be (g) An independent failure-detection attached to the passenger car body system shall compare brake commands with sufficient strength to withstand with brake system output to determine the following individually applied ac- if a failure has occurred. The failure celerations acting on the mass of the detection system shall report brake fitting: system failures to the automated train (i) Longitudinal: 8g; monitoring system. (ii) Lateral: 4g; and

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(iii) Vertical: 4g. § 238.437 [Reserved] (2) Fittings that can be expected to be impacted by a person during a colli- § 238.439 Doors. sion, such as tables between facing (a) Each passenger car shall have a seats, shall be designed for the mass of minimum of two exterior side doors, the fitting plus the mass of the number each door providing a minimum clear of occupants who are 95th-percentile opening with dimensions of 30 inches adult males that could be expected to horizontally by 74 inches vertically. strike the fitting, when the floor of the passenger car decelerates with a tri- NOTE: The Americans with Disabilities Act angular crash pulse having a peak of 8g (ADA) Accessibility Specifications for Trans- portation Vehicles also contain require- and a duration of 250 milliseconds. ments for doorway clearance (See 49 CFR (e) The ultimate strength of the inte- part 38). rior fittings and equipment in power car control cabs shall be sufficient to (b) Each passenger car shall be resist without failure loads due to the equipped with a manual override fea- following individually applied accelera- ture for each powered, exterior side tions acting on the mass of the fitting door. Each manual override must be: or equipment: (1) Capable of releasing the door to (1) Longitudinal: 12g; permit it to be opened, without power, (2) Lateral: 4g; and from both inside and outside the car; (3) Vertical: 4g. (2) Located adjacent to the door (f) To the extent possible, interior which it controls; and fittings, except seats, shall be recessed (3) Designed and maintained so that a or flush-mounted. Corners and sharp person may readily access and operate edges shall be avoided or otherwise the override device from both inside padded. and outside the car without the use of (g) Energy-absorbent material shall any tool or other implement. be used to pad surfaces likely to be im- (c) The status of each powered, exte- pacted by occupants during collisions rior side door in a passenger car shall or derailments. be displayed to the crew in the oper- (h) Luggage stowage compartments ating cab. If door interlocks are used, shall be enclosed, and have an ultimate the sensors used to detect train motion strength sufficient to resist loads due shall be nominally set to operate at 3 to the following individually applied mph. accelerations acting on the mass of the (d) Each powered, exterior side door luggage that the compartments are de- in a passenger car shall be connected to signed to accommodate: an emergency back-up power system. (1) Longitudinal: 8g; (e) A railroad may protect a manual (2) Lateral: 4g; and override device used to open a powered, (3) Vertical: 4g. exterior door with a cover or a screen (i) If, for purposes of showing compli- capable of removal without requiring ance with the requirements of this sec- the use of a tool or other implement. tion, the strength of a seat attachment (f) A passenger compartment end is to be demonstrated through sled door (other than a door providing ac- testing, the seat structure and seat at- cess to the exterior of the trainset) tachment to the sled that are used in shall be equipped with a kick-out such testing must be representative of panel, pop-out window, or other similar the actual seat structure in, and seat means of egress in the event the door attachment to, the rail vehicle subject will not open, or shall be so designed as to the requirements of this section. If to pose a negligible probability of be- the attachment strength of any other coming inoperable in the event of car interior fitting is to be demonstrated body distortion following a collision or through sled testing, for purposes of derailment. showing compliance with the require- (g) Door exits shall be marked, and ments of this section, such testing instructions provided for their use, as shall be conducted in a similar manner. required by § 239.107(a) of this chapter. [64 FR 25660, May 12, 1999, as amended at 67 [64 FR 25660, May 12, 1999, as amended at 67 FR 19992, Apr. 23, 2002] FR 19993, Apr. 23, 2002]

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§ 238.441 Emergency roof access. provisions contained in § 238.17 of this part. (a) Existing passenger cars and power (2) If both headlights are defective, cars. Each passenger car and power car the power car shall be inspected and ordered prior to April 1, 2009 and placed tagged in accordance with the require- in service for the first time prior to ments contained in § 238.17(c) relating April 1, 2011, shall have a minimum of to non-running gear defects. The power one roof hatch emergency access loca- car may continue to be used in pas- tion with a minimum opening of 26 senger service only to the nearest for- inches by 24 inches, or at least one ward location where the repairs nec- structural weak point in the roof pro- essary to bring the power car into com- viding a minimum opening of the same pliance can be made or to the power dimensions, to provide access for prop- car’s next calendar day mechanical in- erly equipped emergency response per- spection, whichever occurs first. sonnel. Each emergency roof access location shall be conspicuously marked, [67 FR 19993, Apr. 23, 2002] and legible and understandable operating instructions shall be posted at or § 238.445 Automated monitoring. near each such location. (a) Each passenger train shall be (b) New passenger cars. Each pas- equipped to monitor the performance senger car ordered on or after April 1, of the following systems or compo- 2009 or placed in service for the first nents: time on or after April 1, 2011, shall (1) Reception of cab signals and train comply with the emergency roof access control signals; requirements specified in § 238.123. (2) Truck hunting; (c) New power cars. Each power car (3) Dynamic brake status; ordered on or after April 1, 2009, or (4) Friction brake status; placed in service for the first time on (5) Fire detection systems; or after April 1, 2011, shall have a min- (6) Head end power status; imum of one emergency roof access lo- (7) Alerter or deadman control; cation, with a minimum opening of 26 (8) Horn and bell; inches longitudinally by 24 inches lat- (9) Wheel slide; erally, and comply with the emergency (10) Tilt system, if so equipped; and roof access requirements specified in (11) On-board bearing-temperature §§ 238.123(b), (d), and (e). sensors, if so equipped. (b) When any such system or compo- [73 FR 6412, Feb. 1, 2008] nent is operating outside of its predetermined safety parameters: § 238.443 Headlights. (1) The train operator shall be alert- (a) Each power car shall be equipped ed; and with at least two headlights. Each (2) Immediate corrective action shall headlight shall produce no less than be taken, if the system or component 200,000 candela. One headlight shall be defect impairs the train operator’s arranged to illuminate a person stand- ability to safely operate the train. Im- ing between the rails 800 feet ahead of mediate corrective action includes lim- the power car under clear weather con- iting the speed of the train. ditions. The other headlight shall be (c) The monitoring system shall be arranged to illuminate a person stand- designed with an automatic self-test ing between the rails 1,500 feet ahead of feature that notifies the train operator the power car under clear weather con- that the monitoring capability is func- ditions. tioning correctly and alerts the train (b) A power car with a headlight not operator when a system failure occurs. in compliance with the requirements of paragraph (a) of this section shall be § 238.447 Train operator’s controls and moved in accordance with the fol- power car cab layout. lowing: (a) Train operator controls in the (1) If one of the headlights is defec- power car cab shall be arranged so as tive, the defect shall be considered a to minimize the chance of human non-running gear defect subject to the error, and be comfortably within view

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

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

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

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

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

Subpart F—Inspection, Testing, prior to implementation of that pro- and Maintenance Require- gram and prior to commencing pas- ments for Tier II Passenger senger operations using that equip- Equipment ment. As further specified in this section, the program shall describe in de- § 238.501 Scope. tail the procedures, equipment, and other means necessary for the safe op- This subpart contains inspection, eration of the passenger equipment, in- testing, and maintenance requirements cluding: for railroad passenger equipment that (1) Inspection procedures, intervals, operates at speeds exceeding 125 mph and criteria; but not exceeding 150 mph. (2) Testing procedures and intervals; § 238.503 Inspection, testing, and main- (3) Scheduled preventive-mainte- tenance requirements. nance intervals; (a) General. Under the procedures pro- (4) Maintenance procedures; vided in § 238.505, each railroad shall ob- (5) Special testing equipment or tain FRA approval of a written inspec- measuring devices required to perform tion, testing, and maintenance pro- inspections, tests, and maintenance; gram for Tier II passenger equipment and

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

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

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

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potential safety hazards over the life (c) Each railroad shall maintain suf- cycle of the equipment; ficient documentation to demonstrate (3) Identify safety issues during de- how the operation and design of its sign reviews; Tier II passenger equipment complies (4) Eliminate or reduce the risk posed with safety requirements or, as appro- by each hazard identified to an accept- priate, addresses safety requirements able level using a formal safety meth- under paragraphs (a)(4) and (b)(7) of odology such as MIL-STD-882; this section. Each railroad shall main- (5) Monitor the progress in resolving tain sufficient documentation to track safety issues, reducing hazards, and how safety issues are raised and re- meeting safety requirements; solved. (6) Develop a program of testing or (d) Each railroad shall make avail- analysis, or both, to demonstrate that able to FRA for inspection and copying safety requirements have been met; upon request each safety plan required and by this section and any documentation (7) Impose operational limitations, as necessary, on the operation of the required pursuant to such plan. equipment if the equipment cannot [64 25660, May 12, 1999, as amended at 67 FR meet safety requirements. 19994, Apr. 23, 2002]

APPENDIX A TO PART 238—SCHEDULE OF CIVIL PENALTIES 1

Willful Section Violation violation

SUBPART A—GENERAL 238.15 Movement of power brake defects: (b) Improper movement from Class I or IA brake test ...... 5,000 7,500 (c) Improper movement of en route defect ...... 2,500 5,000 (2), (3) Insufficient tag or record ...... 1,000 2,000 (4) Failure to determine percent operative brake ...... 2,500 5,000 (d) Failure to follow operating restrictions ...... 5,000 7,500 (e) Failure to follow restrictions for inoperative front or rear unit ...... 2,500 5,000 238.17 Movement of other than power brake defects: 1 (c)(4), (5) Insufficient tag or record ...... 1,000 2,000 (d) Failure to inspect or improper use of roller bearings ...... 2,500 5,000 (e) Improper movement of defective safety appliances ...... (1) 238.19 Reporting and tracking defective equipment: (a) Failure to have reporting or tracking system ...... 7,500 11,000 (b) Failure to retain records ...... 2,000 4,000 (c) Failure to make records available ...... 1,000 2,000 (d) Failure to list power brake repair points ...... 2,000 4,000 SUBPART B—SAFETY PLANNING AND GENERAL REQUIREMENTS 238.103 Fire protection plan/fire safety: (a) Failure to use proper materials ...... 5,000 7,500 (b) Improper certification ...... 1,000 2,000 (c) Failure to consider fire safety on new equipment ...... 5,000 7,500 (d) Failure to perform fire safety analysis ...... 5,000 7,500 (e) Failure to develop, adopt or comply with procedures ...... 5,000 7,500 238.105 Train electronic hardware and software safety: (a), (b), (c) Failure to develop and maintain hardware and software safety ...... 7,500 11,000 (d) Failure to include required design features ...... 5,000 7,500 (e) Failure to comply with hardware and software safety program ...... 5,000 7,500 238.107 Inspection, testing, and maintenance plan: (b) Failure to develop plan ...... 7,500 11,000 (b)(1)–(5) Failure of plan to address specific item ...... 3,000 6,000 (d) Failure to conduct annual review ...... 5,000 7,500 238.109 Training, qualification, and designation program: (a) Failure to develop or adopt program ...... 7,500 11,000 (b)(1)–(4) Failure of plan to address specific item ...... 3,000 6,000 (b)(5)–(12) Failure to comply with specific required provision of the program ...... 5,000 7,500 (b)(13) Failure to maintain adequate records ...... 2,500 5,000 238.111 Pre-revenue service acceptance testing plan: (a) Failure to properly test previously used equipment ...... 7,500 11,000 (b)(1) Failure to develop plan ...... 7,500 11,000 (b)(2) Failure to submit plan to FRA ...... 5,000 7,500 (b)(3) Failure to comply with plan ...... 5,000 7,500 (b)(4) Failure to document results of testing ...... 5,000 7,500

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Willful Section Violation violation

(b)(5) Failure to correct safety deficiencies or impose operating limits ...... 5,000 7,500 (b)(6) Failure to maintain records ...... 3,000 6,000 (b)(7) Failure to obtain FRA approval ...... 5,000 7,500 238.113 Emergency window exits ...... 2,500 5,000 238.114 Rescue access windows ...... 2,500 5,000 238.115 Emergency lighting ...... 2,500 5,000 238.117 Protection against personal injury ...... 2,500 5,000 238.119 Rim-stamped straight plate wheels ...... 2,500 5,000 238.121 Emergency communication ...... 2,500 5,000 238.123 Emergency roof access ...... 2,500 5,000 SUBPART C—SPECIFIC REQUIREMENTS FOR TIER I EQUIPMENT 238.203 Static end strength ...... 2,500 5,000 238.205 Anti-climbing mechanism ...... 2,500 5,000 238.207 Link between coupling mechanism and car body ...... 2,500 5,000 238.209 Forward-facing end structure of locomotives ...... 2,500 5,000 238.211 Collision posts ...... 2,500 5,000 238.213 Corner posts ...... 2,500 5,000 238.215 Rollover strength ...... 2,500 5,000 238.217 Side structure ...... 2,500 5,000 238.219 Truck-to-car-body attachment ...... 2,500 5,000 238.221 Glazing ...... 2,500 5,000 238.223 Fuel tanks ...... 2,500 5,000 238.225 Electrical System ...... 2,500 5,000 238.227 Suspension system ...... 2,500 5,000 238.229 Safety appliances—general:. (e) Failure to properly identify equipment (per car) ...... 2,500 5,000 (g) Failure to adopt or comply with inspection plan ...... 2,500 5,000 (h) Failure to use qualified person (per car) ...... 2,500 5,000 (i) Failure to properly conduct initial or periodic inspection (per car) ...... 2,500 5,000 (j) Failure to take proper remedial action (per car) ...... 2,500 5,000 (k) Failure to maintain records (per car) ...... 2,000 4,000 238.230 Safety appliances—new equipment:. (b)(2) Failure to identify welded appliance (per car) ...... 2,500 5,000 (b)(3) Failure to receive approval for use (per car) ...... 2,500 5,000 (c)(2) Failure to make proper repair (per car) ...... 2,500 5,000 238.231 Brake System (a)–(g), (i)–(n) ...... 2,500 5,000 (h)(1), (2) Hand or parking brake missing or inoperative ...... 5,000 7,500 (h)(3) Hand or parking brake inspection or record (per car) ...... 2,500 5,000 (h)(4) Hand or parking brake not applied to hold unattended equipment or prematurely released ...... 5,000 7,500 238.233 Interior fittings and surfaces ...... 2,500 7,500 238.235 Doors ...... 2,500 5,000 238.237 Automated monitoring ...... 2,500 5,000 SUBPART D—INSPECTION, TESTING, AND MAINTENANCE REQUIREMENTS FOR TIER I EQUIPMENT 238.303 Exterior mechanical inspection of passenger equipment: (a)(1) Failure to perform mechanical inspection ...... 1 2,000 4,000 (a)(2) Failure to inspect secondary brake system ...... 2,500 5,000 (b) Failure to perform inspection on car added to train ...... 1 2,000 4,000 (c) Failure to utilize properly qualified personnel ...... 2,000 4,000 (e)(1) Products of combustion not released outside cab ...... 2,500 5,000 (e)(2) Battery not vented or gassing excessively ...... 2,500 5,000 (e)(3) Coupler not in proper condition ...... 2,500 5,000 (e)(4) No device under drawbar pins or connection pins ...... 2,500 5,000 (e)(5) Suspension system and spring rigging not in proper condition ...... 2,500 5,000 (e)(6) Truck not in proper condition ...... 2,500 5,000 (e)(7) Side bearing not in proper condition ...... 2,500 5,000 (e)(8) Wheel not in proper condition: (i), (iv) Flat spot(s) and shelled spot(s): (A) One spot 21⁄2″ or more but less than 3″ in length ...... 2,500 5,000 (B) One spot 3″ or more in length ...... 5,000 7,500 (C) Two adjoining spots each of which is 2″ or more in length but less than 21⁄2″ in length ...... 2,500 5,000 (D) Two adjoining spots each of which are at least 2″ in length, if either spot is 21⁄27″ or more in length ...... 5,000 7,500 (ii) Gouge or chip in flange: (A) More than 11⁄2″ but less than 15⁄8″ in length; and more than 1⁄2″ but less than 5⁄8″ in width ...... 2,500 5,000 (B) 15⁄8″ or more in length and 5⁄8″ or more in width ...... 5,000 7,500 (iii) Broken rim ...... 5,000 7,500 (v) Seam in tread ...... 2,500 5,000

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Willful Section Violation violation

(vi) Flange thickness of: 2,500 5,000 (A) 7⁄8″ or less but more than. (B) 13⁄16″ or less ...... 5,000 7,500 (vii) Tread worn hollow ...... 2,500 5,000 (viii) Flange height of: (A) 11⁄2″ or greater but less than 15⁄8″ ...... 2,500 5,000 (B) 15⁄8″ or more ...... 5,000 7,500 (ix) Rim thickness: (A) Less than 1″ ...... 2,500 5,000 (B) 15⁄16″ or less ...... 5,000 7,500 (x) Crack or break in flange, tread, rim, plate, or hub: (A) Crack of less than 1″ ...... 2,500 5,000 (B) Crack of 1″ or more ...... 5,000 7,500 (C) Break ...... 5,000 7,500 (xi) Loose wheel ...... 5,000 7,500 (xii) Welded wheel ...... 5,000 7,500 (e)(10) Improper grounding or insulation ...... 5,000 7,500 (e)(11) Jumpers or cable connections not in proper condition ...... 2,500 5,000 (e)(12) Door or cover plate not properly marked ...... 2,500 5,000 (e)(13) Buffer plate not properly placed ...... 2,500 5,000 (e)(14) Diaphragm not properly placed or aligned ...... 2,500 5,000 (e)(15) Secondary braking system not in operating mode or contains known defect ...... 2,500 5,000 (e)(16) Roller bearings: (i) Overheated ...... 5,000 7,500 (ii) Cap screw loose or missing ...... 2,500 5,000 (iii) Cap screw lock broken or missing ...... 1,000 2,000 (iv) Seal loose, damaged, or leaks lubricant ...... 2,500 5,000 (e)(17) Air compressor inoperative ...... 2,500 5,000 (g) Record of inspection: (1), (4) Failure to maintain record of inspection ...... 5,000 4,000 (2) Record contains insufficient information ...... 1,000 2,000 238.305 Interior mechanical inspection of passenger cars: (a) Failure to perform inspection ...... 1 1,000 2,000 (b) Failure to utilize properly qualified personnel ...... 1,000 2,000 (c)(1) Failure to protect against personal injury ...... 2,500 5,000 (c)(2) Floors not free of condition that creates hazard ...... 2,500 5,000 (c)(3) Access to manual door release not in place ...... 2,000 4,000 (c)(4) Emergency equipment not in place ...... 1,000 2,000 (c)(5) Emergency brake valve not stenciled or marked ...... 2,500 5,000 (c)(6) Door or cover plates not properly marked ...... 2,500 5,000 (c)(7) Safety signage not in place or legible ...... 1,000 2,000 (c)(8) Trap door unsafe or improperly secured ...... 2,500 5,000 (c)(9) Vestibule steps not illuminated ...... 2,000 4,000 (c)(10) Door not safely operate as intended ...... 2,500 5,000 (c)(11) Seat broken, loose, or not properly attached ...... 2,500 5,000 (e) Record of inspection: (1), (4) Failure to maintain record of inspection ...... 2,000 4,000 (2) Record contains insufficient information ...... 1,000 1,000 (f) Record of inspection: (1), (4) Failure to maintain record of inspection ...... 2,000 4,000 (2) Record contains insufficient information ...... 1,000 2,000 238.307 Periodic mechanical inspection of passenger cars and unpowered vehicles: (a) Failure to perform periodic mechanical inspection ...... 1 2,500 5,000 (b) Failure to utilize properly qualified personnel ...... 2,500 5,000 (c)(1) Seat or seat attachment broken or loose ...... 2,500 5,000 (c)(2) Luggage rack broken or loose ...... 2,500 5,000 (c)(3) Bed, bunks, or restraints broken or loose ...... 2,500 5,000 (c)(4) Emergency window exit not properly operate ...... 2,500 5,000 (c)(5) Emergency lighting not operational ...... 2,500 5,000 (c)(6) Switches not in proper condition ...... 2,500 5,000 (c)(7) Coupler not in proper condition ...... 2,500 5,000 (c)(8) Truck not equipped with securing arrangement ...... 2,500 5,000 (c)(9) Truck center casting cracked or broken ...... 5,000 7,500 (c)(10) General conditions endangering crew, passengers ...... 2,500 5,000 (c)(13) Hand or parking brake test not performed ...... 2,500 5,000 (d)(1) Manual door release not operate as intended ...... 2,500 5,000 (d)(2) Hand or parking brake inspection not performed ...... 2,500 5,000 (e)(1) Failure to maintain record of inspection ...... 2,000 4,000 (i)–(iv) Record contains insufficient information ...... 1,000 2,000 (f)(1) Record of inspection: (i) Failure to maintain record of inspection ...... 2,000 4,000 (ii) Record contains insufficient information ...... 1,000 2,000 238.309 Periodic brake equipment maintenance:

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Willful Section Violation violation

(b) Failure to perform on MU locomotive ...... 2,500 5,000 (c) Failure to perform on conventional locomotive ...... 2,500 5,000 (d) Failure to perform on passenger coaches or other unpowered vehicle ...... 2,500 5,000 (e) Failure to perform on cab car ...... 2,500 5,000 (f) Record of periodic maintenance: (1), (2) Failure to maintain record or stencil ...... 2,000 4,000 238.311 Single car tests: (a) Failure to test in accord with required procedure ...... 2,500 5,000 (b) Failure to utilize properly qualified personnel ...... 2,500 5,000 (c), (e) Failure to perform single car test ...... 2,500 5,000 (f) Improper movement of car for testing ...... 2,000 4,000 (g) Failure to test after repair or replacement of component ...... 2,000 4,000 238.313 Class I brake test: (a) Failure to perform on commuter or short distance intercity passenger train ...... 1 10,000 15,000 (b) Failure to perform on long-distance intercity passenger train ...... 1 10,000 15,000 (c) Failure to perform on cars added to passenger train ...... 1 5,000 7,500 (d) Failure to utilized properly qualified personnel ...... 5,000 7,500 (f) Passenger train used from Class I brake test with less than 100% operative brakes ..... 5,000 7,500 (g) Partial failure to perform inspection on a passenger train ...... 5,000 7,500 (3) Failure to adjust piston travel (per car) ...... 2,500 5,000 (h) Failure to maintain record ...... 2,000 4,000 (j) Failure to perform additional Class I brake test ...... 5,000 7,500 (j)(3) Failure to maintain record ...... 2,000 4,000 238.315 Class IA brake test: (a) Failure to perform inspection ...... 1 5,000 7,500 (d) Failure to utilize properly qualified personnel ...... 2,500 5,000 (e) Passenger train used from Class IA brake test with improper percentage of operative brakes ...... 5,000 7,500 (f) Partial failure to perform inspection on passenger train ...... 2,500 5,000 238.317 Class II brake test: (a) Failure to perform inspection ...... 1 2,500 5,000 (b) Failure to utilize properly qualified personnel ...... 2,500 5,000 (c) Improper use of defective equipment from Class II brake test ...... 2,500 5,000 238.319 Running brake tests: (a), (b) Failure to perform test ...... 2,000 4,000 238.321 Out-of-service credit ...... 1,000 2,000 SUBPART E—SPECIFIC REQUIREMENTS FOR TIER II PASSENGER EQUIPMENT 238.403 Crash energy management ...... 2,500 5,000 238.405 Longitudinal static compressive strength ...... 2,500 5,000 238.407 Anti-climbing mechanism ...... 2,500 5,000 238.409 Forward end structures of power car cabs: (a) Center collision post ...... 2,500 5,000 (b) Side collision posts ...... 2,500 5,000 (c) Corner posts ...... 2,500 5,000 (d) Skin ...... 2,500 5,000 238.411 Rear end structures of power car cabs: (a) Corner posts ...... 2,500 5,000 (b) Collision posts ...... 2,500 5,000 238.413 End structures of trailer cars ...... 2,500 5,000 238.415 Rollover strength ...... 2,500 5,000 238.417 Side loads ...... 2,500 5,000 238.419 Truck-to-car-body and truck component attachment ...... 2,500 5,000 238.421 Glazing: (b) End-facing exterior glazing ...... 2,500 5,000 (c) Alternate glazing requirements ...... 2,500 5,000 (d) Glazing securement ...... 1,000 2,000 (e) Stenciling ...... 2,500 5,000 238.423 Fuel tanks: (a) External fuel tanks ...... 2,500 5,000 (b) Internal fuel tanks ...... 2,500 5,000 238.425 Electrical system: (a) Circuit protection ...... 2,500 5,000 (b) Main battery system ...... 2,500 5,000 (c) Power dissipation resistors ...... 2,500 5,000 (d) Electromagnetic interference and compatibility ...... 2,500 5,000 238.427 Suspension system ...... 2,500 5,000 238.429 Safety Appliances: (a) Couplers ...... 5,000 7,500 (b) Hand/parking brakes ...... 5,000 7,500 (d) Handrail and handhold missing ...... 2,500 5,000 (d)(1)–(8) Handrail or handhold improper design ...... 2,500 5,000 (e) Sill step missing ...... 5,000 7,500

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Willful Section Violation violation

(e)(1)–(11) Sill step improper design ...... 2,500 5,000 (g) Optional safety appliances ...... 2,500 5,000 238.431 Brake system ...... 2,500 5,000 238.433 Draft System ...... 2,500 5,000 238.435 Interior fittings and surfaces ...... 2,500 5,000 238.437 [Reserved] ...... 238.439 Doors: (a) Exterior side doors ...... 2,500 5,000 (b) Manual override feature ...... 2,500 5,000 (c) Notification to crew of door status ...... 2,500 5,000 (d) Emergency back-up power ...... 2,500 5,000 (f) End door kick-out panel or pop-out window ...... 2,500 5,000 (g) Marking and instructions ...... [Reserved] 238.441 Emergency roof access ...... 2,500 5,000 238.443 Headlights ...... 2,500 5,000 238.445 Automated monitoring ...... 2,500 5,000 238.447 Train operator’s controls and power car cab layout ...... 2,500 5,000 SUBPART F—INSPECTION, TESTING, AND MAINTENANCE REQUIREMENTS FOR TIER II PASSENGER EQUIPMENT 238.503 Inspection, testing, and maintenance requirements: (a) Failure to develop inspection, testing, and maintenance program or obtain FRA approval ...... 10,000 15,000 (b) Failure to comply with provisions of the program ...... 5,000 7,500 (c) Failure to ensure equipment free of conditions which endanger safety of crew, passengers, or equipment ...... 2,500 5,000 (d) Specific safety inspections: (1)(i) Failure to perform Class I brake test or equivalent ...... 10,000 15,000 (1)(ii) Partial failure to perform Class I brake test or equivalent ...... 5,000 7,500 (2)(i) Failure to perform exterior mechanical inspection ...... 1 2,000 4,000 (2)(ii) Failure to perform interior mechanical inspection ...... 1 1,000 2,000 (g) Failure to perform scheduled maintenance as required in program ...... 2,500 5,000 (h) Failure to comply with training, qualification and designation program ...... 5,000 7,500 (i) Failure to develop or comply with standard procedures for performing inspection, tests, and maintenance ...... 2,500 5,000 (j) Failure to conduct annual review ...... 5,000 7,500 (k) Failure to establish or utilize quality control program ...... 5,000 7,500 SUBPART G—SPECIFIC SAFETY PLANNING REQUIREMENTS FOR TIER II PASSENGER EQUIPMENT 238.603 Safety plan: (a) Failure to develop safety operating plan ...... 7,500 11,000 (b) Failure to develop procurement plan ...... 7,500 11,000 (1)–(7) Failure to develop portion of plan ...... 2,500 5,000 (c) Failure to maintain documentation ...... 2,500 5,000 1 A penalty may be assessed against an individual only for a willful violation. Generally when two or more violations of these regulations are discovered with respect to a single unit of passenger equipment that is placed or continued in service by a railroad, the appropriate penalties set forth above are aggregated up to a maximum of $16,000 per day. However, failure to perform, with respect to a particular unit of passenger equipment, any of the inspections and tests required under subparts D and F of this part will be treated as a violation separate and distinct from, and in addition to, any substantive violative conditions found on that unit of passenger equipment. Moreover, the Administrator reserves the right to assess a penalty of up to $100,000 for any violation where circumstances warrant. See 49 CFR part 209, appendix A. Failure to observe any condition for movement of defective equipment set forth in § 238.17 will deprive the railroad of the benefit of the movement-for-repair provision and make the railroad and any responsible individuals liable for penalty under the particular regulatory section(s) concerning the substantive defect(s) present on the unit of passenger equipment at the time of movement. Failure to observe any condition for the movement of passenger equipment containing defective safety appliances, other than power brakes, set forth in § 238.17(e) will deprive the railroad of the movement-for-repair provision and make the railroad and any responsible individuals liable for penalty under the particular regulatory section(s) contained in part 231 of this chapter or § 238.429 concerning the substantive defective condition. The penalties listed for failure to perform the exterior and interior mechanical inspections and tests required under § 238.303 and § 238.305 may be assessed for each unit of passenger equipment contained in a train that is not properly inspected. Where- as, the penalties listed for failure to perform the brake inspections and tests under § 238.313 through § 238.319 may be assessed for each train that is not properly inspected. 2 The penalty schedule uses section numbers from 49 CFR part 238. If more than one item is listed as a type of violation of a given section, each item is also designated by a ‘‘penalty code,’’ which is used to facilitate assessment of civil penalties, and which may or may not correspond to any subsection designation(s). For convenience, penalty citations will cite the CFR section and the penalty code, if any. FRA reserves the right, should litigation become necessary, to substitute in its complaint the CFR citation in place of the combined CFR and penalty code citation, should they differ.

[64 FR 25660, May 12, 1999, as amended at 65 FR 41310, July 3, 2000; 67 FR 19994, Apr. 23, 2002; 72 FR 51198, Sept. 6, 2007; 73 FR 6413, Feb. 1, 2008; 73 FR 79704, Dec. 30, 2008]

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APPENDIX B TO PART 238—TEST METH- (x) ASTM E 1537–99, Standard Test Method ODS AND PERFORMANCE CRITERIA for Fire Testing of Upholstered Furniture. FOR THE FLAMMABILITY AND SMOKE (xi) ASTM E 1590–01, Standard Test Method for Fire Testing of Mattresses. EMISSION CHARACTERISTICS OF MA- (2) General Services Administration, Fed- TERIALS USED IN PASSENGER CARS eral Supply Service, Specification Section, AND LOCOMOTIVE CABS 470 E. L’Enfant Plaza, SW., Suite 8100, Wash- This appendix contains the test methods ington, DC, 20407. FED-STD-191A-Textile and performance criteria for the flamma- Test Method 5830, Leaching Resistance of bility and smoke emission characteristics of Cloth; Standard Method (July 20, 1978). materials used in passenger cars and loco- (3) State of California, Department of Con- motive cabs, in accordance with the require- sumer Affairs, Bureau of Home Furnishings ments of § 238.103. and Thermal Insulation, 3485 Orange Grove (a) Incorporation by reference. Certain docu- Avenue, North Highlands, CA 95660–5595. ments are incorporated by reference into (i) California Technical Bulletin (Cal TB) this appendix with the approval of the Direc- 129, Flammability Test Procedure for Mat- tor of the Federal Register in accordance tresses for Use in Public Buildings (October, with 5 U.S.C. 552(a) and 1 CFR part 51. You 1992). may inspect a copy of each document during (ii) Cal TB 133, Flammability Test Proce- normal business hours at the Federal Rail- dure for Seating Furniture for Use in Public road Administration, Docket Clerk, 1200 New Occupancies (January, 1991). Jersey Avenue, SE., Washington, DC 20950 or (b) Definitions. As used in this appendix— ˙ // at the National Archives and Records Ad- Average heat release rate (q 180) means, as ministration (NARA). For information on defined in ASTM E 1354–99, the average heat the availability of this material at NARA, release rate per unit area in the time period call 202–741–6030, or go to: http:// beginning at the time of ignition and ending www.archives.gov/federallregister/ 180 seconds later. codeloflfederallregulations/ Critical radiant flux (C.R.F.) means, as de- ibrllocations.html. The documents incor- fined in ASTM E 648–00, a measure of the be- porated by reference into this appendix and havior of horizontally-mounted floor cov- the sources from which you may obtain ering systems exposed to a flaming ignition these documents are listed below: source in a graded radiant heat energy envi- (1) American Society for Testing and Mate- ronment in a test chamber. rials (ASTM), 100 Barr Harbor Dr., West Flame spread index (Is) means, as defined in Conshohocken, PA 19428–2959. ASTM E 162–98, a factor derived from the (i) ASTM C 1166–00, Standard Test Method rate of progress of the flame front (Fs) and for Flame Propagation of Dense and Cellular the rate of heat liberation by the material × Elastomeric Gaskets and Accessories. under test (Q), such that Is = Fs Q. (ii) ASTM D 2724–87, Standard Test Meth- Flaming dripping means periodic dripping of ods for Bonded, Fused, and Laminated Ap- flaming material from the site of material parel Fabrics. burning or material installation. (iii) ASTM D 3574–95, Standard Test Meth- Flaming running means continuous flaming ods for Flexible Cellular Materials-Slab, material leaving the site of material burning Bonded, and Molded Urethane Foams. or material installation. (iv) ASTM D 3675–98, Standard Test Method Heat release rate means, as defined in ASTM for Surface Flammability of Flexible Cel- E 1354–99, the heat evolved from a specimen lular Materials Using a Radiant Heat Energy per unit of time. Source. Specific extinction area (sf) means, as de- (v) ASTM E 119–00a, Standard Test Meth- fined in ASTM E 1354–99, specific extinction ods for Fire Tests of Building Construction area for smoke. and Materials. Specific optical density (Ds) means, as de- (vi) ASTM E 162–98, Standard Test Method fined in ASTM E 662–01, the optical density for Surface Flammability of Materials Using measured over unit path length within a a Radiant Heat Energy Source. chamber of unit volume, produced from a (vii) ASTM E 648–00, Standard Test Method specimen of unit surface area, that is irradi- for Critical Radiant Flux of Floor-Covering ated by a heat flux of 2.5 watts/cm2 for a Systems Using a Radiant Heat Energy specified period of time. Source. Surface flammability means the rate at (viii) ASTM E 662–01, Standard Test Meth- which flames will travel along surfaces. od for Specific Optical Density of Smoke (c) Required test methods and performance Generated by Solid Materials. criteria. The materials used in locomotive (ix) ASTM E 1354–99, Standard Test Method cabs and passenger cars shall be tested ac- for Heat and Visible Smoke Release Rates cording to the methods and meet the per- for Materials and Products Using an Oxygen formance criteria set forth in the following Consumption Calorimeter. table and notes:

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

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non-flaming mode, utilizing the mode which ducted which addresses the location and generates the most smoke. quantity of the materials used, and the vul- 3 Testing of a complete seat assembly (in- nerability of the materials to ignition and cluding cushions, fabric layers, upholstery) contribution to flame spread. according to ASTM E 1537–99 using the pass/ 11 If the surface area of any individual fail criteria of Cal TB 133, and testing of a small part is less than 16 square inches (100 complete mattress assembly (including foam cm2) in end use configuration, materials used and ticking) according to ASTM E 1590–01 to fabricate such a part may be tested in ac- using the pass/fail criteria of Cal TB 129 shall cordance with ASTM E 1354–99 as an alter- be permitted in lieu of the test methods pre- native to both (a) the ASTM E 162–98 flam- scribed herein, provided the assembly com- mability test procedure, or the appropriate ponent units remain unchanged or new (re- flammability test procedure otherwise speci- placement) assembly components possess fied in the table, and (b) the ASTM E 662–01 equivalent fire performance properties to the smoke generation test procedure. Testing original components tested. A fire hazard shall be at 50 kW/m2 applied heat flux with a analysis must also be conducted that con- retainer frame. Materials tested in accord- siders the operating environment within ance with ASTM E 1354–99 shall meet the fol- which the seat or mattress assembly will be lowing performance criteria: average heat used in relation to the risk of vandalism, release rate (q˙ ⁄ 180) less than or equal to 100 puncture, cutting, or other acts which may kW/m2, and average specific extinction area 2 expose the individual components of the as- (sf) less than or equal to 500 m /kg over the semblies to an ignition source. Notes 5, 6, 7, same 180-second period. and 8 apply. 12 Carpeting used as a wall or ceiling cov- 4 Testing is performed without upholstery. ering shall be tested according to ASTM E 5 The surface flammability and smoke 162–98 and ASTM E 662–01 and meet the re- emission characteristics shall be dem- spective criteria of I s less than or equal to 35 onstrated to be permanent after dynamic and D s (1.5) less than or equal to 100 and D s testing according to ASTM D 3574–95, Test I 2 (4.0) less than or equal to 200. Notes 1 and 2 (Dynamic Fatigue Test by the Roller Shear apply. 13 at Constant Force) or Test I 3 (Dynamic Fa- Floor covering shall be tested with pad- tigue Test by Constant Force Pounding) both ding in accordance with ASTM E 648–00, if using Procedure B, except that the test sam- the padding is used in the actual installa- ples shall be a minimum of 6 inches (154 mm) tion. by 18 inches (457 mm) by the thickness of the 14 For double window glazing, only the inte- material in its end use configuration, or rior glazing is required to meet the require- multiples thereof. If Test I 3 is used, the size ments specified herein. (The exterior glazing of the indentor described in paragraph 96.2 is not required to meet these requirements.) shall be modified to accommodate the speci- 15 Penetrations (ducts, etc.) shall be de- fied test specimen. signed against acting as passageways for fire 6 The surface flammability and smoke and smoke and representative penetrations emission characteristics shall be dem- shall be included as part of test assemblies. onstrated to be permanent by washing, if ap- 16 A structural flooring assembly sepa- propriate, according to FED-STD–191A Tex- rating the interior of a vehicle from its un- tile Test Method 5830. dercarriage shall meet the performance cri- 7 The surface flammability and smoke teria during a nominal test period as deter- emission characteristics shall be dem- mined by the railroad. The nominal test pe- onstrated to be permanent by dry-cleaning, riod must be twice the maximum expected if appropriate, according to ASTM D 2724–87. time period under normal circumstances for 8 Materials that cannot be washed or dry- a vehicle to stop completely and safely from cleaned shall be so labeled and shall meet its maximum operating speed, plus the time the applicable performance criteria after necessary to evacuate all the vehicle’s occu- being cleaned as recommended by the manu- pants to a safe area. The nominal test period facturer. must not be less than 15 minutes. Only one 9 Signage is not required to meet any flam- specimen need be tested. A proportional re- mability or smoke emission performance cri- duction may be made in the dimensions of teria specified in this Appendix. the specimen provided it serves to truly test 10 Materials used to fabricate miscella- the ability of the structural flooring assem- neous, discontinuous small parts (such as bly to perform as a barrier against under-ve- knobs, rollers, fasteners, clips, grommets, hicle fires. The fire resistance period re- and small electrical parts) that will not con- quired shall be consistent with the safe evac- tribute materially to fire growth in end use uation of a full load of passengers from the configuration are exempt from flammability vehicle under worst-case conditions. and smoke emission performance require- 17 Portions of the vehicle body which sepa- ments, provided that the surface area of any rate major ignition sources, energy sources, individual small part is less than 16 square or sources of fuel-load from vehicle interiors, inches (100 cm2) in end use configuration and shall have sufficient fire endurance as deter- an appropriate fire hazard analysis is con- mined by a fire hazard analysis acceptable to

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the railroad which addresses the location APPENDIX D TO PART 238—REQUIRE- and quantity of the materials used, as well MENTS FOR EXTERNAL FUEL TANKS as vulnerability of the materials to ignition, ON TIER I LOCOMOTIVES flame spread, and smoke generation. These portions include equipment carrying por- The requirements contained in this appen- tions of a vehicle’s roof and the interior dix are intended to address the structural structure separating the levels of a bi-level and puncture resistance properties of the lo- car, but do not include a flooring assembly comotive fuel tank to reduce the risk of fuel subject to Note 16. A railroad is not required spillage to acceptable levels under derail- to use the ASTM E 119–00a test method. ment and minor collision conditions. [67 FR 42910, June 25, 2002, as amended at 74 (a) Structural strength—(1) Load case 1— FR 25175, May 27, 2009] minor derailment. The end plate of the fuel tank shall support a sudden loading of one- APPENDIX C TO PART 238—SUSPENSION half the weight of the car body at a vertical SYSTEM SAFETY PERFORMANCE acceleration of 2g, without exceeding the ultimate strength of the material. The load is STANDARDS assumed to be supported on one rail, within This appendix contains the minimum sus- an eight inch band (plus or minus) at a point pension system safety performance stand- nominally above the head of the rail, on tan- ards for Tier II passenger equipment as re- gent track. Consideration should be given in quired by § 238.427. These requirements shall the design of the fuel tank to maximize the be the basis for evaluating suspension sys- vertical clearance between the top of the rail tem safety performance until an industry and the bottom of the fuel tank. standard acceptable to FRA is developed and (2) Load case 2—jackknifed locomotive. The approved under the procedures provided in fuel tank shall support transversely at the § 238.21. center a sudden loading equivalent to one (a) Passenger equipment suspension sys- half the weight of the locomotive at a tems shall be designed to limit the lateral vertical acceleration of 2g, without exceed- and vertical forces and lateral to vertical (L/ ing the ultimate strength of the material. V) ratios, for the time duration required to The load is assumed to be supported on one travel five feet at any operating speed or rail, distributed between the longitudinal over any class of track, under all operating center line and the edge of the tank bottom, conditions as determined by the railroad, as with a rail head surface of two inches. follows: (3) Load case 3—side impact. In a side im- (1) The maximum single wheel lateral to pact collision by an 80,000 pound Gross Vehi- vertical force (L/V) ratio shall not exceed cle Weight tractor/trailer at the longitudinal Nadal’s limit as follows: center of the fuel tank, the fuel tank shall withstand, without exceeding the ultimate tan()δμ− strength, a 200,000 pound load (2.5g) distrib- Wheel L/ V ≤ 1+ μδtan() uted over an area of six inches by forty-eight inches (half the bumper area) at a height of where: thirty inches above the rail (standard DOT d=flange angle (deg). bumper height). μ=coefficient of friction of 0.5. (4) Load case 4—penetration resistance. The (2) The net axle lateral force shall not ex- minimum thickness of the sides, bottom ceed 0.5 times the static vertical axle load. sheet and end plates of the fuel tank shall be (3) The vertical wheel/rail force shall not equivalent to a 5⁄16-inch steel plate with a be less than or equal to 10 percent of the 25,000 pounds-per-square-inch yield strength static vertical wheel load. (where the thickness varies inversely with (4) The sum of the vertical wheel loads on the square root of yield strength). The lower one side of any truck shall not be less than one third of the end plates shall have the or equal to 20 percent of the static vertical equivalent penetration resistance by the axle load. This shall include the effect of a above method of a 3⁄4-inch steel plate with a crosswind allowance as specified by the rail- 25,000 pounds-per-square-inch yield strength. road for the intended service. This may be accomplished by any combina- (5) The maximum truck side L/V ratio tion of materials or other mechanical pro- shall not exceed 0.6. tection. (6) When stopped on track with a uniform (b) Sideswipe. To minimize fuel tank dam- 6-inch superelevation, vertical wheel loads, age during sideswipes (railroad vehicles and at all wheels, shall not be less than or equal grade crossings), all drain plugs, clean-out to 60 percent of the nominal vertical wheel ports, inspection covers, sight glasses, gauge load on level track. openings, etc., must be flush with the tank (b) For purposes of this appendix, wheel/ surface or adequately protected to avoid rail force measurements shall be processed catching foreign objects or breakage. All through a low pass filter having a cut-off fre- seams must be protected or flush to avoid quency of 25 Hz. catching foreign objects.

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(c) Spill controls. Vents and fills shall be de- use of redundancy. Hidden functions can usu- signed to avert spillage of fuel in the event ally be made evident by instrumentation or of a roll over. other design features. The feasibility and cost effectiveness of scheduled maintenance APPENDIX E TO PART 238—GENERAL depend on the inspectablility of the compo- PRINCIPLES OF RELIABILITY-BASED nent, and the cost of corrective maintenance MAINTENANCE PROGRAMS depends on its failure modes and design reliability. (a) Any maintenance program has the fol- (d) The design reliability of equipment or lowing four basic objectives: components will only be achieved with an ef- (1) To ensure realization of the design level fective maintenance program. This level of of safety and reliability of the equipment; reliability is established by the design of (2) To restore safety and reliability to each component and the manufacturing their design levels when deterioration has processes that produced it. Scheduled main- occurred; tenance can ensure that design reliability of (3) To obtain the information necessary for each component is achieved, but mainte- design improvements of those items whose nance alone cannot yield a level of reli- design reliability proves inadequate; and ability beyond the design reliability. (4) To accomplish these goals at a min- (e) When a maintenance program is devel- imum total cost, including maintenance oped, it includes tasks that satisfy the cri- costs and the costs of residual failures. teria for both applicability and effectiveness. (b) Reliability-based maintenance pro- The applicability of a task is determined by grams are based on the following general the characteristics of the component or principles. A failure is an unsatisfactory con- equipment to be maintained. The effective- dition. There are two types of failures: func- ness is stated in terms of the consequences tional and potential. Functional failures are that the task is designed to prevent. The ba- usually reported by operating crews. Con- sics types of tasks that are performed by versely, maintenance crews usually discover maintenance personnel are each applicable potential failures. A potential failure is an under a unique set of conditions. Tasks may identifiable physical condition, which indi- be directed at preventing functional failures cates that a functional failure is imminent. or preventing a failure event consisting of The consequences of a functional failure de- the sequential occurrence of two or more termine the priority of a maintenance effort. independent failures which may have con- These consequences fall into the following sequences that would not be produced by any general categories: of the failures occurring separately. The (1) Safety consequences, involving possible task types include: loss of the equipment and its occupants; (1) Inspections of an item to find and cor- (2) Operational consequences, which in- rect any potential failures; volve an indirect economic loss as well as (2) Rework/remanufacture/overhaul of an the direct cost of repair; item at or before some specified time or age (3) Non-operational consequences, which limit; involve only the direct cost of repair; or (3) Discard of an item (or parts of it) at or (4) Hidden failure consequences, which in- before some specified life limit; and volve exposure to a possible multiple failure (4) Failure finding inspections of a hidden- as a result of the undetected failure of a hid- function item to find and correct functional den function. failures that have already occurred but were (c) In a reliability-based maintenance pro- not evident to the operating crew. gram, scheduled maintenance is required for (b) Components or systems in a reliability- any item whose loss of function or mode of based maintenance program may be defined failure could have safety consequences. If as simple or complex. A simple component or preventative tasks cannot reduce the risk of system is one that is subject to only one or such failures to an acceptable level, the item a very few failure modes. This type of com- requires redesign to alter its failure con- ponent or system frequently shows decreas- sequences. Scheduled maintenance is also re- ing reliability with increasing operating age. quired for any item whose functional failure An age/time limit may be used to reduce the will not be evident to the operating crew, overall failure rate of simple components or and therefore reported for corrective action. systems. Here, safe-life limits, fail-safe de- In all other cases the consequences of failure signs, or damage tolerance-based residual are economic, and maintenance tasks di- life calculations may be imposed on a single rected at preventing such failures must be component or system to play a crucial role justified on economic grounds. All failure in controlling critical failures. Complex consequences, including economic con- components or systems are ones whose func- sequences, are established by the design tional failure may result from many dif- characteristics of the equipment and can be ferent failure modes and show little or no de- altered only by basic changes in the design. crease in overall reliability with increasing Safety consequences can, in nearly all cases, age unless there is a dominant failure mode. be reduced to economic consequences by the Therefore, age limits imposed on complex

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components or systems have little or no ef- mine optimum task intervals and the appli- fect on their overall failure rates. cability of age or life limits can be obtained (g) When planning the maintenance of a only from age or life exploration after the component or system to protect the safety equipment enters service. With any new and operating capability of the equipment, a equipment there is always the possibility of number of items must be considered in the unanticipated failure modes. The first occur- reliability assessment process: rence of any serious unanticipated failure (1) The consequences of each type of func- should immediately set into motion the fol- tional failure; lowing improvement cycle: (2) The visibility of a functional failure to (1) An inspection task is developed to pre- the operating crew (evidence that a failure vent recurrences while the item is being re- has occurred); designed; (3) The visibility of reduced resistance to (2) The operating fleet is modified to incor- failure (evidence that a failure is imminent); porate the redesigned part; and (4) The age-reliability characteristics of (3) After the modification has proved suc- each item; cessful, the special inspection task is elimi- (5) The economic tradeoff between the cost nated from the maintenance program. of scheduled maintenance and the benefits to (j) Component improvements based on be derived from it; identification of the actual reliability char- (6) A multiple failure, resulting from a se- acteristics of each item through age or life quence of independent failures, may have exploration, is part of the normal develop- consequences that would not be caused by ment cycle of all complex equipment. any one of the individual failures alone. These consequences are taken into account APPENDIX F TO PART 238—ALTERNATIVE in the definition of the failure consequences DYNAMIC PERFORMANCE REQUIRE- for the first failure; and (7) A default strategy governs decision MENTS FOR FRONT END STRUCTURES making in the absence of full information or OF CAB CARS AND MU LOCO- agreement. This strategy provides for con- MOTIVES servative initial decisions, to be revised on the basis of information derived from oper- As specified in § 238.209(b), the forward end ating experience. of a cab car or an MU locomotive may com- (h) A successful reliability-based mainte- ply with the requirements of this appendix in nance program must be dynamic. Any prior- lieu of the requirements of either § 238.211 to-service program is based on limited infor- (Collision posts) or § 238.213 (Corner posts), or mation. As such, the operating organization both. The requirements of this appendix are must be prepared to collect and respond to intended to be equivalent to the require- real data throughout the operating life of ments of those sections and allow for the ap- the equipment. Management of the ongoing plication of dynamic performance criteria to maintenance program requires an organized cab cars and MU locomotives as an alter- information system for surveillance and native to the requirements of those sections. analysis of the performance of each item The alternative dynamic performance re- under actual operating conditions. This in- quirements are applicable to all cab cars and formation is needed to determine the refine- MU locomotives, and may in particular be ments and modifications to be made in the helpful for evaluating the compliance of cab initial maintenance program (including the cars and MU locomotives with shaped-noses adjustment of task intervals) and to deter- or crash energy management designs, or mine the need for product improvement. The both. In any case, the end structure must be information derived from operating experi- designed to protect the occupied volume for ence may be considered to have the following its full height, from the underframe to the hierarchy of importance in the reliability- anti-telescoping plate (if used) or roof rails. based maintenance program: The requirements of this appendix are pro- (1) Failures that could affect operating vided only as alternatives to the require- safety; ments of §§ 238.211 and 238.213, not in addition (2) Failures that have operational con- to the requirements of those sections. Cab sequences; cars and MU locomotives are not required to (3) The failure modes of units removed as a comply with both the requirements of those result of failures; sections and the requirements of this appen- (4) The general condition of unfailed parts dix, together. in units that have failed; and ALTERNATIVE REQUIREMENTS FOR COLLISION (5) The general condition of serviceable POSTS units inspected as samples. (i) At the time an initial maintenance pro- (a)(1) In lieu of meeting the requirements gram is developed, information is usually of § 238.211, the front end frame acting to- available to determine the tasks necessary gether with its supporting car body struc- to protect safety and operating capability. ture shall be capable of absorbing a min- However, the information required to deter- imum of 135,000 foot-pounds of energy (0.18

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megajoule) prior to or during structural de- (2)(i) The striking surface of the object formation by withstanding a frontal impact shall be centered at a height of 30 inches with a rigid object in accordance with all of above the top of the underframe; the requirements set forth in paragraphs (ii) The striking surface of the object shall (a)(2) through (a)(4) of this appendix: have a width of no more than 36 inches and (2)(i) The striking surface of the object a diameter of no more than 48 inches; shall be centered at a height of 30 inches (iii) The center of the striking surface above the top of the underframe; shall be aligned with the outboard edge of (ii) The striking surface of the object shall the cab car or MU locomotive, and on the have a width of no more than 36 inches and weaker side of the end frame if the end a diameter of no more than 48 inches; frame’s strength is not symmetrical; and (iii) The center of the striking surface (iv) Only the striking surface of the object shall be offset by 19 inches laterally from the interacts with the end frame structure. center of the cab car or MU locomotive, and (3)(i) Except as provided in paragraph on the weaker side of the end frame if the (b)(3)(ii) of this appendix, as a result of the end frame’s strength is not symmetrical; and impact, there shall be no more than 10 inches (iv) Only the striking surface of the object of longitudinal, permanent deformation into interacts with the end frame structure. the occupied volume. There shall also be no (3) As a result of the impact, there shall be complete separation of the post, its connec- no more than 10 inches of longitudinal, per- tion to the underframe, its connection to ei- manent deformation into the occupied vol- ther the roof structure or the anti-tele- ume. There shall also be no complete separa- scoping plate (if used), or of its supporting tion of the post, its connection to the car body structure. (A graphical description underframe, its connection to either the roof of the frontal impact is provided in Figure 2 structure or the anti-telescoping plate (if to this appendix.); and used), or of its supporting car body struc- (ii) After FRA review and approval of a ture. (A graphical description of the frontal plan, including acceptance criteria, to evalu- impact is provided in Figure 1 to this appen- ate compliance with this paragraph (b), cab dix.) cars and MU locomotives utilizing low-level (4) The nominal weights of the object and passenger boarding on the non-operating side the cab car or MU locomotive, as ballasted, of the cab may have two, full-height corner and the speed of the object may be adjusted posts on that side, one post located ahead of to impart the minimum of 135,000 foot- the stepwell and one located behind it, so pounds of energy (0.18 megajoule) to be ab- that the corner post located ahead of the sorbed (Ea), in accordance with the following stepwell is permitted to fail provided that— formula: (A) The corner post located behind the

Ea = E0¥Ef stepwell shall have no more than 10 inches of Where: longitudinal, permanent deformation; and (B) There shall be no complete separation E = Energy of initially moving object at im- 0 of that post, its connection to the pact = 1⁄2 m *V 2. 1 0 underframe, its connection to either the roof E = Energy after impact = 1⁄2 (m + m )*V 2. f 1 2 f structure or the anti-telescoping plate (if V = Speed of initially moving object at im- 0 used), or of its supporting car body struc- pact. V = Speed of both objects after collision = ture. f (4) The nominal weights of the object and m *V /(m + m ). 1 0 1 2 the cab car or MU locomotive, as ballasted, m1 = Mass of initially moving object. m = Mass of initially standing object. and the speed of the object may be adjusted 2 to impart the minimum of 120,000 foot- (Figure 1 shows as an example a cab car or pounds of energy (0.16 megajoule) to be ab- an MU locomotive having a weight of 100,000 sorbed (Ea), in accordance with the following pounds and the impact object having a formula: weight of 14,000 pounds, so that a minimum ¥ speed of 18.2 mph would satisfy the collision- Ea = E0 Ef energy requirement.) Where:

E0 = Energy of initially moving object at im- ALTERNATIVE REQUIREMENTS FOR CORNER 1 2 pact = ⁄2 m1*V0 . POSTS 1 2 Ef = Energy after impact = ⁄2 (m1 + m2)*Vf . (b)(1) In lieu of meeting the requirements V0 = Speed of initially moving object at im- of § 238.213, the front end frame acting to- pact. gether with its supporting car body struc- Vf = Speed of both objects after collision = ture shall be capable of absorbing a min- m1*V0/(m1 + m2). imum of 120,000 foot-pounds of energy (0.16 m1 = Mass of initially moving object. megajoule) prior to or during structural de- m2 = Mass of initially standing object. formation by withstanding a frontal impact (Figure 2 shows as an example a cab car or with a rigid object in accordance with all of an MU locomotive having a weight of 100,000 the requirements set forth in paragraphs pounds and the impact object having a (b)(2) through (b)(4) of this appendix: weight of 14,000 pounds, so that a minimum

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speed of 17.1 mph would satisfy the collision- energy requirement.)

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[75 FR 1230, Jan. 8, 2010]

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