P-FMSIG :: 49CFR238: Passenger Equipment Safety Standards

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[Code of Federal Regulations] [Title 49, Volume 4] [Revised as of October 1, 2003] [CITE: 49CFR238] [Page 535-610] TITLE 49--TRANSPORTATION CHAPTER II--FEDERAL RAILROAD ADMINISTRATION, DEPARTMENT OF TRANSPORTATION PART 238--PASSENGER EQUIPMENT SAFETY STANDARDS Subpart A--General Sec. 238.1 Purpose and scope. 238.3 Applicability. 238.5 Definitions. 238.7 Waivers. 238.9 Responsibility for compliance. 238.11 Penalties. 238.13 Preemptive effect. 238.15 Movement of passenger equipment with power brake defects. 238.17 Movement of passenger equipment with other than power brake defects. 238.19 Reporting and tracking of repairs to defective passenger equipment. 238.21 Special approval procedure. 238.23 Information collection. Subpart B--Safety Planning and General Requirements 238.101 Scope. 238.103 Fire safety. 238.105 Train electronic hardware and software safety. 238.107 Inspection, testing, and maintenance plan. 238.109 Training, qualification, and designation program. 238.111 Pre-revenue service acceptance testing plan. 238.113 Emergency window exits. 238.115 Emergency lighting. 238.117 Protection against personal injury. 238.119 Rim-stamped straight-plate wheels. Subpart C--Specific Requirements for Tier I Passenger Equipment 238.201 Scope/alternative compliance. 238.203 Static end strength. 238.205 Anti-climbing mechanism. 238.207 Link between coupling mechanism and car body. 238.209 Forward-facing end structure of locomotives. 238.211 Collision posts. 238.213 Corner posts. 238.215 Rollover strength. 238.217 Side structure. 238.219 Truck-to-car-body attachment. 238.221 Glazing. 238.223 Locomotive fuel tanks. 238.225 Electrical system. 238.227 Suspension system. 238.229 Safety appliances. 238.231 Brake system. 238.233 Interior fittings and surfaces. 238.235 Doors. 238.237 Automated monitoring. Subpart D--Inspection, Testing, and Maintenance Requirements for Tier I Passenger Equipment 238.301 Scope. 238.303 Exterior calendar day mechanical inspection of passenger equipment. 238.305 Interior calendar day mechanical inspection of passenger cars. 238.307 Periodic mechanical inspection of passenger cars and unpowered vehicles used in passenger trains. 238.309 Periodic brake equipment maintenance. 238.311 Single car test. 238.313 Class I brake test. 238.315 Class IA brake test. 238.317 Class II brake test. 238.319 Running brake test. Subpart E--Specific Requirements for Tier II Passenger Equipment 238.401 Scope. 238.403 Crash energy management. 238.405 Longitudinal static compressive strength. 238.407 Anti-climbing mechanism. 238.409 Forward end structures of power car cabs. 238.411 Rear end structures of power car cabs. 238.413 End structures of trailer cars. 238.415 Rollover strength. 238.417 Side loads. 238.419 Truck-to-car-body and truck component attachment. 238.421 Glazing. 238.423 Fuel tanks. 238.425 Electrical system. 238.427 Suspension system. 238.429 Safety appliances. 238.431 Brake system. 238.433 Draft system. 238.435 Interior fittings and surfaces. 238.437 Emergency communication. 238.439 Doors. 238.441 Emergency roof entrance location. 238.443 Headlights. 238.445 Automated monitoring. 238.447 Train operator's controls and power car cab layout. Figure 1 to Subpart E--Power Car Cab Forward End Structure Conceptual Implementation Figure 2 to Subpart E--Power Car Cab Rear End Structure Conceptual Implementation Figure 3 to Subpart E--Trailer Car End Structure Conceptual Implementation [[Page 536]] Figure 4 to Subpart E--Trailer Car In-Board Vestibule End Structure Conceptual Implementation Subpart F--Inspection, Testing, and Maintenance Requirements for Tier II Passenger Equipment 238.501 Scope. 238.503 Inspection, testing, and maintenance requirements. 238.505 Program approval procedure. Subpart G--Specific Safety Planning Requirements for Tier II Passenger Equipment 238.601 Scope. 238.603 Safety planning requirements. Appendix A to Part 238--Schedule of Civil Penalties Appendix B--Test Methods and Performance Criteria for the Flammability and Smoke Emission Characteristics of Materials Used in Passenger Cars and Locomotive Cabs Appendix C to Part 238--Suspension System Safety Performance Standards Appendix D to Part 238--Requirements for External Fuel Tanks on Tier I Locomotives Appendix E to Part 238--General Principles of Reliability-Based Maintenance Programs Authority: 49 U.S.C. 20103, 20107, 20133, 20141, 20302-20303, 20306, 20701-20702, 21301-21302, 21304; 28 U.S.C. 2461, note; and 49 CFR 1.49. Source: 64 FR 25660, May 12, 1999, unless otherwise noted. Subpart A--General Sec. 238.1 Purpose and scope. (a) The purpose of this part is to prevent collisions, derailments, and other occurrences involving railroad passenger equipment that cause injury or death to railroad employees, railroad passengers, or the general public; and to mitigate the consequences of such occurrences to the extent they cannot be prevented. (b) This part prescribes minimum Federal safety standards for railroad passenger equipment. This part does not restrict a railroad from adopting and enforcing additional or more stringent requirements not inconsistent with this part. (c) Railroads to which this part applies shall be responsible for compliance with all of the requirements contained in Secs. 238.15, 238.17, 238.19, 238.107, 238.109, and subpart D of this part effective January 1, 2002. (1) A railroad may request earlier application of the requirements contained in Secs. 238.15, 238.17, 238.19, 238.107, 238.109, and subpart D upon written notification to FRA's Associate Administrator for Safety. Such a request shall indicate the railroad's readiness and ability to comply with all of the provisions referenced in paragraph (c) introductory text of this section. (2) Except for paragraphs (b) and (c) of Sec. 238.309, a railroad may specifically request earlier application of the maintenance and testing provisions contained in Secs. 238.309 and 238.311 simultaneously. In order to request earlier application of these two sections, the railroad shall indicate its readiness and ability to comply with all of the provisions contained in both of those sections. (3) Paragraphs (b) and (c) of Sec. 238.309 apply beginning September 9, 1999. [64 FR 25660, May 12, 1999, as amended at 65 FR 41305, July 3, 2000; 67 FR 19989, Apr. 23, 2002] Sec. 238.3 Applicability. (a) Except as provided in paragraph (c) of this section, this part applies to all: (1) Railroads that operate intercity or commuter passenger train service on standard gage track which is part of the general railroad system of transportation; and (2) Railroads that provide commuter or other short-haul rail passenger train service in a metropolitan or suburban area as described by 49 U.S.C. 20102(1), including public authorities operating passenger train service. (b) Railroads that permit to be used or hauled on their lines passenger equipment subject to this part, in violation of a power brake provision of this part or a safety appliance provision of this part, are subject to the power brake and safety appliance provisions of this part with respect to such operations. (c) This part does not apply to: (1) Rapid transit operations in an urban area that are not connected to [[Page 537]] the general railroad system of transportation; (2) A railroad that operates only on track inside an installation that is not part of the general railroad system of transportation; (3) Tourist, scenic, historic, or excursion operations, whether on or off the general railroad system of transportation; or (4) Circus trains. Sec. 238.5 Definitions. As used in this part-- AAR means the Association of American Railroads. APTA means the American Public Transit Association. Actuator means a device directly actuated by the movement of the brake cylinder piston which provides an indication of the piston travel. Administrator means the Administrator of the Federal Railroad Administration or the Administrator's delegate. Alerter means a device or system installed in the locomotive cab to promote continuous, active locomotive engineer attentiveness by monitoring select locomotive engineer-induced control activities. If fluctuation of a monitored locomotive engineer-induced control activity is not detected within a predetermined time, a sequence of audible and visual alarms is activated so as to progressively prompt a response by the locomotive engineer. Failure by the locomotive engineer to institute a change of state in a monitored control, or acknowledge the alerter alarm activity through a manual reset provision, results in a penalty brake application that brings the locomotive or train to a stop. Anti-climbing mechanism means the parts at the ends of adjoining vehicles in a train that are designed to engage when subjected to large buff loads to prevent the override of one vehicle by another. Bind means restrict the intended movement of one or more brake system components by obstruction, increased friction, or reduced clearance. Block of cars means one car or multiple cars in a solid unit coupled together for the purpose of being added to, or removed from, a train as a solid unit. Brake, air or power brake means a combination of devices operated by compressed air, arranged in a system, and controlled manually, electrically, or pneumatically, by means of which the motion of a rail car or locomotive is retarded or arrested. Brake, disc means a retardation system used on some rail vehicles, primarily passenger equipment, that utilizes flat metal discs as the braking surface instead of the wheel tread. Brake, dynamic means a train braking system whereby the kinetic energy of a moving train is used to generate electric current at the locomotive traction motors, which is then dissipated through banks of resistor grids or back into the catenary or third rail system. Brake, effective means a brake that is capable of producing its required designed retarding force on the train. A brake is not effective if its piston travel is in excess of the maximum prescribed limits. On vehicles equipped with nominal 12-inch stroke brake cylinders, the brake is not effective if its piston travel exceeds 10\1/2\ inches. Brake indicator means a device, actuated by brake cylinder pressure, which indicates whether brakes are applied or released. Brake, inoperative means a primary brake that, for any reason, no longer applies or releases as intended or is otherwise ineffective. Brake, on-tread friction means a braking system that uses a brake shoe that acts on the tread of the wheel to retard the vehicle. Brake, parking or hand brake means a brake that can be applied and released by hand to prevent movement of a stationary rail car or locomotive. Brake pipe means the system of piping (including branch pipes, angle cocks, cutout cocks, dirt collectors, hoses, and hose couplings) used for connecting locomotives and all rail cars for the passage of air to control the locomotive and car brakes. Brake, power means ``air brake'' as that term is defined in this section. [[Page 538]] Brake, primary means those components of the train brake system necessary to stop the train within the signal spacing distance without thermal damage to friction braking surfaces. Brake, secondary means those components of the train brake system which develop supplemental brake retarding force that is not needed to stop the train within signal spacing distances or to prevent thermal damage to friction braking surfaces. Brake shoes or pads aligned with tread or disc means that the surface of the brake shoe or pad, respectively, engages the surface of the wheel tread or disc, respectively, to prevent localized thermal stress. Braking system, blended means a braking system where the primary brake and one or more secondary brakes are automatically combined to stop the train. If the secondary brakes are unavailable, the blended brake uses the primary brake alone to stop the train. Calendar day means a time period running from one midnight to the next midnight on a given date. Class I brake test means a complete passenger train brake system test and inspection (as further specified in Sec. 238.313) performed by a qualified maintenance person to ensure that the air brake system is 100 percent effective. Class IA brake test means a test and inspection (as further specified in Sec. 238.315) performed by a qualified person of the air brake system on each car in a passenger train to ensure that the brakes apply and release on each car in the train in response to train line commands. Class II brake test means a test and inspection (as further specified in Sec. 238.317) performed by a qualified person of brake pipe integrity and continuity from the controlling locomotive to the rear unit of a passenger train. Collision posts means structural members of the end structures of a vehicle that extend vertically from the underframe to which they are securely attached and that provide protection to occupied compartments from an object penetrating the vehicle during a collision. Control valves means that part of the air brake equipment on each rail car or locomotive that controls the charging, application, and release of the air brakes, in response to train line commands. Corner posts means structural members located at the intersection of the front or rear surface with the side surface of a rail vehicle and which extend vertically from the underframe to the roof. Corner posts may be combined with collision posts to become part of the end structure. Crack means a fracture without complete separation into parts, except that, in a casting, a shrinkage crack or hot tear that does not significantly diminish the strength of the member is not a crack. Crash energy management means an approach to the design of rail passenger equipment which controls the dissipation of energy during a collision to protect the occupied volumes from crushing and to limit the decelerations on passengers and crewmembers in those volumes. This may be accomplished by designing energy-absorbing structures of low strength in the unoccupied volumes of a rail vehicle or passenger train to collapse in a controlled manner, while providing higher structural strength in the occupied volumes. Energy deflection can also be part of a crash energy management approach. Crash energy management can be used to help provide anti-climbing resistance and to reduce the risk of train buckling during a collision. Crash refuge means a volume with structural strength designed to maximize the survivability of crewmembers stationed in the locomotive cab during a collision. Crewmember means a railroad employee called to perform service covered by the Federal hours of service laws at 49 U.S.C. 21103 and subject to the railroad's operating rules and program of operational tests and inspections required in Sec. 217.9 and Sec. 217.11 of this chapter. Critical buckling stress means the minimum stress necessary to initiate buckling of a structural member. [[Page 539]] Emergency brake application means an irretrievable brake application resulting in the maximum retarding force available from the train brake system. Emergency window means that segment of a side-facing glazing panel which has been designed to permit rapid and easy removal in an emergency situation. End structure means the main support structure projecting upward from the underframe of a locomotive, passenger car, or other rail vehicle. The end structure is securely attached to the underframe at each end of a rail vehicle. 50th-percentile adult male means a person weighing 164 pounds (plus or minus 3 pounds) and possessing the following dimensions: erect sitting height: 35.7 inches (plus or minus 0.1 inch); hip breadth (sitting): 14.7 inches (plus or minus 0.7 inch); hip circumference (sitting): 42 inches; waist circumference (sitting): 32 inches (plus or minus 0.6 inch); chest depth: 9.3 inches (plus or minus 0.2 inch); and chest circumference: 37.4 inches (plus or minus 0.6 inch). Foul means restrict the intended movement of one or more brake system components because the component is snagged, entangled, or twisted. FRA means the Federal Railroad Administration. Fuel tank, external means a fuel containment volume that extends outside the car body structure of a locomotive. Fuel tank, internal means a fuel containment volume that does not extend outside the car body structure of a locomotive. Full-height collision post, corner post, or side frame post means any vertical framing member in the rail car body structure that spans the distance between the underframe and the roof at the car body section where the post is located. For collision posts located at the approximate third points laterally of an end frame, the term ``full- height'' applies to posts that extend and connect to supporting structural members in the roof at the location of the posts, or to a beam connected to the top of the end-frame and supported by the roof rails (or anti-telescoping plate), or to both. Full service application means a brake application which results in a brake cylinder pressure at the service limiting valve setting or equivalent. Glazing, end-facing means a glazing panel located where a line perpendicular to the exterior surface of the panel makes an angle of 50 degrees or less with the longitudinal center line of the rail vehicle in which the panel is installed. A glazing panel that curves so as to meet the definition for both side-facing and end-facing glazing is considered end-facing glazing. Glazing, exterior means a glazing panel that is an integral part of the exterior skin of a rail vehicle and has a surface exposed to the outside environment. Glazing, side-facing means a glazing panel located where a line perpendicular to the exterior surface of the panel makes an angle of more than 50 degrees with the longitudinal center line of the rail vehicle in which the panel is installed. Handrails means safety appliances installed on either side of a rail vehicle's exterior doors to assist passengers and crewmembers to safely board and depart the vehicle. Head end power means power generated on board the locomotive of a passenger train used for purposes other than propelling the train, such as cooking, heating, illumination, ventilation and air conditioning. In passenger service/in revenue service means a train or passenger equipment that is carrying, or available to carry, passengers. Passengers need not have paid a fare in order for the equipment to be considered in passenger or in revenue service. In service, when used in connection with passenger equipment, means: (1) Passenger equipment subject to this part that is in passenger or revenue service in the United States; and (2) All other passenger equipment subject to this part in the United States, unless the passenger equipment: (i) Is being handled in accordance with Secs. 238.15, 238.17, 238.305(d), or 238.503(f), as applicable; (ii) Is in a repair shop or on a repair track; [[Page 540]] (iii) Is on a storage track and is not carrying passengers; or (iv) Has been delivered in interchange but has not been accepted by the receiving railroad. Interior fitting means any component in the passenger compartment which is mounted to the floor, ceiling, sidewalls, or end walls and projects into the passenger compartment more than 25 mm (1 in.) from the surface or surfaces to which it is mounted. Interior fittings do not include side and end walls, floors, door pockets, or ceiling lining materials, for example. Lateral means the horizontal direction perpendicular to the direction of travel. Locomotive means a piece of on-track rail equipment, other than hi- rail, specialized maintenance, or other similar equipment, which may consist of one or more units operated from a single control stand with one or more propelling motors designed for moving other passenger equipment; with one or more propelling motors designed to transport freight or passenger traffic, or both; or without propelling motors but with one or more control stands. This term does not include a locomotive propelled by steam power unless it is used to haul an intercity or commuter passenger train. Nor does this term include a freight locomotive when used to haul a passenger train due to failure of a passenger locomotive. Locomotive cab means the compartment or space on board a locomotive where the control stand is located and which is normally occupied by the engineer when the locomotive is operated. Locomotive, cab car means rail rolling equipment intended to provide transportation for members of the general public that is without propelling motors but equipped with one or more control stands. Locomotive, controlling means the locomotive from which the locomotive engineer exercises control over the train. Locomotive, MU means rail rolling equipment self-propelled by any power source and intended to provide transportation for members of the general public; however, this term does not include an MU locomotive propelled by steam power unless it is used to haul an intercity or commuter passenger train. Longitudinal means in a direction parallel to the normal direction of travel. Luminescent material means material that absorbs light energy when ambient levels of light are high and emits this stored energy when ambient levels of light are low, making the material appear to glow in the dark. L/V ratio means the ratio of the lateral force that any wheel exerts on an individual rail to the vertical force exerted by the same wheel on the rail. MIL-STD-882 means a military standard issued by the United States Department of Defense to provide uniform requirements for developing and implementing a system safety plan and program to identify and then eliminate the hazards of a system or reduce the associated risk to an acceptable level. Mph means miles per hour. 95th-percentile adult male means, except as used in Sec. 238.447(f)(2), a person weighing 215 pounds and possessing the following dimensions: erect sitting height: 38 inches; hip breadth (sitting): 16.5 inches; hip circumference (sitting): 47.2 inches; waist circumference (sitting): 42.5 inches; chest depth: 10.5 inches; and chest circumference 44.5 inches. Occupied volume means the volume of a rail vehicle or passenger train where passengers or crewmembers are normally located during service operation, such as the operating cab and passenger seating and sleeping areas. The entire width of a vehicle's end compartment that contains a control stand is an occupied volume. A vestibule is typically not considered occupied, except when it contains a control stand for use as a control cab. Ordered, as applied to acquisition of equipment, means that the acquiring entity has given a notice to proceed to manufacture the equipment that represents a firm financial commitment to compensate the manufacturer for the contract price of the equipment or for damages if the order is nullified. Equipment is not ordered if future exercise of a contract option is required to place the remanufacturing process in motion. [[Page 541]] Override means to climb over the normal coupling or side buffers and linking mechanism and impact the end of the adjoining rail vehicle or unit above the underframe. Passenger car means rail rolling equipment intended to provide transportation for members of the general public and includes a self- propelled car designed to carry passengers, baggage, mail, or express. This term includes a passenger coach, cab car, and an MU locomotive. In the context of articulated equipment, ``passenger car'' means that segment of the rail rolling equipment located between two trucks. This term does not include a private car. Passenger coach means rail rolling equipment intended to provide transportation for members of the general public that is without propelling motors and without a control stand. Passenger equipment--means (1) All powered and unpowered passenger cars, locomotives used to haul a passenger car, and any other rail rolling equipment used in a train with one or more passenger cars. Passenger equipment includes-- (i) A passenger coach, (ii) A cab car, (iii) A MU locomotive, (iv) A locomotive not intended to provide transportation for a member of the general public that is used to power a passenger train, and (v) Any non-self-propelled vehicle used in a passenger train, including an express car, baggage car, mail car, freight car, or a private car. (2) In the context of articulated equipment, ``passenger equipment'' means a segment of rail rolling equipment located between two trucks that is used in a train with one or more passenger cars. This term does not include a freight locomotive when used to haul a passenger train due to failure of a passenger locomotive. Passenger station means a location designated in a railroad's timetable where passengers are regularly scheduled to get on or off any train. Permanent deformation means the undergoing of a permanent change in shape of a structural member of a rail vehicle. Person means an entity of any type covered under 1 U.S.C. 1, including but not limited to the following: a railroad; a manager, supervisor, official, or other employee or agent of a railroad; any owner, manufacturer, lessor, or lessee of railroad equipment, track, or facilities; any independent contractor providing goods or services to a railroad; and any employee of such owner, manufacturer, lessor, lessee, or independent contractor. Piston travel means the amount of linear movement of the air brake hollow rod (or equivalent) or piston rod when forced outward by movement of the piston in the brake cylinder or actuator and limited by the brake shoes being forced against the wheel or disc. Power car means a rail vehicle that propels a Tier II passenger train or is the lead vehicle in a Tier II passenger train, or both. Pre-revenue service acceptance testing plan means a document, as further specified in Sec. 238.111, prepared by a railroad that explains in detail how pre-revenue service tests of passenger equipment demonstrate that the equipment meets Federal safety standards and the railroad's own safety requirements. Primary responsibility means the task that a person performs during at least 50 percent of the time that the person is working. The totality of the circumstances will be considered on a case-by-case basis in circumstances where an individual does not spend 50 percent of his or her workday engaged in any one readily identifiable type of activity. Time spent supervising employees engaged in the functions of troubleshooting, inspection, testing, maintenance, or repair of train brake and mechanical components and systems covered by this part shall be considered work which is generally consistent with the function of troubleshooting of such systems and components for the purpose of the definition of this term and the definition of ``Qualified Maintenance Person.'' Private car means rail rolling equipment that is used only for excursion, recreational, or private transportation purposes. A private car is not a passenger car. [[Page 542]] Public highway-rail grade crossing means a location where a public highway, road or street, including associated sidewalks or pathways, crosses one or more active railroad tracks at grade. Qualified maintenance person means a qualified person who has received, as a part of the training, qualification, and designation program required under Sec. 238.109, instruction and training that includes ``hands-on'' experience (under appropriate supervision or apprenticeship) in one or more of the following functions: troubleshooting, inspection, testing, maintenance, or repair of the specific train brake and other components and systems for which the person is assigned responsibility. This person shall also possess a current understanding of what is required to properly repair and maintain the safety-critical brake or mechanical components for which the person is assigned responsibility. Further, the qualified maintenance person shall be a person whose primary responsibility includes work generally consistent with the above-referenced functions and is designated to: (1) Conduct Class I brake tests under this part; (2) Conduct exterior calendar day mechanical inspections on MU locomotives or other passenger cars and unpowered vehicles under this part; or (3) Determine whether equipment not in compliance with this part may be moved as required by Sec. 238.17. Qualified person means a person who has received, as a part of the training, qualification, and designation program required under Sec. 238.109, instruction and training necessary to perform one or more functions required under this part. The railroad is responsible for determining that the person has the knowledge and skills necessary to perform the required function for which the person is assigned responsibility. The railroad determines the qualifications and competencies for employees designated to perform various functions in the manner set forth in this part. Although the rule uses the term ``qualified person'' to describe a person responsible for performing various functions required under this part, a person may be deemed qualified to perform some functions but not qualified to perform other functions. For example, although a person may be deemed qualified to perform the Class II brake test required by this part, that same person may or may not be qualified to perform the Class IA brake test or authorize the movement of defective equipment under this part. The railroad will determine the required functions for which an individual will be deemed a ``qualified person'' based upon the instruction and training the individual has received pursuant to Sec. 238.109 on a particular function. Railroad means any form of nonhighway ground transportation that runs on rails or electromagnetic guideways and any entity providing such transportation, including-- (i) Commuter or other short-haul railroad passenger service in a metropolitan or suburban area and commuter railroad service that was operated by the Consolidated Rail Corporation on January 1, 1979; and (ii) High speed ground transportation systems that connect metropolitan areas, without regard to whether those systems use new technologies not associated with traditional railroads; but does not include rapid transit operations in an urban area that are not connected to the general railroad system of transportation. Refresher training means periodic retraining required by a railroad for employees or contractors to remain qualified to perform specific equipment inspection, testing, or maintenance functions. Repair point means a location designated by a railroad where repairs of the type necessary occur on a regular basis. A repair point has, or should have, the facilities, tools, and personnel qualified to make the necessary repairs. A repair point need not be staffed continuously. Respond as intended means to produce the result that a device or system is designed to produce. Rollover strength means the strength provided to protect the structural integrity of a rail vehicle in the event the vehicle leaves the track and impacts the ground on its side or roof. [[Page 543]] Roof rail means the longitudinal structural member at the intersection of the side wall and the roof sheathing. Running brake test means a test (as further specified in Sec. 238.319) performed by a qualified person of a train system or component while the train is in motion to verify that the system or component functions as intended. Running gear defect means any condition not in compliance with this part which involves a truck component, a draft system component, a wheel, or a wheel component. Safety appliance means an appliance required under 49 U.S.C. chapter 203, excluding power brakes. The term includes automatic couplers, hand brakes, sill steps, handholds, handrails, or ladder treads made of steel or a material of equal or greater mechanical strength used by the traveling public or railroad employees that provide a means for safely coupling, uncoupling, or ascending or descending passenger equipment. Safety-critical means a component, system, or task that, if not available, defective, not functioning, not functioning correctly, not performed, or not performed correctly, increases the risk of damage to passenger equipment or injury to a passenger, crewmember, or other person. Semi-permanently coupled means coupled by means of a drawbar or other coupling mechanism that requires tools to perform the uncoupling operation. Coupling and uncoupling of each semi-permanently coupled unit in a train can be performed safely only while at a maintenance or shop location where personnel can safely get under a unit or between units. Semi-monocoque means a type of rail vehicle construction where the shell or skin acts as a single unit with the supporting frame to resist and transmit the loads acting on the rail vehicle. Shear strength means the ability of a structural member to resist forces or components of forces acting perpendicular to compression or tension forces, or both, in the member. Shock absorbent material means material designed to prevent or mitigate injuries due to impact by yielding and absorbing much of the energy of impact. Side posts means main vertical structural elements in the sides of a rail vehicle. Side sill means that portion of the underframe or side at the bottom of the rail vehicle side wall. Single car test means a comprehensive test (as further specified in Sec. 238.311) of the functioning of all critical brake system components installed on an individual passenger car or unpowered vehicle, other than a self-propelled passenger car, used or allowed to be used in a passenger train. Single car test device means a device capable of controlling the application and release of the brakes on an individual passenger car or an unpowered vehicle, other than a self-propelled passenger car, through pneumatic or electrical means. Skin means the outer covering of a fuel tank and a rail vehicle. The skin may be covered with another coating of material such as fiberglass. Spall, glazing means small pieces of glazing that fly off the back surface of the glazing when an object strikes the front surface. Switching service means the classification of freight cars according to commodity or destination; assembling of cars for train movements; changing the position of cars for purposes of loading, unloading, or weighing; placing of locomotives and cars for repair or storage; or moving of rail equipment in connection with work service that does not constitute a train movement. Telescope means override an adjoining rail vehicle or unit and penetrate into the interior of that adjoining vehicle or unit because of compressive forces. Terminal means a starting point or ending point of a single scheduled trip for a train, where passengers may get on or off a train. Normally, this location is a point where the train would reverse direction or change destinations. Tier I means operating at speeds not exceeding 125 mph. Tier II means operating at speeds exceeding 125 mph but not exceeding 150 mph. Tourist, scenic, historic, or excursion operations means railroad operations [[Page 544]] that carry passengers, often using antiquated equipment, with the conveyance of the passengers to a particular destination not being the principal purpose. Train movements of new passenger equipment for demonstration purposes are not tourist, scenic, historic, or excursion operations. Trailer car means a rail vehicle that neither propels a Tier II passenger train nor is the leading unit in a Tier II passenger train. A trailer car is normally without a control stand and is normally occupied by passengers. Train means a locomotive unit or locomotive units coupled, with or without cars. For the purposes of the provisions of this part related to power brakes, the term ``train'' does not include such equipment when being used in switching service. Train brake communication line means the communication link between the locomotive and passenger equipment in a train by which the brake commands are transmitted. This may be a pneumatic pipe, electrical line, or radio signal. Train, commuter means a passenger train providing commuter service within an urban, suburban, or metropolitan area. The term includes a passenger train provided by an instrumentality of a State or a political subdivision of a State. Train, long-distance intercity passenger means a passenger train that provides service between large cities more than 125 miles apart and is not operated exclusively in the National Railroad Passenger Corporation's Northeast Corridor. Train, passenger means a train that transports or is available to transport members of the general public. If a train is composed of a mixture of passenger and freight equipment, that train is a passenger train for purposes of this part. Train, short-distance intercity passenger means a passenger train that provides service exclusively on the National Railroad Passenger Corporation's Northeast Corridor or between cities that are not more than 125 miles apart. Train, Tier II passenger means a short-distance or long-distance intercity passenger train providing service at speeds that include those exceeding 125 mph but not exceeding 150 mph. Trainset, passenger means a passenger train. Transverse means in a direction perpendicular to the normal direction of travel. Ultimate strength means the load at which a structural member fractures or ceases to resist any load. Uncoupling mechanism means the arrangement for operating the coupler by any means. Underframe means the lower horizontal support structure of a rail vehicle. Unit means passenger equipment of any type, except a freight locomotive when used to haul a passenger train due to failure of a passenger locomotive. Unoccupied volume means the volume of a rail vehicle or passenger train which does not contain seating and is not normally occupied by passengers or crewmembers. Vehicle, rail means passenger equipment of any type and includes a car, trailer car, locomotive, power car, tender, or similar vehicle. This term does not include a freight locomotive when used to haul a passenger train due to failure of a passenger locomotive. Vestibule means an area of a passenger car that normally does not contain seating and is used in passing from the seating area to the side exit doors. Witness plate means a thin foil placed behind a piece of glazing undergoing an impact test. Any material spalled or broken from the back side of the glazing will dent or mark the witness plate. Yard means a system of tracks within defined limits provided for the making up of trains, storing of cars, or other purposes. Yard air test means a train brake system test conducted using a source of compressed air other than a locomotive. Yield strength means the ability of a structural member to resist a change in length caused by a heavy load. Exceeding the yield strength may cause permanent deformation of the member. [64 FR 25660, May 12, 1999, as amended at 65 FR 41305, July 3, 2000; 67 FR 19989, Apr. 23, 2002] [[Page 545]] Sec. 238.7 Waivers. (a) A person subject to a requirement of this part may petition the Administrator for a waiver of compliance with such requirement. The filing of such a petition does not affect the person's responsibility for compliance with that requirement while the petition is being considered. (b) Each petition for waiver under this section shall be filed in the manner and contain the information required by part 211 of this chapter. (c) If the Administrator finds that a waiver of compliance is in the public interest and is consistent with railroad safety, the Administrator may grant the waiver subject to any conditions the Administrator deems necessary. Sec. 238.9 Responsibility for compliance. (a) A railroad subject to this part shall not-- (1) Use, haul, permit to be used or hauled on its line, offer in interchange, or accept in interchange any train or passenger equipment, while in service, (i) That has one or more conditions not in compliance with a safety appliance or power brake provision of this part; or (ii) That has not been inspected and tested as required by a safety appliance or power brake provision of this part; or (2) Use, haul, offer in interchange, or accept in interchange any train or passenger equipment, while in service, (i) That has one or more conditions not in compliance with a provision of this part, other than the safety appliance and power brake provisions of this part, if the railroad has actual knowledge of the facts giving rise to the violation, or a reasonable person acting in the circumstances and exercising reasonable care would have that knowledge; or (ii) That has not been inspected and tested as required by a provision of this part, other than the safety appliance and power brake provisions of this part, if the railroad has actual knowledge of the facts giving rise to the violation, or a reasonable person acting in the circumstances and exercising reasonable care would have that knowledge; or (3) Violate any other provision of this part. (b) For purposes of this part, passenger equipment will be considered in use prior to departure but after it has received, or should have received, the inspection required under this part for movement and is deemed ready for passenger service. (c) Although the duties imposed by this part are generally stated in terms of the duty of a railroad, any person as defined in Sec. 238.5, including a contractor for a railroad, who performs any function covered by this part must perform that function in accordance with this part. Sec. 238.11 Penalties. (a) Any person, as defined in Sec. 238.5, who violates any requirement of this part or causes the violation of any such requirement is subject to a civil penalty of at least $500 and not more than $11,000 per violation, except that: Penalties may be assessed against individuals only for willful violations, and, where a grossly negligent violation or a pattern of repeated violations has created an imminent hazard of death or injury to persons, or has caused death or injury, a penalty not to exceed $22,000 per violation may be assessed. Each day a violation continues shall constitute a separate offense. See appendix A to this part for a statement of agency civil penalty policy. (b) Any person who knowingly and willfully falsifies a record or report required by this part may be subject to criminal penalties under 49 U.S.C. 21311. Sec. 238.13 Preemptive effect. Under 49 U.S.C. 20106, issuance of the regulations in this part preempts any State law, regulation, or order covering the same subject matter, except an additional or more stringent law, regulation, or order that is necessary to eliminate or reduce an essentially local safety hazard; that is not incompatible with a law, regulation, or order of the United States Government; and that does not unreasonably burden interstate commerce. [[Page 546]] Sec. 238.15 Movement of passenger equipment with power brake defects. Beginning on January 1, 2002, the following provisions of this section apply to railroads operating Tier I passenger equipment covered by this part. A railroad may request earlier application of these requirements upon written notification to FRA's Associate Administrator for Safety as provided in Sec. 238.1(c) of this part. (a) General. This section contains the requirements for moving passenger equipment with a power brake defect without liability for a civil penalty under this part. Railroads remain liable for the movement of passenger equipment under 49 U.S.C. 20303(c). For purposes of this section, Sec. 238.17, and Sec. 238.503, a ``power brake defect'' is a condition of a power brake component, or other primary brake component, that does not conform with this part. (Passenger cars and other passenger equipment classified as locomotives under part 229 of this chapter are also covered by the movement restrictions contained in Sec. 229.9 of this chapter for those defective conditions covered by part 229 of this chapter.) (b) Limitations on movement of passenger equipment containing a power brake defect at the time a Class I or IA brake test is performed. Except as provided in paragraph (c) of this section (which addresses brakes that become defective en route after a Class I or IA brake test was performed), a commuter or passenger train that has in its consist passenger equipment containing a power brake defect at the time that a Class I or IA brake test (or, for Tier II trains, the equivalent) is performed may only be moved, without civil penalty liability under this part-- (1) If all of the following conditions are met: (i) The train is moved for purposes of repair, without passengers; (ii) The applicable operating restrictions in paragraphs (d) and (e) of this section are observed; and (iii) The passenger equipment is tagged, or information is recorded, as prescribed in paragraph (c)(2) of this section; or (2) If the train is moved for purposes of scrapping or sale of the passenger equipment that has the power brake defect and all of the following conditions are met: (i) The train is moved without passengers; (ii) The movement is at a speed of 15 mph or less; and (iii) The movement conforms with the railroad's air brake or power brake instructions. (c) Limitations on movement of passenger equipment in passenger service that becomes defective en route after a Class I or IA brake test. Passenger equipment hauled or used in service in a commuter or passenger train that develops inoperative or ineffective power brakes or any other power brake defect while en route to another location after receiving a Class I or IA brake test (or, for Tier II trains, the equivalent) may be hauled or used by a railroad for repair, without civil penalty liability under this part, if the applicable operating restrictions set forth in paragraphs (d) and (e) of this section are complied with and all of the following requisites are satisfied: (1) En route defect. At the time of the train's Class I or IA brake test, the passenger equipment in the train was properly equipped with power brakes that comply with this part. The power brakes on the passenger equipment become defective while it is en route to another location. (2) Record. A tag or card is placed on both sides of the defective passenger equipment, or an automated tracking system is provided, with the following information about the defective passenger equipment: (i) The reporting mark and car or locomotive number; (ii) The name of the inspecting railroad; (iii) The name of the inspector; (iv) The inspection location and date; (v) The nature of each defect; (vi) The destination of the equipment where it will be repaired; and (vii) The signature, if possible, and job title of the person reporting the defective condition. (3) Automated tracking system. Automated tracking systems used to meet the tagging requirements contained in paragraph (c)(2) of this section may be reviewed and monitored by FRA at any [[Page 547]] time to ensure the integrity of the system. FRA's Associate Administrator for Safety may prohibit or revoke a railroad's ability to utilize an automated tracking system in lieu of tagging if FRA finds that the automated tracking system is not properly secure, is inaccessible to FRA or a railroad's employees, or fails to adequately track or monitor the movement of defective equipment. Such a determination will be made in writing and will state the basis for such action. (4) Conditional requirement. In addition, if an en route failure causes power brakes to be cut out or renders the brake inoperative on passenger equipment, the railroad shall: (i) Determine the percentage of operative power brakes in the train based on the number of brakes known to be cut out or otherwise inoperative, using the formula specified in paragraph (d)(1) of this section; (ii) Notify the person responsible for the movement of trains of the percent of operative brakes and movement restrictions on the train imposed by paragraph (d) of this section; (iii) Notify the mechanical department of the failure; and (iv) Confirm the percentage of operative brakes by a walking inspection at the next location where the railroad reasonably judges that it is safe to do so. (d) Operating restrictions based on percent operative power brakes in train. (1) Computation of percent operative power brakes.(i) Except as specified in paragraphs (d)(1)(ii) and (iii) of this section, the percentage of operative power brakes in a train shall be determined by dividing the number of axles in the train with operative power brakes by the total number of axles in the train. (ii) For trains equipped with only tread brake units (TBUs), the percentage of operative power brakes shall be determined by dividing the number of operative TBUs by the total number of TBUs in the train. (iii) Each cut-out axle on a locomotive that weighs more than 200,000 pounds shall be counted as two cut-out axles for the purposes of calculating the percentage of operative brakes. Unless otherwise specified by the railroad, the friction braking effort over all other axles shall be considered uniform. (iv) The following brake conditions not in compliance with this part do not render power brakes inoperative for purposes of this calculation: (A) Failure or cutting out of secondary brake systems; (B) Inoperative or otherwise defective handbrakes or parking brakes; (C) Piston travel that is in excess of the Class I brake test limits required in Sec. 238.313 but that does not exceed the maximum prescribed limits for considering the brakes to be effective; and (D) Power brakes overdue for inspection, testing, maintenance, or stenciling under this part. (2) All passenger trains developing 50-74 percent operative power brakes. A passenger train that develops inoperative power brake equipment resulting in at least 50 percent but less than 75 percent operative power brakes may be used only as follows: (i) The train may be moved in passenger service only to the next forward passenger station; (ii) The speed of the train shall be restricted to 20 mph or less; and (iii) After all passengers are discharged, the defective equipment shall be moved to the nearest location where the necessary repairs can be made. (3) Commuter, short-distance intercity, and short-distance Tier II passenger trains developing 75-99 percent operative power brakes. (i) 75-84 percent operative brakes. Commuter, short-distance intercity, and short-distance Tier II passenger trains which develop inoperative power brake equipment resulting in at least 75 percent but less than 85 percent operative brakes may be used only as follows: (A) The train may be moved in passenger service only to the next forward location where the necessary repairs can be made; however, if the next forward location where the necessary repairs can be made does not have the facilities to handle the safe unloading of passengers, the train may be moved past the repair location in service only to the next forward passenger station in order to facilitate the unloading of passengers; and (B) The speed of the train shall be restricted to 50 percent of the train's [[Page 548]] maximum allowable speed or 40 mph, whichever is less; and (C) After all passengers are discharged, the defective equipment shall be moved to the nearest location where the necessary repairs can be made. (ii) 85-99 percent operative brakes. Commuter, short-distance intercity, and short-distance Tier II passenger trains which develop inoperative power brake equipment resulting in at least 85 percent but less than 100 percent operative brakes may only be used as follows: (A) The train may be moved in passenger service only to the next forward location where the necessary repairs can be made; however, if the next forward location where the necessary repairs can be made does not have the facilities to handle the safe unloading of passengers, the train may be moved past the repair location in service only to the next forward passenger station in order to facilitate the unloading of passengers; and (B) After all passengers are discharged, the defective equipment shall be moved to the nearest location where the necessary repairs can be made. (4) Long-distance intercity and long-distance Tier II passenger trains developing 75-99 operative power brakes. (i) 75-84 percent operative brakes. Long-distance intercity and long-distance Tier II passenger trains which develop inoperative power brake equipment resulting in at least 75 percent but less than 85 percent operative brakes may be used only if all of the following restrictions are observed: (A) The train may be moved in passenger service only to the next forward repair location identified for repair of that equipment by the railroad operating the equipment in the list required by Sec. 238.19(d); however, if the next forward repair location does not have the facilities to handle the safe unloading of passengers, the train may be moved past the designated repair location in service only to the next forward passenger station in order to facilitate the unloading of passengers; and (B) The speed of the train shall be restricted to 50 percent of the train's maximum allowable speed or 40 mph, whichever is less; and (C) After all passengers are discharged, the defective equipment shall be moved to the nearest location where the necessary repairs can be made. (ii) 85-99 percent operative brakes. Long-distance intercity and long-distance Tier II passenger trains which develop inoperative power brake equipment resulting in at least 85 percent but less than 100 percent operative brakes may be used only if all of the following restrictions are observed: (A) The train may be moved in passenger service only to the next forward repair location identified for repair of that equipment by the railroad operating the equipment in the list required by Sec. 238.19(d); however, if the next forward repair location does not have the facilities to handle the safe unloading of passengers, the train may be moved past the designated repair location in service only to the next forward passenger station in order to facilitate the unloading of passengers; and (B) After all passengers are discharged, the defective equipment shall be moved to the nearest location where the necessary repairs can be made. (e) Operating restrictions on passenger trains with inoperative power brakes on the front or rear unit. If the power brakes on the front or rear unit in any passenger train are completely inoperative the following shall apply: (1) If the handbrake is located inside the interior of the car: (i) A qualified person shall be stationed at the handbrake on the unit; (ii) The car shall be locked-out and empty except for the railroad employee manning the handbrake; and (iii) Appropriate speed restrictions shall be placed on the train by a qualified person; (2) If the handbrake is located outside the interior of the car or is inaccessible to a qualified person: (i) The car shall be locked-out and empty; (ii) The speed of the train shall be restricted to 20 mph or less; and (iii) The car shall be removed from the train or repositioned in the train at the first location where it is possible to do so. [[Page 549]] (f) Special Notice for Repair. Nothing in this section authorizes the movement of passenger equipment subject to a Special Notice for Repair under part 216 of this chapter unless the movement is made in accordance with the restrictions contained in the Special Notice. [64 FR 25660, May 12, 1999, as amended at 65 FR 41306, July 3, 2000; 67 FR 19990, Apr. 23, 2002] Sec. 238.17 Movement of passenger equipment with other than power brake defects. Beginning on January 1, 2002, the following provisions of this section apply to railroads operating Tier I passenger equipment covered by this part. A railroad may request earlier application of these requirements upon written notification to FRA's Associate Administrator for Safety as provided in Sec. 238.1(c) of this part. (a) General. This section contains the requirements for moving passenger equipment with other than a power brake defect. (Passenger cars and other passenger equipment classified as locomotives under part 229 of this chapter are also covered by the movement restrictions contained in Sec. 229.9 of this chapter for those defective conditions covered by part 229 of this chapter.) (b) Limitations on movement of passenger equipment containing defects found at time of calendar day inspection. Except as provided in Secs. 238.303(e)(15), 238.305(c) and (d), and 238.307(c)(1), passenger equipment containing a condition not in conformity with this part at the time of its calendar day mechanical inspection may be moved from that location for repair if all of the following conditions are satisfied: (1) If the condition involves a running gear defect, the defective equipment is not used in passenger service and is moved in a non-revenue train; (2) If the condition involves a non-running gear defect, the defective equipment may be used in passenger service in a revenue train provided that a qualified maintenance person determines that it is safe to do so, and if so, the car is locked out and empty, and all movement restrictions are observed except that the car may be occupied by a member of the train crew or a railroad employee to the extent necessary to safely operate the train; (3) The requirements of paragraphs (c)(3) and (c)(4) of this section are met; and (4) The special requirements of paragraph (e) of this section, if applicable, are met. (c) Limitations on movement of passenger equipment that develops defects en route. Except as provided in Secs. 238.303(e)(15), 238.307(c)(1), and 238.503(f), passenger equipment that develops en route to its destination, after its calendar day mechanical inspection is performed and before its next calendar day mechanical inspection is performed, any condition not in compliance with this part, other than a power brake defect, may be moved only if the railroads complies with all of the following requirements or, if applicable, the special requirements in paragraph (e) of this section: (1) Prior to movement of equipment with a potential running gear defect, a qualified maintenance person shall determine if it is safe to move the equipment in passenger service and, if so, the maximum speed and other restrictions necessary for safely conducting the movement. If appropriate, these determinations may be made based upon a description of the defective condition provided by a crewmember. If the determinations required by this paragraph are made by an off-site qualified maintenance person based on a description of the defective condition by on-site personnel, then a qualified maintenance person shall perform a physical inspection of the defective equipment, at the first location possible, to verify the description of the defect provided by the on-site personnel. (2) Prior to movement of equipment with a non-running gear defect, a qualified person or a qualified maintenance person shall determine if it is safe to move the equipment in passenger service and, if so, the maximum speed and other restrictions necessary for safely conducting the movement. If appropriate, these determinations may be made based upon a description of the defective condition provided by the on-site personnel. (3) Prior to movement of any defective equipment, the qualified person or [[Page 550]] qualified maintenance person shall notify the crewmember in charge of the movement of the defective equipment, who in turn shall inform all other crewmembers of the presence of the defective condition(s) and the maximum speed and other restrictions determined under paragraph (c)(1) or (c)(2) of this section. The movement shall be made in conformance with such restrictions. (4) The railroad shall maintain a record of all defects reported and their subsequent repair in the defect tracking system required in Sec. 238.19. In addition, prior to movement of the defective equipment, a tag or card placed on both sides of the defective equipment, or an automated tracking system, shall record the following information about the defective equipment: (i) The reporting mark and car or locomotive number; (ii) The name of the inspecting railroad; (iii) The name of the inspector, inspection location, and date; (iv) The nature of each defect; (v) Movement restrictions and safety restrictions, if any; (vi) The destination of the equipment where it will be repaired; and (vii) The signature, if possible, as well as the job title and location of the person making the determinations required by this section. (5) Automated tracking system. Automated tracking systems used to meet the tagging requirements contained in paragraph (c)(4) of this section may be reviewed and monitored by FRA at any time to ensure the integrity of the system. FRA's Associate Administrator for Safety may prohibit or revoke a railroad's ability to utilize an automated tracking system in lieu of tagging if FRA finds that the automated tracking system is not properly secure, is inaccessible to FRA or a railroad's employees, or fails to adequately track or monitor the movement of defective equipment. Such a determination will be made in writing and will state the basis for such action. (6) After a qualified maintenance person or a qualified person verifies that the defective equipment is safe to remain in service as required in paragraphs (c)(1) and (c)(2) of this section, the defective equipment that develops a condition not in compliance with this part while en route may continue in passenger service not later than the next calendar day mechanical inspection, if the requirements of this paragraph are otherwise fully met. (d) Inspection of roller bearings on equipment involved in a derailment. (1) A railroad shall not continue passenger equipment in service that has a roller bearing whose truck was involved in a derailment unless the bearing has been inspected and tested in accordance with the railroad's procedures for handling defective equipment. (2) The roller bearing shall be disassembled from the axle and inspected internally if: (i) It shows any external sign of damage; (ii) It makes any unusual noise when its wheel set is spun freely (an on-track rolling test is acceptable) or when the bearing is manually rotated; (iii) Its truck was involved in a derailment at a speed of more than 10 miles per hour; or (iv) Its truck was dragged on the ground for more than 100 feet. (e) Special requisites for movement of passenger equipment with safety appliance defects. Consistent with 49 U.S.C. 20303, passenger equipment with a safety appliance not in compliance with this part or with part 231 of this chapter, if applicable, may be moved-- (1) If necessary to effect repair of the safety appliance; (2) From the point where the safety appliance defect was first discovered by the railroad to the nearest available location on the railroad where the necessary repairs required to bring the passenger equipment into compliance can be made or, at the option of the receiving railroad, the equipment may be received and hauled for repair to a point on the receiving railroad's line that is no farther than the point on the delivering railroad's line where the repair of the defect could have been made; (3) If a tag placed on both sides of the passenger equipment or an automated tracking system contains the information required under paragraph (c)(4) of this section; and [[Page 551]] (4) After notification of the crewmember in charge of the movement of the defective equipment, who in turn shall inform all other crewmembers of the presence of the defective condition(s). (f) Special Notice for Repair. Nothing in this section authorizes the movement of equipment subject to a Special Notice for Repair under part 216 of this chapter unless the movement is made in accordance with the restrictions contained in the Special Notice. [64 FR 25660, May 12, 1999, as amended at 65 FR 41306, July 3, 2000] Sec. 238.19 Reporting and tracking of repairs to defective passenger equipment. (a) General. Beginning on January 1, 2002, each railroad shall have in place a reporting and tracking system for passenger equipment with a defect not in conformance with this part. A railroad may request earlier application of these requirements upon written notification to FRA's Associate Administrator for Safety as provided in Sec. 238.1(c) of this part. The reporting and tracking system shall record the following information: (1) The identification number of the defective equipment; (2) The date the defect was discovered; (3) The nature of the defect; (4) The determination made by a qualified person or qualified maintenance person on whether the equipment is safe to run; (5) The name of the qualified person or qualified maintenance person making such a determination; (6) Any operating restrictions placed on the equipment; and (7) Repairs made and the date that they were made. (b) Retention of records. At a minimum, each railroad shall keep the records described in paragraph (a) of this section for one periodic maintenance interval for each specific type of equipment as described in the railroad's inspection, testing, and maintenance plan required by Sec. 238.107. FRA strongly encourages railroads to keep these records for longer periods of time because they form the basis for future reliability-based decisions concerning test and maintenance intervals that may be developed pursuant to Sec. 238.307(b). (c) Availability of records. Railroads shall make defect reporting and tracking records available to FRA upon request. (d) List of power brake repair points. Railroads operating long- distance intercity and long-distance Tier II passenger equipment shall designate locations, in writing, where repairs to passenger equipment with a power brake defect will be made and shall provide the list to FRA's Associate Administrator for Safety and make it available to FRA for inspection and copying upon request. Railroads operating these trains shall designate a sufficient number of repair locations to ensure the safe and timely repair of passenger equipment. These designations shall not be changed without at least 30 days' advance written notice to FRA's Associate Administrator for Safety. [64 FR 25660, May 12, 1999, as amended at 65 FR 41306, July 3, 2000] Sec. 238.21 Special approval procedure. (a) General. The following procedures govern consideration and action upon requests for special approval of alternative standards under Secs. 238.103, 238.223, 238.309, 238.311, 238.405, or 238.427; for approval of alternative compliance under Sec. 238.201; and for special approval of pre-revenue service acceptance testing plans as required by Sec. 238.111. (Requests for approval of programs for the inspection, testing, and maintenance of Tier II passenger equipment are governed by Sec. 238.505.) (b) Petitions for special approval of alternative standard. Each petition for special approval of an alternative standard shall contain-- (1) The name, title, address, and telephone number of the primary person to be contacted with regard to review of the petition; (2) The alternative proposed, in detail, to be substituted for the particular requirements of this part; (3) Appropriate data or analysis, or both, establishing that the alternative will provide at least an equivalent level of safety; and [[Page 552]] (4) A statement affirming that the railroad has served a copy of the petition on designated representatives of its employees, together with a list of the names and addresses of the persons served. (c) Petitions for special approval of alternative compliance. Each petition for special approval of alternative compliance shall contain-- (1) The name, title, address, and telephone number of the primary person to be contacted with regard to the petition; (2) The elements prescribed in Sec. 238.201(b); and (3) A statement affirming that the railroad has served a copy of the petition on designated representatives of its employees, together with a list of the names and addresses of the persons served. (d) Petitions for special approval of pre-revenue service acceptance testing plan. (1) Each petition for special approval of a pre-revenue service acceptance testing plan shall contain-- (i) The name, title, address, and telephone number of the primary person to be contacted with regard to review of the petition; and (ii) The elements prescribed in Sec. 238.111. (2) Three copies of each petition for special approval of the pre- revenue service acceptance testing plan shall be submitted to the Associate Administrator for Safety, Federal Railroad Administration, 1120 Vermont Ave., N.W., Mail Stop 25, Washington, D.C. 20590. (e) Federal Register notice. FRA will publish a notice in the Federal Register concerning each petition under paragraphs (b) and (c) of this section. (f) Comment. Not later than 30 days from the date of publication of the notice in the Federal Register concerning a petition under paragraphs (b) and (c) of this section, any person may comment on the petition. (1) Each comment shall set forth specifically the basis upon which it is made, and contain a concise statement of the interest of the commenter in the proceeding. (2) Each comment shall be submitted to the DOT Central Docket Management System, Nassif Building, Room Pl-401, 400 Seventh Street, S.W., Washington, D.C. 20590, and shall contain the assigned docket number for that proceeding. The form of such submission may be in written or electronic form consistent with the standards and requirements established by the Central Docket Management System and posted on its web site at http://dms.dot.gov. (g) Disposition of petitions. (1) FRA will conduct a hearing on a petition in accordance with the procedures provided in Sec. 211.25 of this chapter. (2) If FRA finds that the petition complies with the requirements of this section or that the proposed plan is acceptable or changes are justified, or both, the petition will be granted, normally within 90 days of its receipt. If the petition is neither granted nor denied within 90 days, the petition remains pending for decision. FRA may attach special conditions to the approval of the petition. Following the approval of a petition, FRA may reopen consideration of the petition for cause stated. (3) If FRA finds that the petition does not comply with the requirements of this section, or that the proposed plan is not acceptable or that the proposed changes are not justified, or both, the petition will be denied, normally within 90 days of its receipt. (4) When FRA grants or denies a petition, or reopens consideration of the petition, written notice is sent to the petitioner and other interested parties. [64 FR 25660, May 12, 1999, as amended at 64 FR 70196, Dec. 16, 1999] Sec. 238.23 Information collection. (a) The information collection requirements of this part were reviewed by the Office of Management and Budget pursuant to the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et. seq.) and are assigned OMB control number 2130-0544. (b) The information collection requirements are found in the following sections: Secs. 238.1, 238.7, 238.11, 238.15, 238.17, 238.19, 238.21, 238.103, 238.105, 238.107, 238.109, 238.111, 238.201, 238.203, 238.211, 238.223, 238.231, 238.237, 238.301, 238.303, 238.305, 238.307, 238.309, 238.311, 238.313, 238.315, 238.317, 238.403, 238.405, 238.421, 238.423, 238.427, 238.431, 238.437, [[Page 553]] 238.441, 238.445, 238.447, 238.503, 238.505, and 238.603. Subpart B--Safety Planning and General Requirements Sec. 238.101 Scope. This subpart contains safety planning and general safety requirements for all railroad passenger equipment subject to this part. Sec. 238.103 Fire safety. (a) Materials. (1) Materials used in constructing a passenger car or a cab of a locomotive ordered on or after September 8, 2000, or placed in service for the first time on or after September 9, 2002, shall meet the test performance criteria for flammability and smoke emission characteristics as specified in Appendix B to this part, or alternative standards issued or recognized by an expert consensus organization after special approval of FRA under Sec. 238.21. (2) On or after November 8, 1999, materials introduced in a passenger car or a locomotive cab, as part of any kind of rebuild, refurbishment, or overhaul of the car or cab, shall meet the test performance criteria for flammability and smoke emission characteristics as specified in Appendix B to this part, or alternative standards issued or recognized by an expert consensus organization after special approval of FRA under Sec. 238.21. (3) For purposes of complying with the requirements of this paragraph, a railroad may rely on the results of tests of material conducted in accordance with the standards and performance criteria for flammabilitiy and smoke emission characteristics as specified in Appendix B to this part in effect on July 12, 1999 (see 49 CFR parts 200-399, revised as of October 1, 1999), if prior to June 25, 2002 the material is-- (i) Installed in a passenger car or locomotive; (ii) Held in inventory by the railroad; or (iii) Ordered by the railroad. (b) Certification. A railroad shall require certification that a representative sample of combustible materials to be-- (1) Used in constructing a passenger car or a locomotive cab, or (2) Introduced in a passenger car or a locomotive cab, as part of any kind of rebuild, refurbishment, or overhaul of the car or cab, has been tested by a recognized independent testing laboratory and that the results show the representative sample complies with the requirements of paragraph (a) of this section at the time it was tested. (c) Fire safety analysis for procuring new passenger cars and locomotives. In procuring new passenger cars and locomotives, each railroad shall ensure that fire safety considerations and features in the design of this equipment reduce the risk of personal injury caused by fire to an acceptable level in its operating environment using a formal safety methodology such as MIL-STD-882. To this end, each railroad shall complete a written fire safety analysis for the passenger equipment being procured. In conducting the analysis, the railroad shall-- (1) Identify, analyze, and prioritize the fire hazards inherent in the design of the equipment. (2) Take effective steps to design the equipment and select materials which help provide sufficient fire resistance to reasonably ensure adequate time to detect a fire and safely evacuate the passengers and crewmembers, if a fire cannot be prevented. Factors to consider include potential ignition sources; the type, quantity, and location of the materials; and availability of rapid and safe egress to the exterior of the equipment under conditions secure from fire, smoke, and other hazards. (3) Reasonably ensure that a ventilation system in the equipment does not contribute to the lethality of a fire. (4) Identify in writing any train component that is a risk of initiating fire and which requires overheat protection. An overheat detector shall be installed in any component when the analysis determines that an overheat detector is necessary. (5) Identify in writing any unoccupied train compartment that contains equipment or material that poses a fire hazard, and analyze the benefit provided by including a fire or smoke detection system in each compartment so identified. A fire or smoke detector shall be installed in any unoccupied [[Page 554]] compartment when the analysis determines that such equipment is necessary to ensure sufficient time for the safe evacuation of passengers and crewmembers from the train. For purposes of this section, an unoccupied train compartment means any part of the equipment structure that is not normally occupied during operation of the train, including a closet, baggage compartment, food pantry, etc. (6) Determine whether any occupied or unoccupied space requires a portable fire extinguisher and, if so, the proper type and size of the fire extinguisher for each location. As required by Sec. 239.101 of this chapter, each passenger car is required to have a minimum of one portable fire extinguisher. If the analysis performed indicates that one or more additional portable fire extinguishers are needed, such shall be installed. (7) On a case-by-case basis, analyze the benefit provided by including a fixed, automatic fire-suppression system in any unoccupied train compartment that contains equipment or material that poses a fire hazard, and determine the proper type and size of the automatic fire- suppression system for each such location. A fixed, automatic fire- suppression system shall be installed in any unoccupied compartment when the analysis determines that such equipment is practical and necessary to ensure sufficient time for the safe evacuation of passengers and crewmembers from the train. (8) Explain how safety issues are resolved in the design of the equipment and selection of materials to reduce the risk of each fire hazard. (9) Describe the analysis and testing necessary to demonstrate that the fire protection approach taken in the design of the equipment and selection of materials meets the fire protection requirements of this part. (d) Fire safety analysis for existing passenger cars and locomotives. (1) Not later than January 10, 2001, each passenger railroad shall complete a preliminary fire safety analysis for each category of existing passenger cars and locomotives and rail service. (2) Not later than July 10, 2001, each such railroad shall-- (i) Complete a final fire safety analysis for any category of existing passenger cars and locomotives and rail service evaluated during the preliminary fire safety analysis as likely presenting an unacceptable risk of personal injury. In conducting the analysis, the railroad shall consider the extent to which materials comply with the test performance criteria for flammability and smoke emission characteristics as specified in Appendix B to this part or alternative standards approved by FRA under this part. (ii) Take remedial action to reduce the risk of personal injuries to an acceptable level in any such category, if the railroad finds the risk to be unacceptable. In considering remedial action, a railroad is not required to replace material found not to comply with the test performance criteria for flammability and smoke emission characteristics required by this part, if: (A) The risk of personal injuries from the material is negligible based on the railroad's operating environment and the material's size, or location, or both; or (B) The railroad takes alternative action which reduces the risk of personal injuries to an acceptable level. (3) Not later than July 10, 2003, each such railroad shall-- (i) Complete a final fire safety analysis for all categories of existing passenger cars and locomotives and rail service. In completing this analysis, the railroad shall, as far as practicable, determine the extent to which remaining materials comply with the test performance criteria for flammability and smoke emission characteristics as specified in Appendix B to this part or alternative standards approved by FRA under this part. (ii) Take remedial action to reduce the risk of personal injuries to an acceptable level in any such category, if the railroad finds the risk to be unacceptable. In considering remedial action, a railroad is not required to replace material found not to comply with the test performance criteria for flammability and smoke emission characteristics required by this part, if: [[Page 555]] (A) The risk of personal injuries from the material is negligible based on the railroad's operating environment and the material's size, or location, or both; or (B) The railroad takes alternative action which reduces the risk of personal injuries to an acceptable level. (4) Where possible prior to transferring existing passenger cars and locomotives to a new category of rail service, but in no case more than 90 days following such a transfer, the passenger railroad shall complete a new fire safety analysis taking into consideration the change in railroad operations and shall effect prompt action to reduce any identified risk to an acceptable level. (5) As used in this paragraph, a ``category of existing passenger cars and locomotives and rail service'' shall be determined by the railroad based on relevant fire safety risks, including available ignition sources, presence or absence of heat/smoke detection systems, known variations from the required material test performance criteria or alternative standards approved by FRA, and availability of rapid and safe egress to the exterior of the vehicle under conditions secure from fire, smoke, and other hazards. (e) Inspection, testing, and maintenance. Each railroad shall develop and adopt written procedures for the inspection, testing, and maintenance of all fire safety systems and fire safety equipment on the passenger equipment it operates. The railroad shall comply with those procedures that it designates as mandatory for the safety of the equipment and its occupants. [64 FR 25660, May 12, 1999, as amended at 67 FR 42909, June 25, 2002] Sec. 238.105 Train electronic hardware and software safety. The requirements of this section apply to electronic hardware and software used to control or monitor safety functions in passenger equipment ordered on or after September 8, 2000, and such components implemented or materially modified in new or existing passenger equipment on or after September 9, 2002. (a) The railroad shall develop and maintain a written hardware and software safety program to guide the design, development, testing, integration, and verification of software and hardware that controls or monitors equipment safety functions. (b) The hardware and software safety program shall be based on a formal safety methodology that includes a Failure Modes, Effects, Criticality Analysis (FMECA); verification and validation testing for all hardware and software components and their interfaces; and comprehensive hardware and software integration testing to ensure that the hardware and software system functions as intended. (c) The hardware and software safety program shall include a description of how the following will be accomplished, achieved, carried out, or implemented to ensure safety and reliability: (1) The hardware and software design process; (2) The hardware and software design documentation; (3) The hardware and software hazard analysis; (4) Hardware and software safety reviews; (5) Hardware and software hazard monitoring and tracking; (6) Hardware and software integration safety testing; and (7) Demonstration of overall hardware and software system safety as part of the pre-revenue service testing of the equipment. (d) (1) Hardware and software that controls or monitors a train's primary braking system shall either: (i) Fail safely by initiating a full service brake application in the event of a hardware or software failure that could impair the ability of the engineer to apply or release the brakes; or (ii) Access to direct manual control of the primary braking system (both service and emergency braking) shall be provided to the engineer. (2) Hardware and software that controls or monitors the ability to shut down a train's main power and fuel intake system shall either: (i) Fail safely by shutting down the main power and cutting off the intake of fuel in the event of a hardware or software failure that could impair the [[Page 556]] ability of the train crew to command that electronic function; or (ii) The ability to shut down the main power and fuel intake by non- electronic means shall be provided to the train crew. (e) The railroad shall comply with the elements of its hardware and software safety program that affect the safety of the passenger equipment. [67 FR 19990, Apr. 23, 2002] Sec. 238.107 Inspection, testing, and maintenance plan. (a) General. Beginning on January 1, 2002, the following provisions of this section apply to railroads operating Tier I passenger equipment covered by this part. A railroad may request earlier application of these requirements upon written notification to FRA's Associate Administrator for Safety as provided in Sec. 238.1(c). (b) Each railroad shall develop, and provide to FRA upon request, a detailed inspection, testing, and maintenance plan consistent with the requirements of this part. This plan shall include a detailed description of the following: (1) Inspection procedures, intervals, and criteria; (2) Test procedures and intervals; (3) Scheduled preventive maintenance intervals; (4) Maintenance procedures; and (5) Special testing equipment or measuring devices required to perform inspections and tests. (c) The inspection, testing, and maintenance plan required by this section is not intended to address and should not include procedures to address employee working conditions that arise in the course of conducting the inspections, tests, and maintenance set forth in the plan. When requesting a copy of the railroad's plan, FRA does not intend to review any portion of the plan that relates to employee working conditions. (d) The inspection, testing, and maintenance plan required by this section shall be reviewed by the railroad annually. [64 FR 25660, May 12, 1999, as amended at 65 FR 41307, July 3, 2000] Sec. 238.109 Training, qualification, and designation program. (a) Beginning on January 1, 2002, each railroad shall have adopted a training, qualification, and designation program for employees and contractors that perform any of the inspections, tests, or maintenance required by this part, and shall have trained such employees and contractors in accordance with the program. A railroad may request earlier application of these requirements upon written notification to FRA's Associate Administrator for Safety as provided in Sec. 238.1(c). For purposes of this section, a ``contractor'' is defined as a person under contract with the railroad or an employee of a person under contract with the railroad to perform any of the tasks required by this part. (b) As part of this program, the railroad shall, at a minimum: (1) Identify the tasks related to the inspection, testing, and maintenance required by this part that must be performed on each type of equipment that the railroad operates; (2) Develop written procedures for the performance of the tasks identified in paragraph (b)(1) of this section; (3) Identify the skills and knowledge necessary to perform each task identified in paragraph (b)(1) of this section; (4) Adopt a training curriculum that includes classroom and ``hands- on'' lessons designed to impart the skills and knowledge identified as necessary to perform each task identified in paragraph (b)(1) of this section. The training curriculum shall specifically address the Federal regulatory requirements contained in this part that are related to the performance of the tasks identified; (5) Require all employees and contractors to successfully complete the training course that covers the equipment and tasks for which they are responsible that are required by this part as well as the specific Federal regulatory requirements contained in this part related to equipment and tasks for which they are responsible; (6) Require all employees and contractors to pass either a written or an oral examination covering the equipment and tasks for which they are responsible that are required by this part [[Page 557]] as well as the specific Federal regulatory requirements contained in this part related to equipment and tasks for which they are responsible; (7) Require all employees and contractors to individually demonstrate ``hands-on'' capability to successfully perform the tasks required by this part that must be performed as part of their duties on the type equipment to which they are assigned; (8) Require supervisors to complete the program that covers the employees whom they supervise, including refresher training; (9) Require supervisors to exercise oversight to ensure that all the identified tasks are performed in accordance with the railroad's written procedures; (10) Designate in writing that each employee and contractor has the knowledge and skills necessary to perform the safety-related tasks that are part of his or her job; (11) Require periodic refresher training, at an interval not to exceed three years, that includes classroom and ``hands-on'' training, as well as testing; except, employees and contractors that have completed their initial training under this part prior to January 1, 2002, shall not be required to complete their first periodic refresher training until four years after the completion of their initial training, and every three years thereafter; (12) Add new equipment to the qualification and designation program prior to its introduction to revenue service; and (13) Maintain records adequate to demonstrate that each employee and contractor performing safety-related tasks on passenger equipment is currently qualified to do so. These records shall be adequate to distinguish the qualifications of the employee or contractor as a qualified person or as a qualified maintenance person. [64 FR 25660, May 12, 1999, as amended at 65 FR 41307, July 3, 2000; 67 FR 19990, Apr. 23, 2002] Sec. 238.111 Pre-revenue service acceptance testing plan. (a) Passenger equipment that has previously been used in revenue service in the United States. For passenger equipment that has previously been used in revenue service in the United States, each railroad shall test the equipment on its system prior to placing such equipment in revenue service for the first time on its railroad to ensure the compatibility of the equipment with the railroad's operating system (including the track, and signal system). A description of such testing shall be retained by the railroad and made available to FRA for inspection and copying upon request. For purposes of this paragraph, passenger equipment that has previously been used in revenue service in the United States means: (1) The actual equipment used in such service; (2) Equipment manufactured identically to that actual equipment; and (3) Equipment manufactured similarly to that actual equipment with no material differences in safety-critical components or systems. (b) Passenger equipment that has not been used in revenue service in the United States. Before using passenger equipment for the first time on its system that has not been used in revenue service in the United States, each railroad shall: (1) Prepare a pre-revenue service acceptance testing plan for the equipment which contains the following elements: (i) An identification of any waivers of FRA or other Federal safety regulations required for the testing or for revenue service operation of the equipment; (ii) A clear statement of the test objectives. One of the principal test objectives shall be to demonstrate that the equipment meets the safety requirements specified in this part when operated in the environment in which it is to be used; (iii) A planned schedule for conducting the testing; (iv) A description of the railroad property or facilities to be used to conduct the testing; (v) A detailed description of how the testing is to be conducted, including a description of the criteria to be used to evaluate the equipment's performance; (vi) A description of how the test results are to be recorded; [[Page 558]] (vii) A description of any special instrumentation to be used during the tests; (viii) A description of the information or data to be obtained; (ix) A description of how the information or data obtained is to be analyzed or used; (x) A description of any criteria to be used as safety limits during the testing; (xi) A description of the criteria to be used to measure or determine the success or failure of the tests. If acceptance is to be based on extrapolation of less than full-level testing results, the analysis to be done to justify the validity of the extrapolation shall be described; (xii) Quality control procedures to ensure that the inspection, testing, and maintenance procedures are followed; (xiii) Criteria to be used for the revenue service operation of the equipment; and (xiv) A description of any testing of the equipment that has previously been performed. (2) Submit a copy of the plan to FRA at least 30 days prior to testing the equipment and include with that submission notification of the times and places of the pre-revenue service tests to permit FRA observation of such tests. For Tier II passenger equipment, the railroad shall obtain FRA approval of the plan under the procedures specified in Sec. 238.21. (3) Comply with the plan, including fully executing the tests required by the plan. (4) Document in writing the results of the tests. For Tier II passenger equipment, the railroad shall report the results of the tests to the FRA Associate Administrator for Safety at least 90 days prior to its intended operation of the equipment in revenue service. (5) Correct any safety deficiencies identified in the design of the equipment or in the inspection, testing, and maintenance procedures, uncovered during the testing. If safety deficiencies cannot be corrected by design changes, the railroad shall impose operational limitations on the revenue service operation of the equipment that are designed to ensure that the equipment can operate safely. For Tier II passenger equipment, the railroad shall comply with any operational limitations imposed by the FRA Associate Administrator for Safety on the revenue service operation of the equipment for cause stated following FRA review of the results of the test program. This section does not restrict a railroad from petitioning FRA for a waiver of a safety regulation under the procedures specified in part 211 of this chapter. (6) Make the plan and documentation kept pursuant to that plan available for inspection and copying by FRA upon request. (7) For Tier II passenger equipment, obtain approval from the FRA Associate Administrator for Safety prior to placing the equipment in revenue service. The Associate Administrator grants such approval upon a showing of the railroad's compliance with the applicable requirements of this part. (c) If a railroad plans a major upgrade or introduction of new technology on Tier II passenger equipment that has been used in revenue service in the United States and that affects a safety system on such equipment, the railroad shall follow the procedures specified in paragraph (b) of this section prior to placing the equipment in revenue service with such a major upgrade or introduction of new technology. Sec. 238.113 Emergency window exits. (a) The following requirements apply on or after Novermber 8, 1999-- (1) Each passenger car shall have a minimum of four emergency window exits, either in a staggered configuration where practical or with one exit located in each end of each side of the passenger car. If the passenger car has multiple levels, each main level shall have a minimum of four emergency window exits, either in a staggered configuration where practical or with one exit located in each end of each side on each level. (2) Each sleeping car, and any similarly designed car having a number of separate compartments intended to be [[Page 559]] occupied by passengers or train crewmembers, shall have at least one emergency window exit in each compartment. (3) Each emergency window exit shall be designed to permit rapid and easy removal from the inside of the car during an emergency situation without requiring the use of a tool or other implement. (b) Each emergency window exit in a passenger car, including a sleeper car, ordered on or after September 8, 2000, or placed in service for the first time on or after September 9, 2002, shall have an unobstructed opening with minimum dimensions of 26 inches horizontally by 24 inches vertically. A seat back is not an obstruction if it can be moved away from the window opening without requiring the use of a tool or other implement. (c) Emergency window exits shall be marked, and instructions provided for their use, as required by Sec. 223.9(d) of this chapter. [64 25660, May 12, 1999, as amended at 67 FR 19990, Apr. 23, 2002] Sec. 238.115 Emergency lighting. (a) This section applies to each passenger car ordered on or after September 8, 2000, or placed in service for the first time on or after September 9, 2002. This section applies to each level of a multi-level passenger car. (b) Emergency lighting shall be provided in each passenger car and shall include the following: (1) A minimum, average illumination level of 1 foot-candle measured at floor level adjacent to each exterior door and each interior door providing access to an exterior door (such as a door opening into a vestibule); (2) A minimum, average illumination level of 1 foot-candle measured 25 inches above floor level along the center of each aisle and passageway; (3) A minimum illumination level of 0.1 foot-candle measured 25 inches above floor level at any point along the center of each aisle and passageway; and (4) A back-up power system capable of: (i) Operating in all equipment orientations within 45 degrees of vertical; (ii) Operating after the initial shock of a collision or derailment resulting in the following individually applied accelerations: (A) Longitudinal: 8g; (B) Lateral: 4g; and (C) Vertical: 4g; and (iii) Operating all emergency lighting for a period of at least 90 minutes without a loss of more than 40% of the minimum illumination levels specified in this paragraph (b). Sec. 238.117 Protection against personal injury. On or after November 8, 1999, all moving parts, high voltage equipment, electrical conductors and switches, and pipes carrying hot fluids or gases on all passenger equipment shall be appropriately equipped with interlocks or guards to minimize the risk of personal injury. This section does not apply to the interior of a private car. Sec. 238.119 Rim-stamped straight-plate wheels. (a)(1) Except as provided in paragraph (a)(2) of this section, on or after November 8, 1999, no railroad shall place or continue in service any vehicle, other than a private car, that is equipped with a rim- stamped straight-plate wheel if a brake shoe acts on the tread of the wheel for the purpose of slowing the vehicle. (2) A commuter railroad may continue in service a vehicle equipped with a Class A, rim-stamped straight-plate wheel mounted on an inboard- bearing axle until the railroad exhausts its replacement stock of wheels held as of May 12, 1999, provided the railroad does not modify the operation of the vehicle in any way that would result in increased thermal input to the wheel during braking. (b) A rim-stamped straight-plate wheel shall not be used as a replacement wheel on a private car that operates in a passenger train if a brake shoe acts on the tread of the wheel for the purpose of slowing the car. (c) The requirements of this section do not apply to a wheel that is periodically tread-braked for a short duration by automatic circuitry for the sole purpose of cleaning the wheel tread surface. [[Page 560]] Subpart C--Specific Requirements for Tier I Passenger Equipment Sec. 238.201 Scope/alternative compliance. (a) Scope. (1) This subpart contains requirements for railroad passenger equipment operating at speeds not exceeding 125 miles per hour. As stated in Sec. 238.229, all such passenger equipment remains subject to the safety appliance requirements contained in Federal statute at 49 U.S.C. chapter 203 and in FRA regulations at part 231 and Sec. 232.2 of this chapter. Unless otherwise specified, these requirements only apply to passenger equipment ordered on or after September 8, 2000 or placed in service for the first time on or after September 9, 2002. (2) The structural standards of this subpart (Sec. 238.203-static end strength; Sec. 238.205-anti-climbing mechanism; Sec. 238.207-link between coupling mechanism and car body; Sec. 238.209-forward-facing end structure of locomotives; Sec. 238.211-collision posts; Sec. 238.213- corner posts; Sec. 238.215-rollover strength; Sec. 238.217-side structure; Sec. 238.219 -truck-to-car-body attachment; and Sec. 238.223- locomotive fuel tanks) do not apply to passenger equipment if used exclusively on a rail line: (i) With no public highway-rail grade crossings; (ii) On which no freight operations occur at any time; (iii) On which only passenger equipment of compatible design is utilized; and (iv) On which trains operate at speeds not exceeding 79 mph. (b) Alternative compliance. Passenger equipment of special design shall be deemed to comply with this subpart, other than Sec. 238.203, for the service environment in which the petitioner proposes to operate the equipment if the FRA Associate Administrator for Safety determines under paragraph (c) of this section that the equipment provides at least an equivalent level of safety in such environment with respect to the protection of its occupants from serious injury in the case of a derailment or collision. In making a determination under paragraph (c) the Associate Administrator shall consider, as a whole, all of those elements of casualty prevention or mitigation relevant to the integrity of the equipment that are addressed by the requirements of this subpart. (c)(1) The Associate Administrator may only make a finding of equivalent safety and compliance with this subpart, other than Sec. 238.203, based upon a submission of data and analysis sufficient to support that determination. The petition shall include: (i) The information required by Sec. 238.21(c); (ii) Information, including detailed drawings and materials specifications, sufficient to describe the actual construction of the equipment of special design; (iii) Engineering analysis sufficient to describe the likely performance of the equipment in derailment and collision scenarios pertinent to the safety requirements for which compliance is required and for which the equipment does not conform to the specific requirements of this subpart; and (iv) A quantitative risk assessment, incorporating the design information and engineering analysis described in this paragraph, demonstrating that the equipment, as utilized in the service environment for which recognition is sought, presents no greater hazard of serious personal injury than equipment that conforms to the specific requirements of this subpart. (2) Any petition made under this paragraph is subject to the procedures set forth in Sec. 238.21, and will be disposed of in accordance with Sec. 238.21(g). [64 25660, May 12, 1999, as amended at 67 FR 19990, Apr. 23, 2002] Sec. 238.203 Static end strength. (a)(1) Except as further specified in this paragraph or in paragraph (d), on or after November 8, 1999 all passenger equipment shall resist a minimum static end load of 800,000 pounds applied on the line of draft without permanent deformation of the body structure. (2) For a passenger car or a locomotive, the static end strength of unoccupied volumes may be less than 800,000 pounds if: (i) Energy absorbing structures are used as part of a crash energy management design of the passenger car or locomotive, and [[Page 561]] (ii) The passenger car or locomotive resists a minimum static end load of 800,000 pounds applied on the line of draft at the ends of its occupied volume without permanent deformation of the body structure. (3) For a locomotive placed in service prior to November 8, 1999, as an alternative to resisting a minimum static end load of 800,000 pounds applied on the line of draft without permanent deformation of the body structure, the locomotive shall resist a horizontal load of 1,000,000 pounds applied along the longitudinal center line of the locomotive at a point on the buffer beam construction 12 inches above the center line of draft without permanent deformation of the body structure. The application of this load shall not be distributed over an area greater than 6 inches by 24 inches. The alternative specified in this paragraph is not applicable to a cab car or an MU locomotive. (4) The requirements of this paragraph do not apply to: (i) A private car; or (ii) Unoccupied passenger equipment operating at the rear of a passenger train. (b) Passenger equipment placed in service before November 8, 1999 is presumed to comply with the requirements of paragraph (a)(1) of this section, unless the railroad operating the equipment has knowledge, or FRA makes a showing, that such passenger equipment was not built to the requirements specified in paragraph (a)(1). (c) When overloaded in compression, the body structure of passenger equipment shall be designed, to the maximum extent possible, to fail by buckling or crushing, or both, of structural members rather than by fracture of structural members or failure of structural connections. (d) Grandfathering of non-compliant equipment for use on a specified rail line or lines.(1) Grandfathering approval is equipment and line specific. Grandfathering approval of non-compliant equipment under this paragraph is limited to usage of the equipment on a particular rail line or lines. Before grandfathered equipment can be used on another rail line, a railroad must file and secure approval of a grandfathering petition under paragraph (d)(3) of this section. (2) Temporary usage of non-compliant equipment. Any passenger equipment placed in service on a rail line or lines before November 8, 1999 that does not comply with the requirements of paragraph (a)(1) may continue to be operated on that particular line or (those particular lines) if the operator of the equipment files a petition seeking grandfathering approval under paragraph (d)(3) before November 8, 1999. Such usage may continue while the petition is being processed, but in no event later than May 8, 2000, unless the petition is approved. (3) Petitions for grandfathering. Petitions for grandfathering shall include: (i) The name, title, address, and telephone number of the primary person to be contacted with respect to the petition; (ii) Information, including detailed drawings and material specifications, sufficient to describe the actual construction of the equipment; (iii) Engineering analysis sufficient to describe the likely performance of the static end strength of the equipment and the likely performance of the equipment in derailment and collision scenarios pertinent to the equipment's static end strength; (iv) A description of risk mitigation measures that will be employed in connection with the usage of the equipment on a specified rail line or lines to decrease the likelihood of accidents involving the use of the equipment; and (v) A quantitative risk assessment, incorporating the design information, engineering analysis, and risk mitigation measures described in this paragraph, demonstrating that the use of the equipment, as utilized in the service environment for which recognition is sought, is in the public interest and is consistent with railroad safety. (e) Service. Three copies of each petition shall be submitted to the Associate Administrator for Safety, Federal Railroad Administration, 1120 Vermont Ave., Mail Stop 25, Washington, DC 20590. (f) Federal Register notice. FRA will publish a notice in the Federal Register concerning each petition under paragraph (d) of this section. [[Page 562]] (g) Comment. Not later than 30 days from the date of publication of the notice in the Federal Register concerning a petition under paragraph (d) of this section, any person may comment on the petition. (1) Each comment shall set forth specifically the basis upon which it is made, and contain a concise statement of the interest of the commenter in the proceeding. (2) Each comment shall be submitted to the DOT Central Docket Management System, Nassif Building, Room Pl-401, 400 Seventh Street, SW, Washington, DC 20590, and shall contain the assigned docket number for that proceeding. The form of such submission may be in written or electronic form consistent with the standards and requirements established by the Central Docket Management System and posted on its web site at http://dms.dot.gov. (h) Disposition of petitions.(1) If the Administrator finds it necessary or desirable, FRA will conduct a hearing on a petition in accordance with the procedures provided in Sec. 211.25 of this chapter. (2) If FRA finds that the petition complies with the requirements of this section and that the proposed usage is in the public interest and consistent with railroad safety, the petition will be granted, normally within 90 days of its receipt. If the petition is neither granted nor denied within 90 days, the petition remains pending for decision. FRA may attach special conditions to the approval of the petition. Following the approval of a petition, FRA may reopen consideration of the petition for cause stated. (3) If FRA finds that the petition does not comply with the requirements of this section or that the proposed usage is not in the public interest and consistent with railroad safety, the petition will be denied, normally within 90 days of its receipt. (4) When FRA grants or denies a petition, or reopens consideration of the petition, written notice is sent to the petitioner and other interested parties. [64 FR 25660, May 12, 1999, as amended at 64 FR 70196, Dec. 16, 1999; 67 FR 19991, Apr. 23, 2002] Sec. 238.205 Anti-climbing mechanism. (a) Except as provided in paragraph (b) of this section, all passenger equipment placed in service for the first time on or after September 8, 2000 shall have at both the forward and rear ends an anti- climbing mechanism capable of resisting an upward or downward vertical force of 100,000 pounds without failure. When coupled together in any combination to join two vehicles, AAR Type H and Type F tight-lock couplers satisfy this requirement. (b) Except for a cab car or an MU locomotive, each locomotive ordered on or after September 8, 2000, or placed in service for the first time on or after September 9, 2002, shall have an anti-climbing mechanism at its forward end capable of resisting both an upward and downward vertical force of 200,000 pounds without failure. [64 FR 25660, May 12, 1999, as amended at 67 FR 19991, Apr. 23, 2002] Sec. 238.207 Link between coupling mechanism and car body. All passenger equipment placed in service for the first time on or after September 8, 2000 shall have a coupler carrier at each end designed to resist a vertical downward thrust from the coupler shank of 100,000 pounds for any normal horizontal position of the coupler, without permanent deformation. For passenger equipment that is connected by articulated joints that comply with the requirements of Sec. 238.205(a), such passenger equipment also complies with the requirements of this section. Sec. 238.209 Forward-facing end structure of locomotives. The skin covering the forward-facing end of each locomotive shall be: (a) Equivalent to a \1/2\ inch steel plate with a 25,000 pounds-per- square-inch yield strength--material of a higher yield strength may be used to decrease the required thickness of the material provided at least an equivalent level of strength is maintained; (b) Designed to inhibit the entry of fluids into the occupied cab area of the equipment; and [[Page 563]] (c) Affixed to the collision posts or other main vertical structural members of the forward end structure so as to add to the strength of the end structure. (d) As used in this section, the term ``skin'' does not include forward-facing windows and doors. Sec. 238.211 Collision posts. (a) Except as further specified in this paragraph and paragraphs (b) and (c) of this section-- (1) All passenger equipment placed in service for the first time on or after September 8, 2000 shall have either: (i) Two full-height collision posts, located at approximately the one-third points laterally, at each end. Each collision post shall have an ultimate longitudinal shear strength of not less than 300,000 pounds at a point even with the top of the underframe member to which it is attached. If reinforcement is used to provide the shear value, the reinforcement shall have full value for a distance of 18 inches up from the underframe connection and then taper to a point approximately 30 inches above the underframe connection; or (ii) An equivalent end structure that can withstand the sum of forces that each collision post in paragraph (a)(1)(i) of this section is required to withstand. For analysis purposes, the required forces may be assumed to be evenly distributed at the end structure at the underframe joint. (2) The requirements of this paragraph do not apply to unoccupied passenger equipment operating in a passenger train, or to the rear end of a locomotive if the end is unoccupied by design. (b) Each locomotive, including a cab car and an MU locomotive, ordered on or after September 8, 2000, or placed in service for the first time on or after September 9, 2002, shall have at its forward end, in lieu of the structural protection described in paragraph (a) of this section, either: (1) Two forward collision posts, located at approximately the one- third points laterally, each capable of withstanding: (i) A 500,000-pound longitudinal force at the point even with the top of the underframe, without exceeding the ultimate strength of the joint; and (ii) A 200,000-pound longitudinal force exerted 30 inches above the joint of the post to the underframe, without exceeding the ultimate strength; or (2) An equivalent end structure that can withstand the sum of the forces that each collision post in paragraph (b)(1)(i) of this section is required to withstand. (c) The end structure requirements in paragraphs (a) and (b) of this section apply only to the ends of a semi-permanently coupled consist of articulated units, provided that: (1) The railroad submits to the FRA Associate Administrator for Safety under the procedures specified in Sec. 238.21 a documented engineering analysis establishing that the articulated connection is capable of preventing disengagement and telescoping to the same extent as equipment satisfying the anti-climbing and collision post requirements contained in this subpart; and (2) FRA finds the analysis persuasive. [64 FR 25660, May 12, 1999, as amended at 67 FR 19991, Apr. 23, 2002] Sec. 238.213 Corner posts. (a) Each passenger car shall have at each end of the car, placed ahead of the occupied volume, two full-height corner posts capable of resisting: (1) A horizontal load of 150,000 pounds at the point of attachment to the underframe without failure; (2) A horizontal load of 20,000 pounds at the point of attachment to the roof structure without failure; and (3) A horizontal load of 30,000 pounds applied 18 inches above the top of the floor without permanent deformation. (b) For purposes of this section, the orientation of the applied horizontal loads shall range from longitudinal inward to transverse inward. Sec. 238.215 Rollover strength. (a) Each passenger car shall be designed to rest on its side and be uniformly supported at the top (``roof rail''), the bottom cords (``side sill'') of the side frame, and, if bi-level, the intermediate floor rail. The allowable stress in the structural members of the occupied volumes for this condition [[Page 564]] shall be one-half yield or one-half the critical buckling stress, whichever is less. Local yielding to the outer skin of the passenger car is allowed provided that the resulting deformations in no way intrude upon the occupied volume of the car. (b) Each passenger car shall also be designed to rest on its roof so that any damage in occupied areas is limited to roof sheathing and framing. Other than roof sheathing and framing, the allowable stress in the structural members of the occupied volumes for this condition shall be one-half yield or one-half the critical buckling stress, whichever is less. Deformation to the roof sheathing and framing is allowed to the extent necessary to permit the vehicle to be supported directly on the top chords of the side frames and end frames. Sec. 238.217 Side structure. Each passenger car shall comply with the following: (a) Side posts and corner braces. (1) For modified girder, semi-monocoque, or truss construction, the sum of the section moduli in inches \3\--about a longitudinal axis, taken at the weakest horizontal section between the side sill and side plate--of all posts and braces on each side of the car located between the body corner posts shall be not less than 0.30 multiplied by the distance in feet between the centers of end panels. (2) For modified girder or semi-monocoque construction only, the sum of the section moduli in inches \3\--about a transverse axis, taken at the weakest horizontal section between the side sill and side plate--of all posts, braces and pier panels, to the extent available, on each side of the car located between body corner posts shall be not less than 0.20 multiplied by the distance in feet between the centers of end panels. (3) The center of an end panel is the point midway between the center of the body corner post and the center of the adjacent side post. (4) The minimum section moduli or thicknesses specified in paragraph (a) of this section may be adjusted in proportion to the ratio of the yield strength of the material used to that of mild open-hearth steel for a car whose structural members are made of a higher strength steel. (b) Sheathing. (1) Outside sheathing of mild, open-hearth steel when used flat, without reinforcement (other than side posts) in a side frame of modified girder or semi-monocoque construction shall not be less than 1/ 8 inch nominal thickness. Other metals may be used of a thickness in inverse proportion to their yield strengths. (2) Outside metal sheathing of less than \1/8\ inch thickness may be used only if it is reinforced so as to produce at least an equivalent sectional area at a right angle to reinforcements as that of the flat sheathing specified in paragraph (b)(1) of this section. (3) When the sheathing used for truss construction serves no load- carrying function, the minimum thickness of that sheathing shall be not less than 40 percent of that specified in paragraph (b)(1) of this section. Sec. 238.219 Truck-to-car-body attachment. Passenger equipment shall have a truck-to-car-body attachment with an ultimate strength sufficient to resist without failure the following individually applied loads: 2g vertically on the mass of the truck; and 250,000 pounds in any horizontal direction on the truck, along with the resulting vertical reaction to this load. For purposes of this section, the mass of the truck includes axles, wheels, bearings, the truck- mounted brake system, suspension system components, and any other component attached to the truck by design. [67 FR 19991, Apr. 23, 2002] Sec. 238.221 Glazing. (a) Passenger equipment shall comply with the applicable Safety Glazing Standards contained in part 223 of this chapter, if required by that part. (b) Each exterior window on a locomotive cab and a passenger car shall remain in place when subjected to: (1) The forces described in part 223 of this chapter; and (2) The forces due to air pressure differences caused when two trains pass [[Page 565]] at the minimum separation for two adjacent tracks, while traveling in opposite directions, each train traveling at the maximum authorized speed. Sec. 238.223 Locomotive fuel tanks. Locomotive fuel tanks shall comply with either the following or an industry standard providing at least an equivalent level of safety if approved by FRA under Sec. 238.21: (a) External fuel tanks. External locomotive fuel tanks shall comply with the requirements contained in Appendix D to this part. (b) Internal fuel tanks. (1) Internal locomotive fuel tanks shall be positioned in a manner to reduce the likelihood of accidental penetration from roadway debris or collision. (2) Internal fuel tank vent systems shall be designed so they do not become a path of fuel loss in any tank orientation due to a locomotive overturning. (3) Internal fuel tank bulkheads and skin shall, at a minimum, be equivalent to a 5/16-inch thick steel plate with a yield strength of 25,000 pounds per square inch. Material of a higher yield strength may be used to decrease the required thickness of the material provided at least an equivalent level of strength is maintained. Skid plates are not required. [67 FR 19991, Apr. 23, 2002] Sec. 238.225 Electrical system. All passenger equipment shall comply with the following: (a) Conductors. Conductor sizes shall be selected on the basis of current-carrying capacity, mechanical strength, temperature, flexibility requirements, and maximum allowable voltage drop. Current-carrying capacity shall be derated for grouping and for o