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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 operating temperature.
    (b) Main battery system.
    (1) The main battery compartment shall be isolated from the cab and 
passenger seating areas by a non-combustible barrier.
    (2) Battery chargers shall be designed to protect against 
overcharging.
    (3) If batteries are of the type to potentially vent explosive 
gases, the battery compartment shall be adequately ventilated to prevent 
the accumulation of explosive concentrations of these gases.
    (c) Power dissipation resistors.
    (1) Power dissipating resistors shall be adequately ventilated to 
prevent overheating under worst-case operating conditions as determined 
by the railroad.
    (2) Power dissipation grids shall be designed and installed with 
sufficient isolation to prevent combustion.
    (3) Resistor elements shall be electrically insulated from resistor 
frames, and the frames shall be electrically insulated from the supports 
that hold them.
    (d) Electromagnetic interference and compatibility. (1) The 
operating railroad shall ensure electromagnetic compatibility of the 
safety-critical equipment systems with their environment. 
Electromagnetic compatibility may be achieved through equipment design 
or changes to the operating environment.
    (2) The electronic equipment shall not produce electrical noise that 
affects the safe performance of train line control and communications or 
wayside signaling systems.
    (3) To contain electromagnetic interference emissions, suppression 
of transients shall be at the source wherever possible.
    (4) All electronic equipment shall be self-protected from damage or 
improper operation, or both, due to high voltage transients and long-
term over-voltage or under-voltage conditions. This includes protection 
from both power frequency and harmonic effects as well as protection 
from radio frequency signals into the microwave frequency range.

Sec. 238.227  Suspension system.

    On or after November 8, 1999--
    (a) All passenger equipment shall exhibit freedom from hunting 
oscillations at all operating speeds. If hunting oscillations do occur, 
a railroad shall immediately take appropriate action to prevent 
derailment. For purposes of this paragraph, hunting oscillations shall 
be considered lateral oscillations of trucks that could lead to a 
dangerous instability.

[[Page 566]]

    (b) All passenger equipment intended for service above 110 mph shall 
demonstrate stable operation during pre-revenue service qualification 
tests at all operating speeds up to 5 mph in excess of the maximum 
intended operating speed under worst-case conditions--including 
component wear--as determined by the operating railroad.
    (c) Nothing in this section shall affect the requirements of part 
213 of this chapter as they apply to passenger equipment as provided in 
that part.

Sec. 238.229  Safety appliances.

    Except as provided in this part, all passenger equipment continues 
to be subject to the safety appliance requirements contained in Federal 
statute at 49 U.S.C. chapter 203 and in Federal regulations at part 231 
and Sec. 232.2 of this chapter.

Sec. 238.231  Brake system.

    Except as otherwise provided in this section, on or after September 
9, 1999 the following requirements apply to all passenger equipment and 
passenger trains.
    (a) A passenger train's primary brake system shall be capable of 
stopping the train with a service application from its maximum 
authorized operating speed within the signal spacing existing on the 
track over which the train is operating.
    (b) The brake system design of passenger equipment ordered on or 
after September 8, 2000 or placed in service for the first time on or 
after September 9, 2002, shall not require an inspector to place himself 
or herself on, under, or between components of the equipment to observe 
brake actuation or release.
    (c) Passenger equipment shall be provided with an emergency brake 
application feature that produces an irretrievable stop, using a brake 
rate consistent with prevailing adhesion, passenger safety, and brake 
system thermal capacity. An emergency brake application shall be 
available at any time, and shall be initiated by an unintentional 
parting of the train.
    (d) A passenger train brake system shall respond as intended to 
signals from a train brake control line or lines. Control lines shall be 
designed so that failure or breakage of a control line will cause the 
brakes to apply or will result in a default to control lines that meet 
this requirement.
    (e) Introduction of alcohol or other chemicals into the air brake 
system of passenger equipment is prohibited.
    (f) The operating railroad shall require that the design and 
operation of the brake system results in wheels that are free of 
condemnable cracks.
    (g) Disc brakes shall be designed and operated to produce a surface 
temperature no greater than the safe operating temperature recommended 
by the disc manufacturer and verified by testing or previous service.
    (h) Hand brakes and parking brakes. (1) Except for a locomotive that 
is ordered before September 8, 2000 or placed in service for the first 
time before Sepbember 9, 2002, and except for MU locomotives, all 
locomotives shall be equipped with a hand or parking brake that can:
    (i) Be applied or activated by hand;
    (ii) Be released by hand; and
    (iii) Hold the loaded unit on the maximum grade anticipated by the 
operating railroad.
    (2) Except for a private car and locomotives addressed in paragraph 
(h)(1) of this section, all other passenger equipment, including MU 
locomotives, shall be equipped with a hand brake that meets the 
requirements for hand brakes contained in part 231 of this chapter and 
that can:
    (i) Be applied or activated by hand;
    (ii) Be released by hand; and
    (iii) Hold the loaded unit on the maximum grade anticipated by the 
operating railroad.
    (3) The air brake shall not be depended upon to hold equipment 
standing unattended on a grade (including a locomotive, a car, or a 
train whether or not a locomotive is attached). When required, a 
sufficient number of hand brakes shall be applied to hold the train or 
equipment before the air brakes are released. Any hand brakes applied to 
hold equipment shall not be released until it is known that the air 
brake system is properly charged.
    (i) Passenger cars shall be equipped with a means to apply the 
emergency brake that is accessible to passengers and located in the 
vestibule or passenger compartment. The emergency

[[Page 567]]

brake shall be clearly identified and marked.
    (j) Locomotives ordered after September 8, 2000, or placed in 
service for the first time after September 9, 2002, that are equipped 
with blended brakes shall be designed so that:
    (1) The blending of friction and dynamic brake to obtain the correct 
retarding force is automatic;
    (2) Loss of power or failure of the dynamic brake does not result in 
exceeding the allowable stopping distance;
    (3) The friction brake alone is adequate to safely stop the train 
under all operating conditions; and
    (4) Operation of the friction brake alone does not result in thermal 
damage to wheels or disc rotor surface temperatures exceeding the 
manufacturer's recommendation.
    (k) For new designs of braking systems, the design process shall 
include computer modeling or dynamometer simulation of train braking 
that shows compliance with paragraphs (f) and (g) of this section over 
the range of equipment operating speeds. A new simulation is required 
prior to implementing a change in operating parameters.
    (l) Locomotives ordered on or after September 8, 2000 or placed in 
service for the first time on or after September 9, 2002, shall be 
equipped with effective air coolers or dryers that provide air to the 
main reservoir with a dew point at least 10 degrees F. below ambient 
temperature.
    (m) When a passenger train is operated in either direct or graduated 
release--
    (1) all the cars in the train consist shall be set up in the same 
operating mode or
    (2) up to two cars may be operated in direct release mode when the 
rest of the cars in the train are operated in graduated release mode, 
provided that the cars operated in direct release mode are hauled at the 
rear of the train consist.
    (n) Before adjusting piston travel or working on brake rigging, the 
cutout cock in the brake pipe branch must be closed and the air 
reservoirs must be voided of all compressed air. When cutout cocks are 
provided in brake cylinder pipes, these cutout cocks may be closed, and 
air reservoirs need not be voided of all compressed air.
    (o) All passenger trains to which this part applies shall comply 
with the requirements covering the use of two-way end-of-train devices 
contained in part 232 of this chapter.

[64 FR 25660, May 12, 1999, as amended at 65 FR 41307, July 3, 2000]

Sec. 238.233  Interior fittings and surfaces.

    (a) Each seat in a passenger car shall--
    (1) Be securely fastened to the car body so as to withstand an 
individually applied acceleration of 4g acting in the lateral direction 
and 4g acting in the upward vertical direction on the deadweight of the 
seat or seats, if held in tandem; and
    (2) Have an attachment to the car body of an ultimate strength 
capable of resisting simultaneously:
    (i) The longitudinal inertial force of 8g acting on the mass of the 
seat; and
    (ii) The load associated with the impact into the seatback of an 
unrestrained 95th-percentile adult male initially seated behind the 
seat, when the floor to which the seat is attached decelerates with a 
triangular crash pulse having a peak of 8g and a duration of 250 
milliseconds.
    (b) Overhead storage racks in a passenger car shall provide 
longitudinal and lateral restraint for stowed articles. Overhead storage 
racks shall be attached to the car body with sufficient strength to 
resist loads due to the following individually applied accelerations 
acting on the mass of the luggage stowed as determined by the railroad:
    (1) Longitudinal: 8g;
    (2) Vertical: 4g; and
    (3) Lateral: 4g.
    (c) Other interior fittings within a passenger car shall be attached 
to the car body with sufficient strength to withstand the following 
individually applied accelerations acting on the mass of the fitting:
    (1) Longitudinal: 8g;
    (2) Vertical: 4g; and
    (3) Lateral: 4g.
    (d) To the extent possible, all interior fittings in a passenger 
car, except seats, shall be recessed or flush-mounted.

[[Page 568]]

    (e) Sharp edges and corners in a locomotive cab and a passenger car 
shall be either avoided or padded to mitigate the consequences of an 
impact with such surfaces.
    (f) Each seat provided for a crewmember regularly assigned to occupy 
the cab of a locomotive and each floor-mounted seat in the cab shall be 
secured to the car body with an attachment having an ultimate strength 
capable of withstanding the loads due to the following individually 
applied accelerations acting on the combined mass of the seat and a 
95th-percentile adult male occupying it:
    (1) Longitudinal: 8g;
    (2) Lateral: 4g; and
    (3) Vertical: 4g.
    (g) If, for purposes of showing compliance with the requirements of 
this section, the strength of a seat attachment is to be demonstrated 
through sled testing, the seat structure and seat attachment to the sled 
that is used in such testing must be representative of the actual seat 
structure in, and seat attachment to, the rail vehicle subject to the 
requirements of this section. If the attachment strength of any other 
interior fitting is to be demonstrated through sled testing, for 
purposes of showing compliance with the requirements of this section, 
such testing shall be conducted in a similar manner.

Sec. 238.235  Doors.

    (a) By December 31, 1999, each powered, exterior side door in a 
vestibule that is partitioned from the passenger compartment of a 
passenger car shall have a manual override device that is:
    (1) Capable of releasing the door to permit it to be opened without 
power from inside the car;
    (2) Located adjacent to the door which it controls; and
    (3) Designed and maintained so that a person may readily access and 
operate the override device from inside the car without requiring the 
use of a tool or other implement. If the door is dual-leafed, only one 
of the door leafs is required to respond to the manual override device.
    (b) Each passenger car ordered on or after September 8, 2000, or 
placed in service for the first time on or after September 9, 2002 shall 
have a minimum of two exterior side doors, each door providing a minimum 
clear opening with dimensions of 30 inches horizontally by 74 inches 
vertically.

    Note: The Americans with Disabilities Act (ADA) Accessibility 
Specifications for Transportation Vehicles also contain requirements for 
doorway clearance (See 49 CFR part 38).


Each powered, exterior side door on each such passenger car shall have a 
manual override device that is:
    (1) Capable of releasing the door to permit it to be opened without 
power from both inside and outside the car;
    (2) Located adjacent to the door which it controls; and
    (3) Designed and maintained so that a person may access the override 
device from both inside and outside the car without requiring the use of 
a tool or other implement.
    (c) A railroad may protect a manual override device used to open a 
powered, exterior door with a cover or a screen capable of removal 
without requiring the use of a tool or other implement.
    (d) Door exits shall be marked, and instructions provided for their 
use, as required by Sec. 239.107(a) of this chapter.

[64 FR 25660, May 12, 1999, as amended at 67 FR 19991, Apr. 23, 2002]

Sec. 238.237  Automated monitoring.

    (a) Except as further specified in this paragraph, on or after 
November 8, 1999 a working alerter or deadman control shall be provided 
in the controlling locomotive of each passenger train operating in other 
than cab signal, automatic train control, or automatic train stop 
territory. If the controlling locomotive is ordered on or after 
September 8, 2000, or placed into service for the first time on or after 
September 9, 2002, a working alerter shall be provided.
    (b) Alerter or deadman control timing shall be set by the operating 
railroad taking into consideration maximum train speed and capabilities 
of the signal system. The railroad shall document the basis for setting 
alerter or deadman control timing and make this documentation available 
to FRA upon request.
    (c) If the train operator does not respond to the alerter or 
maintain proper

[[Page 569]]

contact with the deadman control, it shall initiate a penalty brake 
application.
    (d) The following procedures apply if the alerter or deadman control 
fails en route and causes the locomotive to be in non-compliance with 
paragraph (a):
    (1)(i) A second person qualified on the signal system and trained to 
apply the emergency brake shall be stationed in the locomotive cab; or
    (ii) The engineer shall be in constant communication with a second 
crewmember until the train reaches the next terminal.
    (2)(i) A tag shall be prominently displayed in the locomotive cab to 
indicate that the alerter or deadman control is defective, until such 
device is repaired; and
    (ii) When the train reaches its next terminal or the locomotive 
undergoes its next calender day inspection, whichever occurs first, the 
alerter or deadman control shall be repaired or the locomotive shall be 
removed as the controlling locomotive in the train.

[64 FR 25660, May 12, 1999, as amended at 67 FR 19991, Apr. 23, 2002]

Subpart D--Inspection, Testing, and Maintenance Requirements for Tier I 
                           Passenger Equipment

Sec. 238.301  Scope.

    (a) This subpart contains requirements pertaining to the inspection, 
testing, and maintenance of passenger equipment operating at speeds not 
exceeding 125 miles per hour. The requirements in this subpart address 
the inspection, testing, and maintenance of the brake system as well as 
other mechanical and electrical components covered by this part.
    (b) Beginning on January 1, 2002, the requirements contained in this 
subpart shall apply to railroads operating Tier I passenger equipment 
covered by this part. A railroad may request earlier application of the 
requirements contained in this subpart upon written notification to 
FRA's Associate Administrator for Safety as provided in Sec. 238.1(c).
    (c) Paragraphs (b) and (c) of Sec. 238.309 shall apply beginning 
September 9, 1999.

[64 FR 25660, May 12, 1999, as amended at 65 FR 41307, July 3, 2000]

Sec. 238.303   Exterior calendar day mechanical inspection of passenger 
          equipment.

    (a) General.
    (1) Except as provided in paragraph (f) of this section, each 
passenger car and each unpowered vehicle used in a passenger train shall 
receive an exterior mechanical inspection at least once each calendar 
day that the equipment is placed in service.
    (2) Except as provided in paragraph (f) of this section, all 
passenger equipment shall be inspected as required in this section at 
least once each calendar day that the equipment is placed in service to 
ensure that the equipment conforms with the requirement contained in 
paragraph (e)(15) of this section.
    (3) If a passenger care is also classified as a locomotive under 
part 229 of this chapter, the passenger car shall also receive a daily 
inspection pursuant to the requirements of Sec. 229.21 of this chapter.
    (b) Each passenger car and each unpowered vehicle added to a 
passenger train shall receive an exterior calendar day mechanical 
inspection in accordance with the following:
    (1) Except as provided in paragraph (b)(2) of this section, each 
passenger car and each unpowered vehicle added to a passenger train 
shall receive an exterior calendar day mechanical inspection at the time 
it is added to the train unless notice is provided to the train crew 
that an exterior mechanical inspection was performed on the car or 
vehicle on the last day it was used in passenger service. The notice 
required by this section shall contain the date, time, and location of 
the last exterior mechanical inspection;
    (2) Each express car, freight car, and each unit of intermodal 
equipment (e.g., RoadRailers[reg]) added to a passenger train shall 
receive an exterior calendar day mechanical inspection at the time it is 
added to the train, unless notice is provided to the train crew that an 
exterior mechanical inspection

[[Page 570]]

was performed on the car within the previous calendar day. The notice 
required by this section shall contain the date, time, and location of 
the last exterior mechanical inspection.
    (c) The exterior calendar day mechanical inspection shall be 
performed by a qualified maintenance person.
    (d) The exterior calendar day mechanical inspection required by this 
section shall be conducted to the extent possible without uncoupling the 
trainset and without placing the equipment over a pit or on an elevated 
track.
    (e) As part of the exterior calendar day mechanical inspection, the 
railroad shall verify conformity with the following conditions, and 
nonconformity with any such condition renders the passenger car or 
unpowered vehicle used in a passenger train defective whenever 
discovered in service:
    (1) Products of combustion are released entirely outside the cab and 
other compartments.
    (2) Each battery container is vented and each battery is kept from 
gassing excessively.
    (3) Each coupler is in the following condition:
    (i) Sidewall or pin bearing bosses and the pulling face of the 
knuckles are not broken or cracked;
    (ii) The coupler assembly is equipped with anti-creep protection;
    (iii) The coupler carrier is not broken or cracked; and
    (iv) The yoke is not broken or cracked.
    (4) A device is provided under the lower end of all drawbar pins and 
articulated connection pins to prevent the pin from falling out of place 
in case of breakage.
    (5) The suspension system, including the spring rigging, is in the 
following condition:
    (i) Protective construction or safety hangers are provided to 
prevent spring planks, spring seats, or bolsters from dropping to the 
track structure in event of a hanger or spring failure;
    (ii) The top (long) leaf or any of the other three leaves of the 
elliptical spring is not broken, except when a spring is part of a nest 
of three or more springs and none of the other springs in the nest has 
its top leaf or any of the other three leaves broken;
    (iii) The outer coil spring or saddle is not broken;
    (iv) The equalizers, hangers, bolts, gibs, or pins are not cracked 
or broken;
    (v) The coil spring is not fully compressed when the car is at rest;
    (vi) The shock absorber is not broken or leaking oil or other fluid; 
and
    (vii) Each air bag or other pneumatic suspension system component 
inflates or deflates, as applicable, correctly and otherwise operates as 
intended.
    (6) Each truck is in the following condition:
    (i) Each tie bar is not loose;
    (ii) Each motor suspension lug, equalizer, hanger, gib, or pin is 
not cracked or broken; and
    (iii) The truck frame is not broken and is not cracked in a stress 
area that may affect its structural integrity.
    (7) Each side bearing is in the following condition:
    (i) Each friction side bearing with springs designed to carry weight 
does not have more than 25 percent of the springs in any one nest 
broken;
    (ii) Each friction side bearing does not run in contact unless 
designed to operate in that manner; and
    (iii) The maximum clearance of each side bearing does not exceed the 
manufacturer's recommendation.
    (8) Each wheel does not have any of the following conditions:
    (i) A single flat spot that is 2\1/2\ inches or more in length, or 
two adjoining spots that are each two or more inches in length;
    (ii) A gouge or chip in the flange that is more than 1\1/2\ inches 
in length and \1/2\ inch in width;
    (iii) A broken rim, if the tread, measured from the flange at a 
point \5/8\ of an inch above the tread, is less than 3\3/4\ inches in 
width;
    (iv) A shelled-out spot 2\1/2\ inches or more in length, or two 
adjoining spots that are each two or more inches in length;
    (v) A seam running lengthwise that is within 3\3/4\ inches of the 
flange;
    (vi) A flange worn to a \7/8\ inch thickness or less, gauged at a 
point \3/8\ of an inch above the tread;
    (vii) A tread worn hollow \5/16\ of an inch or more;

[[Page 571]]

    (viii) A flange height of 1\1/2\ inches or more measured from the 
tread to the top of the flange;
    (ix) A rim less than 1 inch thick;
    (x) Except as provided in paragraph (e)(8)(iii) of this section, a 
crack or break in the flange, tread, rim, plate, or hub;
    (xi) A loose wheel; or
    (xii) A weld.
    (9) No part or appliance of a passenger coach, except the wheels, is 
less than 2\1/2\ inches above the top of the rail.
    (10) Each unguarded, noncurrent-carrying metal part subject to 
becoming charged is grounded or thoroughly insulated.
    (11) Each jumper and cable connection is in the following condition:
    (i) Each jumpers and cable connection between coaches, between 
locomotives, or between a locomotive and a coach is located and guarded 
in a manner that provides sufficient vertical clearance. Jumpers and 
cable connections may not hang with one end free;
    (ii) The insulation is not broken or badly chafed;
    (iii) No plug, receptacle, or terminal is broken; and
    (iv) No strand of wire is broken or protruding.
    (12) Each door and cover plate guarding high voltage equipment is 
marked ``Danger--High Voltage'' or with the word ``Danger'' and the 
normal voltage carried by the parts so protected.
    (13) Each buffer plate is in place.
    (14) Each diaphragm, if any, is in place and properly aligned.
    (15) Each secondary braking system is in operating mode and does not 
have any known defective condition which prevents its proper operation. 
If the dynamic brakes on a locomotive are found not to be in operating 
mode or are known to have a defective condition which prevents their 
proper operation at the time that the exterior mechanical inspection is 
performed or at any other time while the locomotive is in service, the 
following requirements shall be met in order to continue the locomotive 
in service:
    (i) MU locomotives equipped with dynamic brakes found not to be in 
operating mode or containing a defective condition which prevents the 
proper operation of the dynamic brakes shall be handled in accordance 
with the following requirements:
    (A) A tag bearing the words ``inoperative dynamic brakes'' shall be 
securely displayed in a conspicuous location in the cab of the 
locomotive and contain the locomotive number, the date and location 
where the condition was discovered, and the signature of the individual 
who discovered the condition;
    (B) The locomotive engineer shall be informed in writing that the 
dynamic brakes on the locomotive are inoperative at the location where 
the locomotive engineer first takes charge of the train; and
    (C) The inoperative or defective dynamic brakes shall be repaired or 
removed from service by or at the locomotive's next exterior calendar 
day mechanical inspection.
    (ii) Conventional locomotives equipped with dynamic brakes found not 
to be in operating mode or containing a defective condition which 
prevents the proper operation of the dynamic brakes shall be handled in 
accordance with the following:
    (A) A tag bearing the words ``inoperative dynamic brakes'' shall be 
securely displayed in a conspicuous location in the cab of the 
locomotive and contain the locomotive number, the date and location 
where the condition was discovered, and the signature of the person 
discovering the condition;
    (B) The locomotive engineer shall be informed in writing that the 
dynamic brakes on the locomotive are inoperative at the location where 
the locomotive engineer first takes charge of the train; and
    (C) The inoperative or defective dynamic brakes shall be repaired 
within 3 calendar days of being found in defective condition or at the 
locomotive's next periodic inspection pursuant to Sec. 229.23 of this 
chapter, whichever occurs first.
    (16) All roller bearings do not have any of the following 
conditions:
    (i) A sign of having been overheated as evidenced by discoloration 
or other telltale sign of overheating, such as damage to the seal or 
distortion of any bearing component;
    (ii) A loose or missing cap screw;

[[Page 572]]

    (iii) A broken, missing, or improperly applied cap screw lock; or
    (iv) A seal that is loose or damaged or permits leakage of lubricant 
in clearly formed droplets.
    (f) Exception. A long-distance intercity passenger train that misses 
a scheduled exterior calendar day mechanical inspection due to a delay 
en route may continue in service to the location where the inspection 
was scheduled to be performed. At that point, an exterior calendar day 
mechanical inspection shall be performed prior to returning the 
equipment to service. This flexibility applies only to the exterior 
mechanical safety inspections required by this section, and does not 
relieve the railroad of the responsibility to perform a calendar day 
inspection on a unit classified as a ``locomotive'' under part 229 of 
this chapter as required by Sec. 229.21 of this chapter.
    (g) Records. A record shall be maintained of each exterior calendar 
day mechanical inspection performed.
    (1) This record may be maintained in writing or electronically 
provided FRA has access to the record upon request.
    (2) The written or electronic record must contain the following 
information:
    (i) The identification number of the unit;
    (ii) The place, date, and time of the inspection;
    (iii) Any non-complying conditions found; and
    (iv) The signature or electronic identification of the inspector.
    (3) This record may be part of a single master report covering an 
entire group of cars and equipment.
    (4) This record shall be maintained at the place where the 
inspection is conducted or at one central location and shall be retained 
for at least 92 days.
    (h) Cars requiring a single car test in accordance with Sec. 238.311 
that are being moved in service to a location where the single car test 
can be performed shall have the single car test completed prior to, or 
as a part of, the exterior calendar day mechanical inspection.

[64 FR 25660, May 12, 1999, as amended at 65 FR 41307, July 3, 2000]

Sec. 238.305  Interior calendar day mechanical inspection of passenger 
          cars.

    (a) Except as provided in paragraph (d) of this section, each 
passenger car shall receive an interior mechanical inspection at least 
once each calendar day that it is placed in service.
    (b) The interior calendar day mechanical inspection shall be 
performed by a qualified person or a qualified maintenance person.
    (c) As part of the interior calendar day mechanical inspection, the 
railroad shall verify conformity with the following conditions, and 
nonconformity with any such condition renders the car defective whenever 
discovered in service, except as provided in paragraphs (c)(5) through 
(c)(10), and paragraph (d) of this section:
    (1) All fan openings, exposed gears and pinions, exposed moving 
parts of mechanisms, pipes carrying hot gases and high-voltage 
equipment, switches, circuit breakers, contactors, relays, grid 
resistors, and fuses are installed in non-hazardous locations or 
equipped with guards to prevent personal injury.
    (2) Floors of passageways and compartments are free from oil, water, 
waste, or any obstruction that creates a slipping, tripping, or fire 
hazard, and floors are properly treated to provide secure footing.
    (3) All D rings, pull handles, or other means to access manual door 
releases are in place based on a visual inspection.
    (4) All emergency equipment, including a fire extinguisher, pry bar, 
auxiliary portable lighting, and first aid kits, as applicable, are in 
place.
    (5) The words ``Emergency Brake Valve'' are legibly stenciled or 
marked near each brake pipe valve or shown on an adjacent badge plate.
    (6) All doors and cover plates guarding high voltage equipment are 
marked ``Danger--High Voltage'' or with the word ``Danger'' and the 
normal voltage carried by the parts so protected.
    (7) All safety-related signage is in place and legible.
    (8) All trap doors safely operate and securely latch in place in 
both the up and down position. A non-complying car may continue in 
passenger service

[[Page 573]]

pursuant to paragraph (d) of this section, if the trap door can be 
secured by locking out the door for which it is used.
    (9) All vestibule steps are illuminated. A non-complying car may 
continue in passenger service pursuant to paragraph (d) of this section, 
if the car will be used solely in high-platform service.
    (10) All end doors and side doors operate safely and as intended. A 
non-complying car may continue in passenger service pursuant to 
paragraph (d) of this section, if at least one operative and accessible 
door is available on each side of the car; and a notice is prominently 
displayed directly on the defective door indicating that the door is 
defective.
    (d) Any passenger car found not to be in compliance with the 
requirements contained in paragraphs (c)(5) through (c)(10) of this 
section at the time of its interior calendar day mechanical inspection 
may remain in passenger service until the car's next interior calendar 
day mechanical inspection where it must be repaired or removed from 
passenger service; provided, all of the specific conditions contained in 
paragraphs (c)(8) through (c)(10) of this section are met and all of the 
following requirements are met:
    (1) A qualified person or a qualified maintenance person determines 
that the repairs necessary to bring the car into compliance cannot be 
performed at the time that the current day's interior mechanical 
inspection is conducted;
    (2) A qualified person or a qualified maintenance person determines 
that it is safe to move the equipment in passenger service; and
    (3) A record is maintained of the non-complying condition with the 
date and time that the condition was first discovered.
    (e) A long-distance intercity passenger train that misses a 
scheduled calendar day interior mechanical inspection due to a delay en 
route may continue in service to the location where the inspection was 
scheduled to be performed. At that point, an interior calendar day 
mechanical inspection shall be performed prior to returning the 
equipment to service.
    (f) Records. A record shall be maintained of each interior calendar 
day mechanical inspection performed.
    (1) This record may be maintained in writing or electronically 
provided FRA has access to the record upon request.
    (2) The written or electronic record must contain the following 
information:
    (i) The identification number of the unit;
    (ii) The place, date, and time of the inspection;
    (iii) Any non-complying conditions found; and
    (iv) The signature or electronic identification of the inspector.
    (3) This record may be part of a single master report covering an 
entire group of cars and equipment.
    (4) This record shall be maintained at the place where the 
inspection is conducted or at one central location and shall be retained 
for at least 92 days.

[64 FR 25660, May 12, 1999, as amended at 65 FR 41308, July 3, 2000]

Sec. 238.307  Periodic mechanical inspection of passenger cars and 
          unpowered vehicles used in passenger trains.

    (a) General.
    (1) Railroads shall conduct periodic mechanical inspections of all 
passenger cars and all unpowered vehicles used in a passenger train as 
required by this section or as warranted and justified by data developed 
pursuant to paragraph (a)(2) of this section. A periodic inspection 
conducted under part 229 of this chapter satisfies the requirement of 
this section with respect to the features inspected.
    (2) A railroad may, upon written notification to FRA's Associate 
Administrator for Safety, adopt and comply with alternative periodic 
mechanical inspection intervals for specific components or equipment in 
lieu of the requirements of this section. Any alternative interval must 
be based upon a documented reliability assessment conducted under a 
system safety plan subject to periodic peer audit. (See Appendix E to 
this part for a discussion of the general principles of reliability-
based maintenance programs.) The periodic inspection intervals provided 
in this section may be changed only

[[Page 574]]

when justified by accumulated, verifiable data that provides a high 
level of confidence that the component(s) will not fail in a manner 
resulting in harm to persons. FRA may monitor and review a railroad's 
implementation and compliance with any alternative interval adopted. 
FRA's Associate Administrator for Safety may prohibit or revoke a 
railroad's ability to utilize an alternative inspection interval if FRA 
determines that the adopted interval is not supported by credible data 
or does not provide adequate safety assurances. Such a determination 
will be made in writing and will state the basis for such action.
    (b) Each periodic mechanical inspection required by this section 
shall be performed by a qualified maintenance person.
    (c) The periodic mechanical inspection shall specifically include 
the following interior and exterior mechanical components, which shall 
be inspected not less frequently than every 184 days. At a minimum, this 
inspection shall determine that:
    (1) Seats and seat attachments are not broken or loose. If a car is 
found with a seat that is not in compliance with this requirement while 
being used between periodic mechanical inspections, the equipment may 
continue to be used in passenger service until the performance of an 
interior calendar day mechanical inspection pursuant to Sec. 238.305 on 
the day following the discovery of the defective condition provided the 
seat is rendered unuseable, a notice is prominently displayed on the 
seat, and a record is maintained with the date and time that the non-
complying condition was discovered.
    (2) Luggage racks are not broken or loose.
    (3) All beds and bunks are not broken or loose, and all restraints 
or safety latches and straps are in place and function as intended.
    (4) A representative sample of emergency window exits on the 
railroad's passenger cars properly operate, in accordance with the 
requirements of Sec. 239.107 of this chapter.
    (5) Emergency lighting systems are operational.
    (6) With regard to switches:
    (i) All hand-operated switches carrying currents with a potential of 
more than 150 volts that may be operated while under load are covered 
and are operative from the outside of the cover;
    (ii) A means is provided to display whether the switches are open or 
closed; and
    (iii) Switches not designed to be operated safely while under load 
are legibly marked with the voltage carried and the words ``must not be 
operated under load''.
    (7) Each coupler is in the following condition:
    (i) The distance between the guard arm and the knuckle nose is not 
more than 5\1/8\ inches on standard type couplers (MCB contour 1904), or 
not more than 5\5/16\ inches on D&E couplers;
    (ii) The free slack in the coupler or drawbar not absorbed by 
friction devices or draft gears is not more than \1/2\ inch; and
    (iii) The draft gear is not broken, to the extent possible without 
dropping cover plates.
    (8) All trucks are equipped with a device or securing arrangement to 
prevent the truck and car body from separating in case of derailment.
    (9) All center castings on trucks are not cracked or broken, to the 
extent possible without jacking the car and rolling out the trucks. 
However, an extensive inspection of all center castings shall be 
conducted by jacking the equipment and rolling out the trucks at each 
COT&S cycle provided in Sec. 238.309 for the equipment.
    (10) All mechanical systems and components of the equipment are free 
of all the following general conditions that endanger the safety of the 
crew, passengers, or equipment:
    (i) A continuous accumulation of oil or grease;
    (ii) Improper functioning of a component;
    (iii) A crack, break, excessive wear, structural defect, or weakness 
of a component;
    (iv) A leak;
    (v) Use of a component or system under a condition that exceeds that 
for which the component or system is designed to operate; and
    (vi) Insecure attachment of a component.

[[Page 575]]

    (11) All of the items identified in the exterior calendar day 
mechanical inspection contained at Sec. 238.303 are in conformity with 
the conditions prescribed in that section.
    (12) All of the items identified in the interior calendar day 
mechanical inspection contained at Sec. 238.305 are in conformity with 
the conditions prescribed in that section.
    (d) The periodic mechanical inspection shall specifically include 
the manual door releases, which shall be inspected not less frequently 
than every 368 days. At a minimum, this inspection shall determine that 
all manual door releases operate as intended.
    (e) Records. (1) A record shall be maintained of each periodic 
mechanical inspection required to be performed by this section. This 
record may be maintained in writing or electronically, provided FRA has 
access to the record upon request. The record shall be maintained either 
in the railroad's files, the cab of the locomotive, or a designated 
location in the passenger car. The record shall be retained until the 
next periodic mechanical inspection of the same type is performed and 
shall contain the following information:
    (i) The date of the inspection;
    (ii) The location where the inspection was performed;
    (iii) The signature or electronic identification of the inspector; 
and
    (iv) The signature or electronic identification of the inspector's 
supervisor.
    (2) Detailed documentation of any reliability assessments depended 
upon for implementing an alternative inspection interval under paragraph 
(a)(2) of this section, including underlying data, shall be retained 
during the period that the alternative inspection interval is in effect. 
Data documenting inspections, tests, component replacement and renewals, 
and failures shall be retained for not less than three (3) inspection 
intervals.
    (f) Nonconformity with any of the conditions set forth in this 
section renders the car or vehicle defective whenever discovered in 
service.

[64 FR 25660, May 12, 1999, as amended at 65 FR 41308, July 3, 2000]

Sec. 238.309  Periodic brake equipment maintenance.

    (a) General. (1) This section contains the minimum intervals at 
which the brake equipment on various types of passenger equipment shall 
be periodically cleaned, repaired, and tested. This maintenance 
procedure requires that all of the equipment's brake system pneumatic 
components that contain moving parts and are sealed against air leaks be 
removed from the equipment, disassembled, cleaned, and lubricated and 
that the parts that can deteriorate with age be replaced.
    (2) A railroad may petition FRA's Associate Administrator for Safety 
to approve alternative maintenance procedures providing equivalent 
safety, in lieu of the requirements of this section. The petition shall 
be filed as provided in Sec. 238.21.
    (b) MU locomotives. The brake equipment of each MU locomotive shall 
be cleaned, repaired, and tested at intervals in accordance with the 
following schedule:
    (1) Every 736 days if the MU locomotive is part of a fleet that is 
not 100 percent equipped with air dryers;
    (2) Every 1,104 days if the MU locomotive is part of a fleet that is 
100 percent equipped with air dryers and is equipped with PS-68, 26-C, 
26-L, PS-90, CS-1, RT-2, RT-5A, GRB-1, CS-2, or 26-R brake systems. 
(This listing of brake system types is intended to subsume all brake 
systems using 26 type, ABD, or ABDW control valves and PS68, PS-90, 26B-
1, 26C, 26CE, 26-B1, 30CDW, or 30ECDW engineer's brake valves.); and
    (3) Every 736 days for all other MU locomotives.
    (c) Conventional locomotives. The brake equipment of each 
conventional locomotive shall be cleaned, repaired, and tested at 
intervals in accordance with the following schedule:
    (1) Every 1,104 days for a locomotive equipped with a 26-L or 
equivalent brake system; and
    (2) Every 736 days for a locomotive equipped with other than a 26-L 
or equivalent brake system.
    (d) Passenger coaches and other unpowered vehicles. The brake 
equipment on each passenger coach and each unpowered vehicle used in a 
passenger train shall be cleaned, repaired, and

[[Page 576]]

tested at intervals in accordance with following schedule:
    (1) Every 2,208 days for a coach or vehicle equipped with an AB-type 
brake system.
    (2) Every 1,476 days for a coach or vehicle equipped with a 26-C or 
equivalent brake system; and
    (3) Every 1,104 days for a coach or vehicle equipped with other than 
an AB, ABD, ABDX, 26-C, or equivalent brake system.
    (e) Cab cars. The brake equipment of each cab car shall be cleaned, 
repaired, and tested at intervals in accordance with the following 
schedule:
    (1) Every 1,476 days for that portion of the cab car brake system 
using brake valves that are identical to the passenger coach 26-C brake 
system;
    (2) Every 1,104 days for that portion of the cab car brake system 
using brake valves that are identical to the locomotive 26-L brake 
system; and
    (3) Every 736 days for all other types of cab car brake valves.
    (f) Records of periodic maintenance.
    (1) The date and place of the cleaning, repairing, and testing 
required by this section shall be recorded on Form FRA 6180-49A or a 
similar form developed by the railroad containing the same information, 
and the person performing the work and that person's supervisor shall 
sign the form, if possible. Alternatively, the railroad may stencil the 
vehicle with the date and place of the cleaning, repairing, and testing 
and maintain an electronic record of the person performing the work and 
that person's supervisor.
    (2) A record of the parts of the air brake system that are cleaned, 
repaired, and tested shall be kept in the railroad's files, the cab of 
the locomotive, or a designated location in the passenger car until the 
next such periodic test is performed.

[64 FR 25660, May 12, 1999, as amended at 65 FR 41309, July 3, 2000]

Sec. 238.311  Single car test.

    (a) Except for self-propelled passenger cars, single car tests of 
all passenger cars and all unpowered vehicles used in passenger trains 
shall be performed in accordance with either APTA Standard SS-M-005-98, 
``Code of Tests for Passenger Car Equipment Using Single Car Testing 
Device,'' published March, 1998; or an alternative procedure approved by 
FRA pursuant to Sec. 238.21. The incorporation by reference of this APTA 
standard was approved by the Director of the Federal Register in 
accordance with 5 U.S.C. 552(a) and 1 CFR part 51. You may obtain a copy 
of the incorporated document from the American Public Transit 
Association, 1201 New York Avenue, NW., Washington, DC 20005. You may 
inspect a copy of the document at the Federal Railroad Administration, 
Docket Clerk, 1120 Vermont Avenue, NW., Suite 7000, Washington, DC or at 
the Office of the Federal Register, 800 North Capitol Street, NW., Suite 
700, Washington, DC.
    (b) Each single car test required by this section shall be performed 
by a qualified maintenance person.
    (c) A railroad shall perform a single car test of the brake system 
of a car or vehicle described in paragraph (a) of this section if the 
car or vehicle is found with one or more of the following wheel defects:
    (1) Built-up tread;
    (2) Slid flat wheel;
    (3) Thermal crack;
    (4) Overheated wheel; or
    (5) Shelling.
    (d) A railroad need not perform the single car test required in 
paragraph (c) of this section, if the railroad can establish that the 
wheel defect is other than built-up tread and is due to a cause other 
than a defective brake system on the car.
    (e) Except as provided in paragraph (f) of this section, a railroad 
shall perform a single car test of the brake system of a car or vehicle 
described in paragraph (a) of this section when:
    (1) Except for private cars, a car or vehicle is placed in service 
after having been out of service for 30 days or more; or
    (2) One or more of the following conventional air brake equipment 
items is removed, repaired, or replaced:
    (i) Relay valve;
    (ii) Service portion;
    (iii) Emergency portion; or
    (iv) Pipe bracket.
    (f) Exception. If the single car test cannot be made at the point 
where repairs are made, the car may be moved

[[Page 577]]

in passenger service to the next forward location where the test can be 
made. A railroad may move a car in this fashion only after visually 
verifying an application and release of the brakes on both sides of the 
car that was repaired, and provided that the car is appropriately tagged 
to indicate the need to perform a single car test. The single car test 
shall be completed prior to, or as a part of, the car's next calendar 
day mechanical inspection.
    (g) If one or more of the following conventional air brake equipment 
items is removed, repaired, or replaced only that portion which is 
renewed or replaced must be tested to satisfy the provisions of this 
section:
    (1) Brake reservoir;
    (2) Brake cylinder;
    (3) Piston assembly;
    (4) Vent valve;
    (5) Quick service valve;
    (6) Brake cylinder release valve;
    (7) Modulating valve or slack adjuster; or
    (8) Angle cock or cutout cock.

[64 FR 25660, May 12, 1999, as amended at 65 FR 41309, July 3, 2000]

Sec. 238.313  Class I brake test.

    (a) Each commuter and short-distance intercity passenger train shall 
receive a Class I brake test once each calendar day that the train is 
placed or continues in passenger service.
    (b) Except as provided in paragraph (i) of this section, each long-
distance intercity passenger train shall receive a Class I brake test:
    (1) Prior to the train's departure from an originating terminal; and
    (2) Every 1,500 miles or once each additional calendar day, 
whichever occurs first, that the train remains in continuous passenger 
service.
    (c) Each passenger car and each unpowered vehicle added to a 
passenger train shall receive a Class I or Class IA brake test at the 
time it is added to the train unless notice is provided to the train 
crew that a Class I brake test was performed on the car within the 
previous calendar day and the car has not been disconnected from a 
source of compressed air for more than four hours prior to being added 
to the train. The notice required by this section shall contain the 
date, time, and location of the last Class I brake test.
    (d) Each Class I brake test shall be performed by a qualified 
maintenance person.
    (e) Each Class I brake test may be performed either separately or in 
conjunction with the exterior calendar day mechanical inspection 
required under Sec. 238.303.
    (f) Except as provided in Sec. 238.15(b), a railroad shall not use 
or haul a passenger train in passenger service from a location where a 
Class I brake test has been performed, or was required by this part to 
have been performed, with less than 100 percent operative brakes.
    (g) A Class I brake test shall be performed at the air pressure at 
which the train's air brakes will be operated, but not less than 90 psi, 
and shall be made to determine and ensure that:
    (1) The friction brakes apply and remain applied on each car in the 
train until a release of the brakes has been initiated on each car in 
response to train line electric, pneumatic, or other signals. This test 
shall include a verification that each side of each car's brake system 
responds properly to application and release signals;
    (2) The brake shoes or pads are firmly seated against the wheel or 
disc with the brakes applied;
    (3) Piston travel is within prescribed limits, either by direct 
observation, observation of an actuator, or in the case of tread brakes 
by determining that the brake shoe provides pressure to the wheel. For 
vehicles equipped with 8\1/2\-inch or 10-inch diameter brake cylinders, 
piston travel shall be within 7 to 9 inches. If piston travel is found 
to be less than 7 inches or more than 9 inches, it must be adjusted to 
nominally 7\1/2\ inches. Proper release of the brakes can be determined 
by observation of the clearance between the brake shoe and the wheel or 
between the brake pad and the brake disc.
    (4) The communicating signal system is tested and known to be 
operating as intended; a tested and operating two-way radio system meets 
this requirement;
    (5) Each brake shoe or pad is securely fastened and correctly 
aligned in relation to the wheel or to the disc;

[[Page 578]]

    (6) The engineer's brake valve or controller will cause the proper 
train line commands for each position or brake level setting;
    (7) Brake pipe leakage does not exceed 5 pounds per square inch per 
minute if leakage will affect service performance;
    (8) The emergency brake application and deadman pedal or other 
emergency control devices function as intended;
    (9) Each brake shoe or pad is not below the minimum thickness 
established by the railroad. This thickness shall not be less than the 
minimum thickness necessary to safely travel the maximum distance 
allowed between Class I brake tests;
    (10) Each angle cock and cutout cock is properly positioned;
    (11) The brake rigging or the system mounted on the car for the 
transmission of the braking force operates as intended and does not bind 
or foul so as to impede the force delivered to a brake shoe, impede the 
release of a brake shoe, or otherwise adversely affect the operation of 
the brake system;
    (12) If the train is equipped with electropneumatic brakes, an 
electropneumatic application of the brakes is made and the train is 
walked to determine that the brakes on each car in the train properly 
apply;
    (13) Each brake disc is free of any crack in accordance with the 
manufacturer's specifications or, if no specifications exist, free of 
any crack to the extent that the design permits;
    (14) If the equipment is provided with a brake indicator, the brake 
indicator operates as intended; and
    (15) The communication of brake pipe pressure changes at the rear of 
the train is verified, which may be accomplished by observation of an 
application and release of the brakes on the last car in the train.
    (h) Records. A record shall be maintained of each Class I brake test 
performed.
    (1) This record may be maintained in writing or electronically, 
provided FRA has access to the record upon request.
    (2) The written or electronic record must contain the following 
information:
    (i) The date and time that the Class I brake test was performed;
    (ii) The location where the test was performed;
    (iii) The identification number of the controlling locomotive of the 
train;
    (iv) The total number of cars inspected during the test; and
    (v) The signature or electronic identification of the inspector.
    (3) This record shall be maintained at the place where the 
inspection is conducted or at one central location and shall be retained 
for at least 92 days.
    (i) A long-distance, intercity passenger train that misses a 
scheduled calendar day Class I brake test due to a delay en route may 
proceed to the point where the Class I brake test was scheduled to be 
performed. A Class I brake test shall be completed at that point prior 
to placing the train back in service.

[64 FR 25660, May 12, 1999, as amended at 65 FR 41309, July 3, 2000]

Sec. 238.315  Class IA brake test.

    (a) Except as provided in paragraph (b) of this section, either a 
Class I or a Class IA brake test shall be performed:
    (1) Prior to the first morning departure of each commuter or short-
distance intercity passenger train, unless all of the following 
conditions are satisfied:
    (i) A Class I brake test was performed within the previous twelve 
(12) hours;
    (ii) The train has not been used in passenger service since the 
performance of the Class I brake test; and
    (iii) The train has not been disconnected from a source of 
compressed air for more than four hours since the performance of the 
Class I brake test; and
    (2) Prior to placing a train in service that has been off a source 
of compressed air for more than four hours.
    (b) A commuter or short-distance intercity passenger train that 
provides continuing late night service that began prior to midnight may 
complete its daily operating cycle after midnight without performing 
another Class I or Class IA brake test. A Class I or Class IA brake test 
shall be performed on such a train before it starts a new daily 
operating cycle.
    (c) A Class IA brake test may be performed at a shop or yard site 
and is not

[[Page 579]]

required to be repeated at the first passenger terminal if the train 
remains on a source of compressed air and:
    (1) The train remains in the custody of the train crew; or
    (2) The train crew receives notice that the Class IA brake test has 
been performed.
    (d) The Class IA brake test shall be performed by either a qualified 
person or a qualified maintenance person.
    (e) Except as provided in Sec. 238.15(b), a railroad shall not use 
or haul a passenger train in passenger service from a location where a 
Class IA brake test has been performed, or was required by this part to 
have been performed, with less than 100 percent operative brakes.
    (f) A Class IA brake test shall be performed at the air pressure at 
which the train's air brakes will be operated and shall determine and 
ensure that:
    (1) Brake pipe leakage does not exceed 5 pounds per square inch per 
minute if brake pipe leakage will affect service performance;
    (2) Each brake sets and releases by inspecting in the manner 
described in paragraph (g) of this section;
    (3) For MU locomotives that utilize an electric signal to 
communicate a service brake application and only a pneumatic signal to 
propagate an emergency brake application, the emergency brake 
application functions as intended.
    (4) Each angle cock and cutout cock is properly set;
    (5) The communication of brake pipe pressure changes at the rear of 
the train is verified, which may be accomplished by observation of an 
application and release of the brakes on the last car in the train; and
    (6) The communicating signal system is tested and known to be 
operating as intended; a tested and operating two-way radio system meets 
this requirement.
    (g) In determining whether each brake sets and releases--
    (1) The inspection of the set and release of the brakes shall be 
completed by walking the train to directly observe the set and release 
of each brake, if the railroad determines that such a procedure is safe.
    (2) If the railroad determines that operating conditions pose a 
safety hazard to an inspector walking the brakes, brake indicators may 
be used to verify the set and release on cars so equipped. However, the 
observation of the brake indicators shall not be made from the cab of 
the locomotive. The inspector shall walk the train in order to position 
himself or herself to accurately observe each indicator.

[64 FR 25660, May 12, 1999, as amended at 65 FR 41310, July 3, 2000; 67 
FR 19991, Apr. 23, 2002]

Sec. 238.317  Class II brake test.

    (a) A Class II brake test shall be performed on a passenger train 
when any of the following events occurs:
    (1) Whenever the control stand used to control the train is changed; 
except if the control stand is changed to facilitate the movement of a 
passenger train from one track to another within a terminal complex 
while not in passenger service. In these circumstances, a Class II brake 
test shall be performed prior to the train's departure from the terminal 
complex with passengers;
    (2) Prior to the first morning departure of each commuter or short-
distance intercity passenger train where a Class I brake test remains 
valid as provided in Sec. 238.315(a)(1);
    (3) When previously tested units (i.e., cars that received a Class I 
brake test within the previous calendar day and have not been 
disconnected from a source of compressed air for more than four hours) 
are added to the train;
    (4) When cars or equipment are removed from the train; and
    (5) When an operator first takes charge of the train, except for 
face-to-face relief.
    (b) A Class II brake test shall be performed by a qualified person 
or a qualified maintenance person.
    (c) Except as provided in Sec. 238.15, a railroad shall not use or 
haul a passenger train in passenger service from a terminal or yard 
where a Class II brake test has been performed, or was required by this 
part to have been performed, with any of the brakes cut-out, 
inoperative, or defective.
    (d) In performing a Class II brake test on a train, a railroad shall 
determine that:
    (1) The brakes on the rear unit of the train apply and release in 
response to a

[[Page 580]]

signal from the engineer's brake valve or controller of the leading or 
controlling unit, or a gauge or similar device located at the rear of 
the train or in the cab of the rear unit indicates that brake pipe 
pressure changes are properly communicated at the rear of the train;
    (2) For MU locomotives that utilize an electric signal to 
communicate a service brake application and only a pneumatic signal to 
propagate an emergency brake application, the emergency brake 
application functions as intended.
    (3) The communicating signal system is tested and known to be 
operating as intended; a tested and operating two-way radio system meets 
this requirement.

[64 FR 25660, May 12, 1999, as amended at 65 FR 41310, July 3, 2000; 67 
FR 19991, Apr. 23, 2002]

Sec. 238.319  Running brake test.

    (a) As soon as conditions safely permit, a running brake test shall 
be performed on each passenger train after the train has received, or 
was required under this part to have received, either a Class I, Class 
IA, or Class II brake test.
    (b) A running brake test shall be performed whenever the control 
stand used to control the train is changed to facilitate the movement of 
a passenger train from one track to another within a terminal complex 
while not in passenger service.
    (c) The running brake test shall be conducted in accordance with the 
railroad's established operating rules, and shall be made by applying 
brakes in a manner that allows the engineer to ascertain whether the 
brakes are operating properly.
    (d) If the engineer determines that the brakes are not operating 
properly, the engineer shall stop the train and follow the procedures 
provided in Sec. 238.15.

    Subpart E--Specific Requirements for Tier II Passenger Equipment

Sec. 238.401  Scope.

    This subpart contains specific requirements for railroad passenger 
equipment operating at speeds exceeding 125 mph but not exceeding 150 
mph. The requirements of this subpart apply beginning on September 9, 
1999. As stated in Sec. 238.433(b), all such passenger equipment remains 
subject to the requirements concerning couplers and uncoupling devices 
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.

Sec. 238.403  Crash energy management.

    (a) Each power car and trailer car shall be designed with a crash 
energy management system to dissipate kinetic energy during a collision. 
The crash energy management system shall provide a controlled 
deformation and collapse of designated sections within the unoccupied 
volumes to absorb collision energy and to reduce the decelerations on 
passengers and crewmembers resulting from dynamic forces transmitted to 
occupied volumes.
    (b) The design of each unit shall consist of an occupied volume 
located between two normally unoccupied volumes. Where practical, 
sections within the unoccupied volumes shall be designed to be 
structurally weaker than the occupied volume. During a collision, the 
designated sections within the unoccupied volumes shall start to deform 
and eventually collapse in a controlled fashion to dissipate energy 
before any structural damage occurs to the occupied volume.
    (c) At a minimum, each Tier II passenger train shall be designed to 
meet the following requirements:
    (1) Thirteen megajoules (MJ) shall be absorbed at each end of the 
train through the controlled crushing of unoccupied volumes, and of this 
amount a minimum of 5 MJ shall be absorbed ahead of the operator's cab 
in each power car;
    (2) A minimum of an additional 3 MJ shall be absorbed by the power 
car structure between the operator's cab and the first trailer car; and
    (3) The end of the first trailer car adjacent to each power car 
shall absorb a minimum of 5 MJ through controlled crushing.

[[Page 581]]

    (d) For a 30-mph collision of a Tier II passenger train on tangent, 
level track with an identical stationary train:
    (1) When seated anywhere in a trailer car, the velocity at which a 
50th-percentile adult male contacts the seat back ahead of him shall not 
exceed 25 mph; and
    (2) The deceleration of the occupied volumes of each trailer car 
shall not exceed 8g. For the purpose of demonstrating compliance with 
this paragraph, deceleration measurements may be processed through a 
low-pass filter having a bandwidth of 50 Hz.
    (e) Compliance with paragraphs (a) through (d) of this section shall 
be demonstrated by analysis using a dynamic collision computer model. 
For the purpose of demonstrating compliance, the following assumptions 
shall be made:
    (1) The train remains upright, in line, and with all wheels on the 
track throughout the collision; and
    (2) Resistance to structural crushing follows the force-versus-
displacement relationship determined during the structural analysis 
required as part of the design of the train.
    (f) Passenger seating shall not be permitted in the leading unit of 
a Tier II passenger train.

Sec. 238.405  Longitudinal static compressive strength.

    (a) To form an effective crash refuge for crewmembers occupying the 
cab of a power car, the underframe of the cab of a power car shall 
resist a minimum longitudinal static compressive force of 2,100,000 
pounds without permanent deformation to the cab, unless equivalent 
protection to crewmembers is provided under an alternate design 
approach, validated through analysis and testing, and approved by FRA 
under the provisions of Sec. 238.21.
    (b) The underframe of the occupied volume of each trailer car shall 
resist a minimum longitudinal static compressive force of 800,000 pounds 
without permanent deformation to the car. To demonstrate compliance with 
this requirement, the 800,000-pound load shall be applied to the 
underframe of the occupied volume as it would be transmitted to the 
underframe by the full structure of the vehicle.
    (c) Unoccupied volumes of a power car or a trailer car designed to 
crush as part of the crash energy management design are not subject to 
the requirements of this section.

Sec. 238.407  Anti-climbing mechanism.

    (a) Each power car shall have an anti-climbing mechanism at its 
forward end capable of resisting an ultimate upward or downward static 
vertical force of 200,000 pounds. A power car constructed with a crash 
energy management design is permitted to crush in a controlled manner 
before the anti-climbing mechanism fully engages.
    (b) Interior train coupling points between units, including between 
units of articulated cars or other permanently joined units of cars, 
shall have an anti-climbing mechanism capable of resisting an upward or 
downward vertical force of 100,000 pounds without yielding.
    (c) The forward coupler of a power car shall be attached to the car 
body to resist a vertical downward force of 100,000 pounds for any 
horizontal position of the coupler without yielding.

Sec. 238.409  Forward end structures of power car cabs.

    This section contains requirements for the forward end structure of 
the cab of a power car. (A conceptual implementation of this end 
structure is provided in Figure 1 to this subpart.)
    (a) Center collision post. The forward end structure shall have a 
full-height center collision post, or its structural equivalent, capable 
of withstanding the following:
    (1) A shear load of 500,000 pounds at its joint with the underframe 
without exceeding the ultimate strength of the joint;
    (2) A shear load of 150,000 pounds at its joint with the roof 
without exceeding the ultimate strength of the joint; and
    (3) A horizontal, longitudinal force of 300,000 pounds, applied at a 
point on level with the bottom of the windshield, without exceeding its 
ultimate strength.

[[Page 582]]

    (b) Side collision posts. The forward end structure shall have two 
side collision posts, or their structural equivalent, located at 
approximately the one-third points laterally, each capable of 
withstanding the following:
    (1) A shear load of 500,000 pounds at its joint with the underframe 
without exceeding the ultimate strength of the joint; and
    (2) A horizontal, longitudinal force of 300,000 pounds, applied at a 
point on level with the bottom of the windshield, without exceeding its 
ultimate strength.
    (c) Corner posts. The forward end structure shall have two full-
height corner posts, or their structural equivalent, each capable of 
withstanding the following:
    (1) A horizontal, longitudinal or lateral shear load of 300,000 
pounds at its joint with the underframe, without exceeding the ultimate 
strength of the joint;
    (2) A horizontal, lateral force of 100,000 pounds applied at a point 
30 inches up from the underframe attachment, without exceeding the yield 
or the critical buckling stress; and
    (3) A horizontal, longitudinal or lateral shear load of 80,000 
pounds at its joint with the roof, without exceeding the ultimate 
strength of the joint.
    (d) Skin. The skin covering the forward-facing end of each power car 
shall be:
    (1) 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;
    (2) Securely attached to the end structure; and
    (3) Sealed to prevent the entry of fluids into the occupied cab area 
of the equipment. As used in paragraph (d), the term ``skin'' does not 
include forward-facing windows and doors.

Sec. 238.411  Rear end structures of power car cabs.

    The rear end structure of the cab of a power car shall be designed 
to include the following elements, or their structural equivalent. (A 
conceptual implementation of this end structure is provided in Figure 2 
to this subpart.)
    (a) Corner posts. The rear end structure shall have two full-height 
corner posts, or their structural equivalent, each capable of 
withstanding the following:
    (1) A horizontal, longitudinal or lateral shear load of 300,000 
pounds at its joint with the underframe without exceeding the ultimate 
strength of the joint; and
    (2) A horizontal, longitudinal or lateral shear load of 80,000 
pounds at its joint with the roof without exceeding the ultimate 
strength of the joint.
    (b) Collision posts. The rear end structure shall have two full-
height collision posts, or their structural equivalent, each capable of 
withstanding the following:
    (1) A horizontal, longitudinal shear load of 500,000 pounds at its 
joint with the underframe without exceeding the ultimate strength of the 
joint; and
    (2) A horizontal, longitudinal shear load of 75,000 pounds at its 
joint with the roof without exceeding the ultimate strength of the 
joint.

[64 FR 25660, May 12, 1999, as amended at 67 FR 19991, Apr. 23, 2002]

Sec. 238.413  End structures of trailer cars.

    (a) Except as provided in paragraph (b) of this section, the end 
structure of a trailer car shall be designed to include the following 
elements, or their structural equivalent. (A conceptual implementation 
of this end structure is provided in Figure 3 to this subpart.)
    (1) Corner posts. Two full-height corner posts, each capable of 
withstanding the following:
    (i) A horizontal, longitudinal shear load of 150,000 pounds at its 
joint with the underframe without exceeding the ultimate strength of the 
joint;
    (ii) A horizontal, longitudinal or lateral force of 30,000 pounds 
applied at a point 18 inches up from the underframe attachment without 
exceeding the yield or the critical buckling stress; and
    (iii) A horizontal, longitudinal or lateral shear load of 20,000 
pounds at its joint with the roof without exceeding the ultimate 
strength of the joint.

[[Page 583]]

    (2) Collision posts. Two full-height collision posts each capable of 
withstanding the following:
    (i) A horizontal, longitudinal shear load of 300,000 pounds at its 
joint with the underframe without exceeding the ultimate strength of the 
joint; and
    (ii) A horizontal, longitudinal shear load of 60,000 pounds at its 
joint with the roof without exceeding the ultimate strength of the 
joint.
    (b) If the trailer car is designed with an end vestibule, the end 
structure inboard of the vestibule shall have two full-height corner 
posts, or their structural equivalent, each capable of withstanding the 
following (A conceptual implementation of this end structure is provided 
in Figure 4 to this subpart):
    (1) A horizontal, longitudinal shear load of 200,000 pounds at its 
joint with the underframe without exceeding the ultimate strength of the 
joint;
    (2) A horizontal, lateral force of 30,000 pounds applied at a point 
18 inches up from the underframe attachment without exceeding the yield 
or the critical buckling stress;
    (3) A horizontal, longitudinal force of 50,000 pounds applied at a 
point 18 inches up from the underframe attachment without exceeding the 
yield or the critical buckling stress; and
    (4) A horizontal, longitudinal or lateral shear load of 20,000 
pounds at its joint with the roof without exceeding the ultimate 
strength of the joint.

Sec. 238.415  Rollover strength.

    (a) Each passenger car and power car shall be designed to rest on 
its side and be uniformly supported at the top (``roof rail'') and the 
bottom chords (``side sill'') of the side frame. 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. Minor localized deformations to the outer side skin of the 
passenger car or power car is allowed provided such deformations in no 
way intrude upon the occupied volume of each car.
    (b) Each passenger car and power car shall also be designed to rest 
on its roof so that any damage in occupied areas is limited to 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. 238.417  Side loads.

    (a) Each passenger car body structure shall be designed to resist an 
inward transverse load of 80,000 pounds of force applied to the side 
sill and 10,000 pounds of force applied to the belt rail (horizontal 
members at the bottom of the window opening in the side frame).
    (b) These loads shall be considered to be applied separately over 
the full vertical dimension of the specified member for any distance of 
8 feet in the direction of the length of the car.
    (c) The allowable stress shall be the lesser of the yield stress, 
except as otherwise allowed by this paragraph, or the critical buckling 
stress. In calculating the stress to show compliance with this 
requirement, local yielding of the side skin adjacent to the side sill 
and belt rail, and local yielding of the side sill bend radii at the 
crossbearer and floor-beam connections is allowed. For purposes of this 
paragraph, local yielding is allowed provided the resulting deformations 
in no way intrude upon the occupied volume of the car.
    (d) The connections of the side frame to the roof and underframe 
shall support the loads specified in this section.

Sec. 238.419  Truck-to-car-body and truck component attachment.

    (a) The ultimate strength of the truck-to-car-body attachment for 
each unit in a train shall be sufficient to resist without failure the 
following individually applied loads: a vertical force equivalent to 2g 
acting on the mass of the truck; and a force of 250,000 pounds acting in 
any horizontal direction on the truck, along with the resulting vertical 
reaction to this load.
    (b) Each component of a truck (which include axles, wheels, 
bearings, the truck-mounted brake system, suspension system components, 
and any other components attached to the truck by design) shall remain 
attached to the

[[Page 584]]

truck when a force equivalent to 2g acting on the mass of the component 
is exerted in any direction on that component.

[64 FR 25660, May 12, 1999, as amended at 67 FR 19992, Apr. 23, 2002]

Sec. 238.421  Glazing.

    (a) General. Except as provided in paragraphs (b) and (c) of this 
section, each exterior window on a passenger car and a power car cab 
shall comply with the requirements contained in part 223 of this 
chapter.
    (b) Particular end-facing exterior glazing requirements. Each end-
facing exterior window in a passenger car and a power car cab shall 
also, in the orientation in which it is installed in the car:
    (1) Resist the impact of a 12-pound solid steel sphere traveling (i) 
at the maximum speed at which the car will operate (ii) at an impact 
angle no less severe than horizontal to the car, with no penetration or 
spall. An impact angle that is perpendicular (90 degrees) to the 
window's surface shall be considered the most severe impact angle for 
purposes of this requirement; and
    (2) Demonstrate anti-spalling performance by the use of a 0.001-inch 
thick aluminum witness plate, placed 12 inches from the window's surface 
during all impact tests. The witness plate shall contain no marks from 
spalled glazing particles after any impact test; and
    (3) Be permanently marked, prior to installation, in such a manner 
that the marking is clearly visible after the material has been 
installed. The marking shall include:
    (i) The words ``FRA TYPE IHP'' to indicate that the material has 
successfully passed the testing requirements specified in this 
paragraph;
    (ii) The name of the manufacturer; and
    (iii) The type or brand identification of the material.
    (c) Passenger equipment ordered prior to May 12, 1999. Each exterior 
window in passenger equipment ordered prior to May 12, 1999, may comply 
with the following glazing requirements in lieu of the requirements 
specified in paragraphs (a) and (b) of this section:
    (1) Each end-facing exterior window shall, in the orientation in 
which it is installed in the vehicle, resist the impact of a 12-pound 
solid steel sphere traveling (i) at the maximum speed at which the 
vehicle will operate (ii) at an impact angle no less severe than 
horizontal to the vehicle, with no penetration or spall. An impact angle 
that is perpendicular to the window's surface shall be considered the 
most severe impact angle for purposes of this requirement.
    (2) Each side-facing exterior window shall resist the impact of a:
    (i) 12-pound solid steel sphere at 15 mph, at an angle of 90 degrees 
to the window's surface, with no penetration or spall; and
    (ii) A granite ballast stone weighing a minimum of 0.5 pounds, 
traveling at 75 mph and impacting at a 90-degree angle to the window's 
surface, with no penetration or spall.
    (3) All exterior windows shall:
    (i) Resist a single impact of a 9-mm, 147-grain bullet traveling at 
an impact velocity of 900 feet per second, with no bullet penetration or 
spall; and
    (ii) Demonstrate anti-spalling performance by the use of a 0.002-
inch thick aluminum witness plate, placed 12 inches from the window's 
surface during all impact tests. The witness plate shall contain no 
marks from spalled glazing particles after any impact test; and
    (iii) Be permanently marked, prior to installation, in such a manner 
that the marking is clearly visible after the material has been 
installed. The marking shall include:
    (A) The words ``FRA TYPE IH'' for end-facing glazing or ``FRA TYPE 
IIH'' for side-facing glazing, to indicate that the material has 
successfully passed the testing requirements of this section;
    (B) The name of the manufacturer; and
    (C) The type or brand identification of the material.
    (d) Glazing securement. Each exterior window on a passenger car and 
a power car cab shall remain in place when subjected to:
    (1) The forces due to air pressure differences caused when two 
trains pass

[[Page 585]]

at the minimum separation for two adjacent tracks, while traveling in 
opposite directions, each train traveling at the maximum authorized 
speed; and
    (2) The impact forces that the glazed window is required to resist 
as specified in this section.
    (e) Stenciling. Each car that is fully equipped with glazing 
materials that meet the requirements of this section shall be stenciled 
on an interior wall as follows: ``Fully Equipped with FRA Part 238 
Glazing'' or similar words conveying that meaning, in letters at least 
\3/8\ of an inch high.

[64 FR 25660, May 12, 1999, as amended at 67 FR 19992, Apr. 23, 2002]

Sec. 238.423  Fuel tanks.

    (a) External fuel tanks. Each type of external fuel tank must be 
approved by FRA's Associate Administrator for Safety upon a showing that 
the fuel tank provides a level of safety at least equivalent to a fuel 
tank that complies with the external fuel tank requirements in 
Sec. 238.223(a).
    (b) Internal fuel tanks. Internal fuel tanks shall comply with the 
requirements specified in Sec. 238.223(b).

Sec. 238.425  Electrical system.

    (a) Circuit protection. (1) The main propulsion power line shall be 
protected with a lightning arrestor, automatic circuit breaker, and 
overload relay. The lightning arrestor shall be run by the most direct 
path possible to ground with a connection to ground of not less than No. 
6 AWG. These overload protection devices shall be housed in an enclosure 
designed specifically for that purpose with the arc chute vented 
directly to outside air.
    (2) Head end power, including trainline power distribution, shall be 
provided with both overload and ground fault protection.
    (3) Circuits used for purposes other than propelling the equipment 
shall be connected to their power source through circuit breakers or 
equivalent current-limiting devices.
    (4) Each auxiliary circuit shall be provided with a circuit breaker 
located as near as practical to the point of connection to the source of 
power for that circuit; however, such protection may be omitted from 
circuits controlling safety-critical devices.
    (b) Main battery system. (1) The main batteries shall be isolated 
from the cab and passenger seating areas by a non-combustible barrier.
    (2) Battery chargers shall be designed to protect against 
overcharging.
    (3) Battery circuits shall include an emergency battery cut-off 
switch to completely disconnect the energy stored in the batteries from 
the load.
    (4) If batteries are of the type to potentially vent explosive 
gases, the batteries shall be adequately ventilated to prevent 
accumulation of explosive concentrations of these gases.
    (c) Power dissipation resistors. (1) Power dissipating resistors 
shall be adequately ventilated to prevent overheating under worst-case 
operating conditions.
    (2) Power dissipation grids shall be designed and installed with 
sufficient isolation to prevent combustion between resistor elements and 
combustible material.
    (3) Power dissipation resistor circuits shall incorporate warning or 
protective devices for low ventilation air flow, over-temperature, and 
short circuit failures.
    (4) Resistor elements shall be electrically insulated from resistor 
frames, and the frames shall be electrically insulated from the supports 
that hold them.
    (d) Electromagnetic interference and compatibility. (1) The 
operating railroad shall ensure electromagnetic compatibility of the 
safety-critical equipment systems with their environment. 
Electromagnetic compatibility can be achieved through equipment design 
or changes to the operating environment.
    (2) The electronic equipment shall not produce electrical noise that 
interferes with trainline control and communications or with wayside 
signaling systems.
    (3) To contain electromagnetic interference emissions, suppression 
of transients shall be at the source wherever possible.
    (4) Electrical and electronic systems of equipment shall be capable 
of operation in the presence of external electromagnetic noise sources.

[[Page 586]]

    (5) All electronic equipment shall be self-protected from damage or 
improper operation, or both, due to high voltage transients and long-
term over-voltage or under-voltage conditions.

Sec. 238.427  Suspension system.

    (a) General requirements. (1) Suspension systems shall be designed 
to reasonably prevent wheel climb, wheel unloading, rail rollover, rail 
shift, and a vehicle from overturning to ensure safe, stable performance 
and ride quality. These requirements shall be met:
    (i) In all operating environments, and under all track conditions 
and loading conditions as determined by the operating railroad; and
    (ii) At all track speeds and over all track qualities consistent 
with the Track Safety Standards in part 213 of this chapter, up to the 
maximum operating speed and maximum cant deficiency of the equipment.
    (2) Passenger equipment shall meet the safety performance standards 
for suspension systems contained in appendix C to this part, or 
alternative standards providing at least equivalent safety if approved 
by FRA under the provisions of Sec. 238.21.
    (b) Car body accelerations. (1) A passenger car shall not operate 
under conditions that result in a steady-state lateral acceleration 
greater than 0.12g as measured parallel to the car floor inside the 
passenger compartment. During pre-revenue service acceptance testing of 
the equipment under Sec. 238.111 and Sec. 213.345 of this chapter, a 
passenger car shall demonstrate that steady-state lateral acceleration 
does not exceed 0.1g at the maximum intended cant deficiency.
    (2) While traveling at the maximum operating speed over the intended 
route, the train suspension system shall be designed to:
    (i) Limit the vertical acceleration, as measured by a vertical 
accelerometer mounted on the car floor, to no greater than 0.55g single 
event, peak-to-peak over a one second period;
    (ii) Limit lateral acceleration, as measured by a lateral 
accelerometer mounted on the car floor, to no greater than 0.3g single 
event, peak-to-peak over a one second period; and
    (iii) Limit the combination of lateral acceleration (a<INF>L</INF>) 
and vertical acceleration (a<INF>V</INF>) occurring over a one second 
period as expressed by the square root of (a<INF>L</INF>\2\ 
+a<INF>V</INF>\2\) to no greater than 0.6g, where a<INF>L</INF> may not 
exceed 0.3g and a<INF>V</INF> may not exceed 0.55g. Compliance with the 
requirements of paragraph (b)(2) shall be demonstrated during the pre-
revenue service acceptance testing of the equipment required under 
Sec. 238.111 and Sec. 213.345 of this chapter.
    (3) For purposes of this paragraph:
    (i) Car body acceleration measurements shall be processed through a 
filter having a cut-off frequency of 10 Hz; and
    (ii) Steady-state lateral acceleration shall be computed as the 
mathematical average of the accelerations in the body of a curve, 
between the spiral/curve points. In a compound curve, steady-state 
lateral acceleration shall be measured separately for each curve 
segment.
    (c) Truck (hunting) acceleration.Each truck shall be equipped with a 
permanently installed lateral accelerometer mounted on the truck frame. 
The accelerometer output signals shall be processed through a filter 
having a band pass of 0.5 to 10 Hz to determine if hunting oscillations 
of the truck are occurring. If hunting oscillations are detected, the 
train monitoring system shall provide an alarm to the operator, and the 
train shall be slowed to a speed at least 5 mph less than the speed at 
which the hunting oscillations stopped. For purposes of this paragraph, 
hunting oscillations are considered a sustained cyclic oscillation of 
the truck which is evidenced by lateral accelerations in excess of 0.4g 
root mean square (mean-removed) for 2 seconds.
    (d) Overheat sensors. Overheat sensors for each wheelset journal 
bearing shall be provided. The sensors may be placed either onboard the 
equipment or at reasonable intervals along the railroad's right-of-way.

[64 FR 25660, May 12, 1999, as amended at 67 FR 19992, Apr. 23, 2002]

Sec. 238.429  Safety appliances.

    (a) Couplers. (1) The leading and the trailing ends of a semi-
permanently coupled trainset shall each be equipped with an automatic 
coupler that couples

[[Page 587]]

on impact and uncouples by either activation of a traditional uncoupling 
lever or some other type of uncoupling mechanism that does not require a 
person to go between the equipment units.
    (2) The automatic coupler and uncoupling device on the leading and 
trailing ends of a semi-permanently coupled trainset may be stored 
within a removable shrouded housing.
    (3) If the units in a train are not semi-permanently coupled, both 
ends of each unit shall be equipped with an automatic coupler that 
couples on impact and uncouples by either activation of a traditional 
uncoupling lever or some other type of uncoupling mechanism that does 
not require a person to go between the equipment units.
    (b) Hand brakes. Except as provided in paragraph (f) of this 
section, Tier II trains shall be equipped with a parking or hand brake 
that can be applied and released manually and that is capable of holding 
the train on a 3-percent grade.
    (c) Safety appliance mechanical strength and fasteners. (1) All 
handrails, handholds, and sill steps shall be made of 1-inch diameter 
steel pipe, \5/8\-inch thickness steel, or a material of equal or 
greater mechanical strength.
    (2) All safety appliances shall be securely fastened to the car body 
structure with mechanical fasteners that have mechanical strength 
greater than or equal to that of a \1/2\-inch diameter SAE grade steel 
bolt mechanical fastener.
    (i) Safety appliance mechanical fasteners shall have mechanical 
strength and fatigue resistance equal to or greater than a \1/2\-inch 
diameter SAE steel bolt.
    (ii) Mechanical fasteners shall be installed with a positive means 
to prevent unauthorized removal. Self-locking threaded fasteners do not 
meet this requirement.
    (iii) Mechanical fasteners shall be installed to facilitate 
inspection.
    (d) Handrails and handholds. Except as provided in paragraph (f) of 
this section:
    (1) Handrails shall be provided for passengers on both sides of all 
steps used to board or depart the train.
    (2) Exits on a power vehicle shall be equipped with handrails and 
handholds so that crewmembers can get on and off the vehicle safely.
    (3) Throughout their entire length, handrails and handholds shall be 
a color that contrasts with the color of the vehicle body to which they 
are fastened.
    (4) The maximum distance above the top of the rail to the bottom of 
vertical handrails and handholds shall be 51 inches, and the minimum 
distance shall be 21 inches.
    (5) Vertical handrails and handholds shall be installed to continue 
to a point at least equal to the height of the top edge of the control 
cab door.
    (6) The minimum hand clearance distance between a vertical handrail 
or handhold and the vehicle body shall be 2\1/2\ inches for the entire 
length.
    (7) All vertical handrails and handholds shall be securely fastened 
to the vehicle body.
    (8) If the length of the handrail exceeds 60 inches, it shall be 
securely fastened to the power vehicle body with two fasteners at each 
end.
    (e) Sill steps. Except as provided in paragraph (f) of this section, 
each power vehicle shall be equipped with a sill step below each 
exterior door as follows:
    (1) The sill step shall have a minimum cross-sectional area of \1/2\ 
by 3 inches;
    (2) The sill step shall be made of steel or a material of equal or 
greater strength and fatigue resistance;
    (3) The minimum tread length of the sill step shall be 10 inches;
    (4) The minimum clear depth of the sill step shall be 8 inches;
    (5) The outside edge of the tread of the sill step shall be flush 
with the side of the car body structure;
    (6) Sill steps shall not have a vertical rise between treads 
exceeding 18 inches;
    (7) The lowest sill step tread shall be not more than 24, preferably 
not more than 22, inches above the top of the track rail;
    (8) Sill steps shall be a color that contrasts with the color of the 
power vehicle body to which they are fastened;
    (9) Sill steps shall be securely fastened;

[[Page 588]]

    (10) At least 50 percent of the tread surface area of each sill step 
shall be open space; and
    (11) The portion of the tread surface area of each sill step which 
is not open space and is normally contacted by the foot shall be treated 
with an anti-skid material.
    (f) Exceptions. (1) If the units of the equipment are semi-
permanently coupled, with uncoupling done only at maintenance 
facilities, the equipment units that are not required by paragraph (a) 
of this section to be equipped with automatic couplers need not be 
equipped with sill steps or end or side handholds that would normally be 
used to safely perform coupling and uncoupling operations.
    (2) If the units of the equipment are not semi-permanently coupled, 
the units shall be equipped with hand brakes, sill steps, end handholds, 
and side handholds that meet the requirements contained in Sec. 231.14 
of this chapter.
    (3) If two trainsets are coupled to form a single train that is not 
semi-permanently coupled (i.e., that is coupled by an automatic 
coupler), the automatically coupled ends shall be equipped with an end 
handhold that is located and installed so that an individual can safely 
couple and uncouple the trainsets. The end handhold shall be not more 
than 16 inches from each side of the car and shall extend the remaining 
length of the end of the car. (If the equipment is designed with a 
tapered nose, the side of the car shall be determined based on the outer 
dimension of the tapered nose where the end handhold is attached.) The 
end handhold shall also meet the mechanical strength and design 
requirements contained in paragraphs (c), (d)(3), and (d)(6) of this 
section. If the trainsets are semi-permanently coupled, this safety 
appliance is not required.
    (g) Optional safety appliances. Safety appliances installed at the 
option of the railroad shall be firmly attached with mechanical 
fasteners and shall meet the design and installation requirements 
provided in this section.

[64 FR 25660, May 12, 1999, as amended at 67 FR 19992, Apr. 23, 2002]

Sec. 238.431  Brake system.

    (a) A passenger train's brake system shall be capable of stopping 
the train from its maximum operating speed within the signal spacing 
existing on the track over which the train is operating under worst-case 
adhesion conditions.
    (b) The brake system shall be designed to allow an inspector to 
determine that the brake system is functioning properly without having 
to place himself or herself in a dangerous position on, under, or 
between the equipment.
    (c) Passenger equipment shall be provided with an emergency brake 
application feature that produces an irretrievable stop, using a brake 
rate consistent with prevailing adhesion, passenger safety, and brake 
system thermal capacity. An emergency brake application shall be 
available at any time, and shall be initiated by an unintentional 
parting of the train. A means to initiate an emergency brake application 
shall be provided at two locations in each unit of the train; however, 
where a unit of the train is 45 feet or less in length a means to 
initiate an emergency brake application need only be provided at one 
location in the unit.
    (d) The brake system shall be designed to prevent thermal damage to 
wheels and brake discs. The operating railroad shall demonstrate through 
analysis and testing that no thermal damage results to the wheels or 
brake discs under conditions resulting in maximum braking effort being 
exerted on the wheels or discs.
    (e) The following requirements apply to blended braking systems:
    (1) Loss of power or failure of the dynamic brake does not result in 
exceeding the allowable stopping distance;
    (2) The friction brake alone is adequate to safely stop the train 
under all operating conditions;
    (3) The operational status of the electric portion of the brake 
system shall be displayed for the train operator in the control cab; and
    (4) The operating railroad shall demonstrate through analysis and 
testing the maximum operating speed for safe operation of the train 
using only the friction brake portion of the blended

[[Page 589]]

brake with no thermal damage to wheels or discs.
    (f) The brake system design shall allow a disabled train's pneumatic 
brakes to be controlled by a conventional locomotive, during a rescue 
operation, through brake pipe control alone.
    (g) An independent failure-detection system shall compare brake 
commands with brake system output to determine if a failure has 
occurred. The failure detection system shall report brake system 
failures to the automated train monitoring system.
    (h) Passenger equipment shall be equipped with an adhesion control 
system designed to automatically adjust the braking force on each wheel 
to prevent sliding during braking. In the event of a failure of this 
system to prevent wheel slide within preset parameters, a wheel slide 
alarm that is visual or audible, or both, shall alert the train operator 
in the cab of the controlling power car to wheel-slide conditions on any 
axle of the train.

Sec. 238.433  Draft system.

    (a) Leading and trailing automatic couplers of trains shall be 
compatible with standard AAR couplers with no special adapters used.
    (b) All passenger equipment continues to be subject to the 
requirements concerning couplers and uncoupling devices 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.

Sec. 238.435  Interior fittings and surfaces.

    (a) Each seat back and seat attachment in a passenger car shall be 
designed to withstand, with deflection but without total failure, the 
load associated with the impact into the seat back of an unrestrained 
95th-percentile adult male initially seated behind the seat back, when 
the floor to which the seat is attached decelerates with a triangular 
crash pulse having a peak of 8g and a duration of 250 milliseconds.
    (b) Each seat back in a passenger car shall include shock-absorbent 
material to cushion the impact of occupants with the seat ahead of them.
    (c) The ultimate strength of each seat attachment to a passenger car 
body shall be sufficient to withstand the following individually applied 
accelerations acting on the mass of the seat plus the mass of a seat 
occupant who is a 95th-percentile adult male:
    (1) Lateral: 4g; and
    (2) Vertical: 4g.
    (d)(1) Other interior fittings shall be attached to the passenger 
car body with sufficient strength to withstand the following 
individually applied accelerations acting on the mass of the fitting:
    (i) Longitudinal: 8g;
    (ii) Lateral: 4g; and
    (iii) Vertical: 4g.
    (2) Fittings that can be expected to be impacted by a person during 
a collision, such as tables between facing seats, shall be designed for 
the mass of the fitting plus the mass of the number of occupants who are 
95th-percentile adult males that could be expected to strike the 
fitting, when the floor of the passenger car decelerates with a 
triangular crash pulse having a peak of 8g and a duration of 250 
milliseconds.
    (e) The ultimate strength of the interior fittings and equipment in 
power car control cabs shall be sufficient to resist without failure 
loads due to the following individually applied accelerations acting on 
the mass of the fitting or equipment:
    (1) Longitudinal: 12g;
    (2) Lateral: 4g; and
    (3) Vertical: 4g.
    (f) To the extent possible, interior fittings, except seats, shall 
be recessed or flush-mounted. Corners and sharp edges shall be avoided 
or otherwise padded.
    (g) Energy-absorbent material shall be used to pad surfaces likely 
to be impacted by occupants during collisions or derailments.
    (h) Luggage stowage compartments shall be enclosed, and have an 
ultimate strength sufficient to resist loads due to the following 
individually applied accelerations acting on the mass of the luggage 
that the compartments are designed to accommodate:
    (1) Longitudinal: 8g;
    (2) Lateral: 4g; and
    (3) Vertical: 4g.
    (i) If, for purposes of showing compliance with the requirements of 
this section, the strength of a seat attachment

[[Page 590]]

is to be demonstrated through sled testing, the seat structure and seat 
attachment to the sled that are used in such testing must be 
representative of the actual seat structure in, and seat attachment to, 
the rail vehicle subject to the requirements of this section. If the 
attachment strength of any other interior fitting is to be demonstrated 
through sled testing, for purposes of showing compliance with the 
requirements of this section, such testing shall be conducted in a 
similar manner.

[64 FR 25660, May 12, 1999, as amended at 67 FR 19992, Apr. 23, 2002]

Sec. 238.437  Emergency communication.

    A means of emergency communication throughout a train shall be 
provided and shall include the following:
    (a) Except as further specified, transmission locations at each end 
of each passenger car, adjacent to the car's end doors, and accessible 
to both passengers and crewmembers without requiring the use of a tool 
or other implement. If the passenger car does not exceed 45 feet in 
length, or if the passenger car was ordered prior to May 12, 1999, only 
one transmission location is required;
    (b) Transmission locations that are clearly marked with luminescent 
material;
    (c) Clear and understandable operating instructions at or near each 
transmission location; and
    (d) Back-up power for a minimum period of 90 minutes.

[64 FR 25660, May 12, 1999, as amended at 67 FR 19993, Apr. 23, 2002]

Sec. 238.439  Doors.

    (a) Each passenger car shall have a minimum of two exterior side 
doors, each door providing a minimum clear opening with dimensions of 30 
inches horizontally by 74 inches vertically.

    Note: The Americans with Disabilities Act (ADA) Accessibility 
Specifications for Transportation Vehicles also contain requirements for 
doorway clearance (See 49 CFR part 38).

    (b) Each passenger car shall be equipped with a manual override 
feature for each powered, exterior side door. Each manual override must 
be:
    (1) Capable of releasing the door to permit it to be opened, without 
power, from both inside and outside the car;
    (2) Located adjacent to the door which it controls; and
    (3) Designed and maintained so that a person may readily access and 
operate the override device from both inside and outside the car without 
the use of any tool or other implement.
    (c) The status of each powered, exterior side door in a passenger 
car shall be displayed to the crew in the operating cab. If door 
interlocks are used, the sensors used to detect train motion shall be 
nominally set to operate at 3 mph.
    (d) Each powered, exterior side door in a passenger car shall be 
connected to an emergency back-up power system.
    (e) A railroad may protect a manual override device used to open a 
powered, exterior door with a cover or a screen capable of removal 
without requiring the use of a tool or other implement.
    (f) A passenger compartment end door (other than a door providing 
access to the exterior of the trainset) shall be equipped with a kick-
out panel, pop-out window, or other similar means of egress in the event 
the door will not open, or shall be so designed as to pose a negligible 
probability of becoming inoperable in the event of car body distortion 
following a collision or derailment.
    (g) Door exits shall be marked, and instructions provided for their 
use, as required by Sec. 239.107(a) of this chapter.

[64 FR 25660, May 12, 1999, as amended at 67 FR 19993, Apr. 23, 2002]

Sec. 238.441  Emergency roof entrance location.

    (a) Each passenger car and power car cab shall have a minimum of one 
roof hatch emergency entrance location with a minimum opening of 18 
inches by 24 inches, or at least one clearly marked structural weak 
point in the roof having a minimum opening of the same dimensions to 
provide quick access for properly equipped emergency response personnel.
    (b) Marking and instructions. [Reserved]

[[Page 591]]

Sec. 238.443  Headlights.

    (a) Each power car shall be equipped with at least two headlights. 
Each headlight shall produce no less than 200,000 candela. One headlight 
shall be arranged to illuminate a person standing between the rails 800 
feet ahead of the power car under clear weather conditions. The other 
headlight shall be arranged to illuminate a person standing between the 
rails 1,500 feet ahead of the power car under clear weather conditions.
    (b) A power car with a headlight not in compliance with the 
requirements of paragraph (a) of this section shall be moved in 
accordance with the following:
    (1) If one of the headlights is defective, the defect shall be 
considered a non-running gear defect subject to the provisions contained 
in Sec. 238.17 of this part.
    (2) If both headlights are defective, the power car shall be 
inspected and tagged in accordance with the requirements contained in 
Sec. 238.17(c) relating to non-running gear defects. The power car may 
continue to be used in passenger service only to the nearest forward 
location where the repairs necessary to bring the power car into 
compliance can be made or to the power car's next calendar day 
mechanical inspection, whichever occurs first.

[67 FR 19993, Apr. 23, 2002]

Sec. 238.445  Automated monitoring.

    (a) Each passenger train shall be equipped to monitor the 
performance of the following systems or components:
    (1) Reception of cab signals and train control signals;
    (2) Truck hunting;
    (3) Dynamic brake status;
    (4) Friction brake status;
    (5) Fire detection systems;
    (6) Head end power status;
    (7) Alerter or deadman control;
    (8) Horn and bell;
    (9) Wheel slide;
    (10) Tilt system, if so equipped; and
    (11) On-board bearing-temperature sensors, if so equipped.
    (b) When any such system or component is operating outside of its 
predetermined safety parameters:
    (1) The train operator shall be alerted; and
    (2) Immediate corrective action shall be taken, if the system or 
component defect impairs the train operator's ability to safely operate 
the train. Immediate corrective action includes limiting the speed of 
the train.
    (c) The monitoring system shall be designed with an automatic self-
test feature that notifies the train operator that the monitoring 
capability is functioning correctly and alerts the train operator when a 
system failure occurs.

Sec. 238.447  Train operator's controls and power car cab layout.

    (a) Train operator controls in the power car cab shall be arranged 
so as to minimize the chance of human error, and be comfortably within 
view and within easy reach when the operator is seated in the normal 
train control position.
    (b) The train operator's control panel buttons, switches, levers, 
knobs, and the like shall be distinguishable by sight and by touch.
    (c) An alerter shall be provided in the power car cab. If not 
acknowledged, the alerter shall cause a brake application to stop the 
train.
    (d) Power car cab information displays shall be designed with the 
following characteristics:
    (1) Simplicity and standardization shall be the driving criteria for 
design of formats for the display of information in the cab;
    (2) Essential, safety-critical information shall be displayed as a 
default condition;
    (3) Operator selection shall be required to display other than 
default information;
    (4) Cab or train control signals shall be displayed for the 
operator; and
    (5) Displays shall be readable from the operators's normal position 
under all lighting conditions.
    (e) The power car cab shall be designed so at to permit the crew to 
have an effective field of view in the forward direction, as well as to 
the right and left of the direction of travel to observe objects 
approaching the train from either side. Field-of-view obstructions due 
to required structural members shall be minimized.

[[Page 592]]

    (f) Each seat provided for an employee regularly assigned to occupy 
a power car cab and any floor-mounted seat in the cab shall be:
    (1) Secured to the car body with an attachment having an ultimate 
strength capable of withstanding the loads due to the following 
individually applied accelerations acting on the combined mass of the 
seat and the mass of a seat occupant who is a 95th-percentile adult 
male:
    (i) Longitudinal: 12g;
    (ii) Lateral: 4g; and
    (iii) Vertical: 4g;
    (2) Designed so that all adjustments have the range necessary to 
accommodate a person ranging from a 5th-percentile adult female to a 
95th-percentile adult male, as persons possessing such characteristics 
are specified, correcting for clothing as appropriate, in any recognized 
survey after 1958 of weight, height, and other body dimensions of U.S. 
adults;
    (3) Equipped with lumbar support that is adjustable from the seated 
position;
    (4) Equipped with force-assisted, vertical-height adjustment, 
operated from the seated position;
    (5) Equipped with a manually reclining seat back, adjustable from 
the seated position;
    (6) Equipped with an adjustable headrest; and
    (7) Equipped with folding, padded armrests.
    (g) Sharp edges and corners shall be eliminated from the interior of 
the power car cab, and interior surfaces of the cab likely to be 
impacted by an employee during a collision or derailment shall be padded 
with shock-absorbent material.

[[Page 593]]

 Figure 1 to Subpart E of Part 238--Power Car Cab Forward End Structure 
                        Conceptual Implementation
[GRAPHIC] [TIFF OMITTED] TR12MY99.000


[[Page 594]]



  Figure 2 to Subpart E of Part 238--Power Car Cab Rear End Structure 
                Conceptual Implementation1--to Subpart E
[GRAPHIC] [TIFF OMITTED] TR23AP02.006


[[Page 595]]



Figure 3 to Subpart E of Part 238--Trailer Car End Structure Conceptual 
                      Implementation1--to Subpart E
[GRAPHIC] [TIFF OMITTED] TR12MY99.002


[[Page 596]]



 Figure 4 to Subpart E of Part 238--Trailer Car In-Board Vestibule End 
           Structure Conceptual Implementation1--to Subpart E
[GRAPHIC] [TIFF OMITTED] TR12MY99.003



Subpart F--Inspection, Testing, and Maintenance Requirements for Tier II 
                           Passenger Equipment



Sec. 238.501  Scope.

    This subpart contains inspection, testing, and maintenance 
requirements for railroad passenger equipment that operates at speeds 
exceeding 125 mph but not exceeding 150 mph.



Sec. 238.503  Inspection, testing, and maintenance requirements.

    (a) General. Under the procedures provided in Sec. 238.505, each 
railroad shall obtain FRA approval of a written inspection, testing, and 
maintenance program for Tier II passenger equipment prior to 
implementation of that program and prior to commencing passenger 
operations using that equipment. As further specified in this section, 
the program shall describe in detail the procedures, equipment, and 
other means necessary for the safe operation of the passenger equipment, 
including:
    (1) Inspection procedures, intervals, and criteria;
    (2) Testing procedures and intervals;
    (3) Scheduled preventive-maintenance intervals;
    (4) Maintenance procedures;
    (5) Special testing equipment or measuring devices required to 
perform inspections, tests, and maintenance; and

[[Page 597]]

    (6) The training, qualification, and designation of employees and 
contractors to perform inspections, tests, and maintenance.
    (b) Compliance. After the railroad's inspection, testing, and 
maintenance program is approved by FRA under Sec. 238.505, the railroad 
shall adopt the program and shall perform--
    (1) The inspections and tests of power brakes and other primary 
brakes as described in the program;
    (2) The other inspections and tests described in the program in 
accordance with the procedures and criteria that the railroad identified 
as safety-critical; and
    (3) The maintenance tasks described in the program in accordance 
with the procedures and intervals that the railroad identified as 
safety-critical.
    (c) General safety inspection, testing, and maintenance procedures. 
The inspection, testing, and maintenance program under paragraph (a) of 
this section shall contain the railroad's written procedures to ensure 
that all systems and components of in service passenger equipment are 
free of any general condition that endangers the safety of the crew, 
passengers, or equipment. These procedures shall protect against:
    (1) A continuous accumulation of oil or grease;
    (2) Improper functioning of a component;
    (3) A crack, break, excessive wear, structural defect, or weakness 
of a component;
    (4) A leak;
    (5) Use of a component or system under a condition that exceeds that 
for which the component or system is designed to operate; and
    (6) Insecure attachment of a component.
    (d) Specific inspections. The program under paragraph (a) of this 
section shall specify that all Tier II passenger equipment shall receive 
thorough inspections in accordance with the following standards:
    (1) Except as provided in paragraph (d)(3) of this section, the 
equivalent of a Class I brake test contained in Sec. 238.313 shall be 
conducted prior to a train's departure from an originating terminal and 
every 1,500 miles or once each calendar day, whichever comes first, that 
the train remains in continuous service.
    (i) Class I equivalent brake tests shall be performed by a qualified 
maintenance person.
    (ii) Except as provided in Sec. 238.15(b), a railroad shall not use 
or haul a Tier II passenger train in passenger service from a location 
where a Class I equivalent brake test has been performed, or was 
required by this part to have been performed, with less than 100 percent 
operative brakes.
    (2) Except as provided in paragraph (d)(3) of this section, a 
complete exterior and interior mechanical inspection, in accordance with 
the railroad's inspection program, shall be conducted by a qualified 
maintenance person at least once during each calendar day the equipment 
is used in service.
    (3) Trains that miss a scheduled Class I brake test or mechanical 
inspection due to a delay en route may proceed to the point where the 
Class I brake test or mechanical inspection was scheduled to be 
performed.
    (e) Movement of trains with power brake defects. Movement of trains 
with a power brake defect as defined in Sec. 238.15 (any primary brake 
defect) shall be governed by Sec. 238.15.
    (f) Movement of trains with other defects. The movement of a train 
with a defect other than a power brake defect shall be conducted in 
accordance with Sec. 238.17, with the following exceptions:
    (1) The movement of a Tier II power car with a non-complying 
headlight shall be conducted in accordance with Sec. 238.443(b) of this 
part; and
    (2) When a failure of a secondary brake on a Tier II passenger train 
occurs en route, that train may remain in service until its next 
scheduled calendar day Class I brake test equivalent at a speed no 
greater than the maximum safe operating speed demonstrated through 
analysis and testing for braking with the friction brake alone. The 
brake system shall be restored to 100 percent operation before the train 
departs that inspection location.
    (g) Maintenance intervals. The program under paragraph (a) of this 
section shall include the railroad's initial scheduled maintenance 
intervals for

[[Page 598]]

Tier II equipment based on an analysis completed pursuant to the 
railroad's safety plan. The maintenance interval of a safety-critical 
component shall be changed only when justified by accumulated, 
verifiable operating data and approved by FRA under Sec. 238.505 before 
the change takes effect.
    (h) Training, qualification, and designation program. The program 
under paragraph (a) of this section shall describe the training, 
qualification, and designation program, as defined in the training 
program plan under Sec. 238.109, established by the railroad to qualify 
individuals to inspect, test, and maintain the equipment.
    (1) If the railroad deems it safety-critical, then only qualified 
individuals shall inspect, test, and maintain the equipment.
    (2) Knowledge of the procedures described in paragraph (a) of this 
section shall be required to qualify an employee or contractor to 
perform an inspection, testing, or maintenance task under this part.
    (i) Standard procedures. The program under paragraph (a) of this 
section shall include the railroad's written standard procedures for 
performing all safety-critical equipment inspection, testing, 
maintenance, and repair tasks necessary to ensure the safe and proper 
operation of the equipment. The inspection, testing, and maintenance 
program 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 program. When reviewing the railroad's program, FRA does 
not intend to review any portion of the program that relates to employee 
working conditions.
    (j) Annual review. The inspection, testing, and maintenance program 
required by this section shall be reviewed by the railroad annually.
    (k) Quality control program. Each railroad shall establish an 
inspection, testing, and maintenance quality control program enforced by 
railroad or contractor supervisors to reasonably ensure that 
inspections, tests, and maintenance are performed in accordance with 
Federal safety standards and the procedures established by the railroad.
    (l) Identification of safety-critical items. In the program under 
paragraph (a) of this section, the railroad shall identify all 
inspection and testing procedures and criteria as well as all 
maintenance intervals that the railroad deems to be safety-critical.

[64 25660, May 12, 1999, as amended at 67 FR 19994, Apr. 23, 2002]



Sec. 238.505  Program approval procedure.

    (a) Submission. Not less than 90 days prior to commencing passenger 
operations using Tier II passenger equipment, each railroad to which 
this subpart applies shall submit for approval an inspection, testing, 
and maintenance program for that equipment meeting the requirements of 
this subpart with the Associate Administrator for Safety, Federal 
Railroad Administration, 1120 Vermont Ave, Mail Stop 25, Washington, DC 
20590. If a railroad seeks to amend an approved program, the railroad 
shall file with FRA's Associate Administrator for Safety a petition for 
approval of such amendment not less than 60 days prior to the proposed 
effective date of the amendment. A program responsive to the 
requirements of this subpart or any amendment to the program shall not 
be implemented prior to FRA approval.
    (1) Each program or amendment under Sec. 238.503 shall contain:
    (i) The information prescribed in Sec. 238.503 for such program or 
amendment;
    (ii) The name, title, address, and telephone number of the primary 
person to be contacted with regard to review of the program or 
amendment; and
    (iii) A statement affirming that the railroad has served a copy of 
the program or amendment on designated representatives of railroad 
employees, together with a list of the names and addresses of persons 
served.
    (2) Each railroad shall serve a copy of each submission to FRA on 
designated representatives of railroad employees responsible for the 
equipment's operation, inspection, testing, and maintenance under this 
subpart.
    (b) Comment. Not later than 45 days from the date of filing the 
program or

[[Page 599]]

amendment, any person may comment on the program or amendment.
    (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) Three copies of each comment shall be submitted to the Associate 
Administrator for Safety, Federal Railroad Administration, 1120 Vermont 
Ave., Mail Stop 25, Washington, DC 20590.
    (3) The commenter shall certify that a copy of the comment was 
served on the railroad.
    (c) Approval.
    (1) Within 60 days of receipt of each initial inspection, testing, 
and maintenance program, FRA will conduct a formal review of the 
program. FRA will then notify the primary railroad contact person and 
the designated employee representatives in writing whether the 
inspection, testing, and maintenance program is approved and, if not 
approved, the specific points in which the program is deficient. If a 
program is not approved by FRA, the railroad shall amend its program to 
correct all deficiencies and resubmit its program with the required 
revisions not later than 45 days prior to commencing passenger 
operations.
    (2) FRA will review each proposed amendment to the program within 45 
days of receipt. FRA will then notify the primary railroad contact 
person and the designated employee representatives in writing whether 
the proposed amendment has been approved by FRA and, if not approved, 
the specific points in which the proposed amendment is deficient. The 
railroad shall correct any deficiencies and file the corrected amendment 
prior to implementing the amendment.
    (3) Following initial approval of a program or amendment, FRA may 
reopen consideration of the program or amendment for cause stated.



 Subpart G--Specific Safety Planning Requirements for Tier II Passenger 
                                Equipment



Sec. 238.601  Scope.

    This subpart contains specific safety planning requirements for the 
operation of Tier II passenger equipment, procurement of Tier II 
passenger equipment, and the introduction or major upgrade of new 
technology in existing Tier II passenger equipment that affects a safety 
system on such equipment.



Sec. 238.603  Safety planning requirements.

    (a) Prior to commencing revenue service operation of Tier II 
passenger equipment, each railroad shall prepare and execute a written 
plan for the safe operation of such equipment. The plan may be combined 
with any other plan required under this part. The plan shall be updated 
at least every 365 days. At a minimum, the plan shall describe the 
approaches and processes to:
    (1) Identify all requirements necessary for the safe operation of 
the equipment in its operating environment;
    (2) Identify all known or potential hazards to the safe operation of 
the equipment;
    (3) Eliminate or reduce the risk posed by each hazard identified to 
an acceptable level using a formal safety methodology such as MIL-STD-
882; and
    (4) Impose operational limitations, as necessary, on the operation 
of the equipment if the equipment cannot meet safety requirements.
    (b) For the procurement of Tier II passenger equipment, and for each 
major upgrade or introduction of new technology in existing Tier II 
passenger equipment that affects a safety system on such equipment, each 
railroad shall prepare and execute a written safety plan. The plan may 
be combined with any other plan required under this part. The plan shall 
describe the approaches and processes to:
    (1) Identify all safety requirements governing the design of the 
passenger equipment and its supporting systems;
    (2) Evaluate the total system, including hardware, software, 
testing, and support activities, to identify known or potential safety 
hazards over the life cycle of the equipment;
    (3) Identify safety issues during design reviews;

[[Page 600]]

    (4) Eliminate or reduce the risk posed by each hazard identified to 
an acceptable level using a formal safety methodology such as MIL-STD-
882;
    (5) Monitor the progress in resolving safety issues, reducing 
hazards, and meeting safety requirements;
    (6) Develop a program of testing or analysis, or both, to 
demonstrate that safety requirements have been met; and
    (7) Impose operational limitations, as necessary, on the operation 
of the equipment if the equipment cannot meet safety requirements.
    (c) Each railroad shall maintain sufficient documentation to 
demonstrate how the operation and design of its Tier II passenger 
equipment complies with safety requirements or, as appropriate, 
addresses safety requirements under paragraphs (a)(4) and (b)(7) of this 
section. Each railroad shall maintain sufficient documentation to track 
how safety issues are raised and resolved.
    (d) Each railroad shall make available to FRA for inspection and 
copying upon request each safety plan required by this section and any 
documentation required pursuant to such plan.

[64 25660, May 12, 1999, as amended at 67 FR 19994, Apr. 23, 2002]

         Appendix A to Part 238--Schedule of Civil Penalties\1\

------------------------------------------------------------------------
                                                               Willful
                    Section                      Violation    violation
------------------------------------------------------------------------
              SUBPART A--GENERAL

238.15 Movement of power brake defects:
    (b) Improper movement from Class I or IA          5,000        7,500
     brake test...............................
    (c) Improper movement of en route defect..        2,500        5,000
        (2), (3) Insufficient tag or record...        1,000        2,000
        (4) Failure to determine percent              2,500        5,000
         operative brake......................
    (d) Failure to follow operating                   5,000        7,500
     restrictions.............................
    (e) Failure to follow restrictions for            2,500        5,000
     inoperative front or rear unit...........
238.17 Movement of other than power brake
 defects: \1\
    (c)(4), (5) Insufficient tag or record....        1,000        2,000
    (d) Failure to inspect or improper use of         2,500        5,000
     roller bearings..........................
    (e) Improper movement of defective safety           <SUP>(1)</SUP>
     appliances...............................
238.19 Reporting and tracking defective
 equipment:
    (a) Failure to have reporting or tracking         7,500       11,000
     system...................................
    (b) Failure to retain records.............        2,000        4,000
    (c) Failure to make records available.....        1,000        2,000
    (d) Failure to list power brake repair            2,000        4,000
     points...................................

    SUBPART B--SAFETY PLANNING AND GENERAL
                 REQUIREMENTS

238.103 Fire protection plan/fire safety:
    (a) Failure to use proper materials.......        5,000        7,500
    (b) Improper certification................        1,000        2,000
    (c) Failure to consider fire safety on new        5,000        7,500
     equipment................................
    (d) Failure to perform fire safety                5,000        7,500
     analysis.................................
    (e) Failure to develop, adopt or comply           5,000        7,500
     with procedures..........................
238.105 Train electronic hardware and software
 safety:
    (a), (b), (c) Failure to develop and              7,500       11,000
     maintain hardware and software safety....
    (d) Failure to include required design            5,000        7,500
     features.................................
    (e) Failure to comply with hardware and           5,000        7,500
     software safety program..................
238.107 Inspection, testing, and maintenance
 plan:
    (b) Failure to develop plan...............        7,500       11,000
    (b)(1)-(5) Failure of plan to address             3,000        6,000
     specific item............................
    (d) Failure to conduct annual review......        5,000        7,500
238.109 Training, qualification, and
 designation program:
    (a) Failure to develop or adopt program...        7,500       11,000
    (b)(1)-(4) Failure of plan to address             3,000        6,000
     specific item............................
    (b)(5)-(12) Failure to comply with                5,000        7,500
     specific required provision of the
     program..................................
    (b)(13) Failure to maintain adequate              2,500        5,000
     records..................................
238.111 Pre-revenue service acceptance testing
 plan:
    (a) Failure to properly test previously           7,500       11,000
     used equipment...........................
    (b)(1) Failure to develop plan............        7,500       11,000
    (b)(2) Failure to submit plan to FRA......        5,000        7,500
    (b)(3) Failure to comply with plan........        5,000        7,500
    (b)(4) Failure to document results of             5,000        7,500
     testing..................................
    (b)(5) Failure to correct safety                  5,000        7,500
     deficiencies or impose operating limits..
    (b)(6) Failure to maintain records........        3,000        6,000
    (b)(7) Failure to obtain FRA approval.....        5,000        7,500

[[Page 601]]


238.113 Emergency window exits................        2,500        5,000
238.115 Emergency lighting....................        2,500        5,000
238.117 Protection against personal injury....        2,500        5,000
238.119 Rim-stamped straight plate wheels.....        2,500        5,000

  SUBPART C--SPECIFIC REQUIREMENTS FOR TIER I
                   EQUIPMENT

238.203 Static end strength...................        2,500        5,000
238.205 Anti-climbing mechanism...............        2,500        5,000
238.207 Link between coupling mechanism and           2,500        5,000
 car body.....................................
238.209 Forward-facing end structure of               2,500        5,000
 locomotives..................................
238.211 Collision posts.......................        2,500        5,000
238.213 Corner posts..........................        2,500        5,000
238.215 Rollover strength.....................        2,500        5,000
238.217 Side structure........................        2,500        5,000
238.219 Truck-to-car-body attachment..........        2,500        5,000
238.221 Glazing...............................        2,500        5,000
238.223 Fuel tanks............................        2,500        5,000
238.225 Electrical System.....................        2,500        5,000
238.227 Suspension system.....................        2,500        5,000
238.231 Brake System (a)-(g), (i)-(n).........        2,500        5,000
    (h)(1), (2) Hand or parking brake missing         5,000        7,500
     or inoperative...........................
    (h)(3) Hand or parking brake not applied          5,000        7,500
     to hold equipment unattended on grade or
     prematurely released.....................
238.233 Interior fittings and surfaces........        2,500        7,500
238.235 Doors.................................        2,500        5,000
238.237 Automated monitoring..................        2,500        5,000

      SUBPART D--INSPECTION, TESTING, AND
 MAINTENANCE REQUIREMENTS FOR TIER I EQUIPMENT

238.303 Exterior mechanical inspection of
 passenger equipment:
    (a)(1) Failure to perform mechanical          \1\ 2,000        4,000
     inspection...............................
    (a)(2) Failure to inspect secondary brake         2,500        5,000
     system...................................
    (b) Failure to perform inspection on car      \1\ 2,000        4,000
     added to train...........................
    (c) Failure to utilize properly qualified         2,000        4,000
     personnel................................
    (e)(1) Products of combustion not released        2,500        5,000
     outside cab..............................
    (e)(2) Battery not vented or gassing              2,500        5,000
     excessively..............................
    (e)(3) Coupler not in proper condition....        2,500        5,000
    (e)(4) No device under drawbar pins or            2,500        5,000
     connection pins..........................
    (e)(5) Suspension system and spring               2,500        5,000
     rigging not in proper condition..........
    (e)(6) Truck not in proper condition......        2,500        5,000
    (e)(7) Side bearing not in proper                 2,500        5,000
     condition................................
    (e)(8) Wheel not in proper condition:
      (i), (iv) Flat spot(s) and shelled
       spot(s):
          (A) One spot 2\1/2\<gr-thn-eq> or           2,500        5,000
           more but less than 3<gr-thn-eq> in
           length.............................
          (B) One spot 3<gr-thn-eq> or more in        5,000        7,500
           length.............................
          (C) Two adjoining spots each of             2,500        5,000
           which is 2<gr-thn-eq> or more in
           length but less than 2\1/2\<gr-thn-
           eq> in length......................
          (D) Two adjoining spots each of             5,000        7,500
           which are at least 2<gr-thn-eq> in
           length, if either spot is 2\1/
           2\7<gr-thn-eq> or more in length...
      (ii) Gouge or chip in flange:
          (A) More than 1\1/2\<gr-thn-eq> but         2,500        5,000
           less than 1\5/8\<gr-thn-eq> in
           length; and more than \1/2\<gr-thn-
           eq> but less than \5/8\<gr-thn-eq>
           in width...........................
          (B) 1\5/8\<gr-thn-eq> or more in            5,000        7,500
           length and \5/8\<gr-thn-eq> or more
           in width...........................
      (iii) Broken rim........................        5,000        7,500
      (v) Seam in tread.......................        2,500        5,000
      (vi) Flange thickness of:                       2,500        5,000
          (A) \7/8\<gr-thn-eq> or less but
           more than..........................
          (B) \13/16\<gr-thn-eq> or less......        5,000        7,500
      (vii) Tread worn hollow.................        2,500        5,000
      (viii) Flange height of:
          (A) 1\1/2\<gr-thn-eq> or greater but        2,500        5,000
           less than 1\5/8\<gr-thn-eq>........
          (B) 1\5/8\<gr-thn-eq> or more.......        5,000        7,500
      (ix) Rim thickness:
          (A) Less than 1<gr-thn-eq>..........        2,500        5,000
          (B) \15/16\<gr-thn-eq> or less......        5,000        7,500
      (x) Crack or break in flange, tread,
       rim, plate, or hub:
          (A) Crack of less than 1<gr-thn-eq>.        2,500        5,000
          (B) Crack of 1<gr-thn-eq> or more...        5,000        7,500
          (C) Break...........................        5,000        7,500
      (xi) Loose wheel........................        5,000        7,500
      (xii) Welded wheel......................        5,000        7,500
    (e)(10) Improper grounding or insulation..        5,000        7,500
    (e)(11) Jumpers or cable connections not          2,500        5,000
     in proper condition......................

[[Page 602]]


    (e)(12) Door or cover plate not properly          2,500        5,000
     marked...................................
    (e)(13) Buffer plate not properly placed..        2,500        5,000
    (e)(14) Diaphragm not properly placed or          2,500        5,000
     aligned..................................
    (e)(15) Secondary braking system not in           2,500        5,000
     operating mode or contains known defect..
    (e)(16) Roller bearings:
        (i) Overheated........................        5,000        7,500
        (ii) Cap screw loose or missing.......        2,500        5,000
        (iii) Cap screw lock broken or missing        1,000        2,000
        (iv) Seal loose, damaged, or leaks            2,500        5,000
         lubricant............................
    (g) Record of inspection:
        (1), (4) Failure to maintain record of        5,000        4,000
         inspection...........................
        (2) Record contains insufficient              1,000        2,000
         information..........................
238.305 Interior mechanical inspection of
 passenger cars:
    (a) Failure to perform inspection.........    \1\ 1,000        2,000
    (b) Failure to utilize properly qualified         1,000        2,000
     personnel................................
    (c)(1) Failure to protect against personal        2,500        5,000
     injury...................................
    (c)(2) Floors not free of condition that          2,500        5,000
     creates hazard...........................
    (c)(3) Access to manual door release not          2,000        4,000
     in place.................................
    (c)(4) Emergency equipment not in place...        1,000        2,000
    (c)(5) Emergency brake valve not stenciled        2,500        5,000
     or marked................................
    (c)(6) Door or cover plates not properly          2,500        5,000
     marked...................................
    (c)(7) Safety signage not in place or             1,000        2,000
     legible..................................
    (c)(8) Trap door unsafe or improperly             2,500        5,000
     secured..................................
    (c)(9) Vestibule steps not illuminated....        2,000        4,000
    (c)(10) Door not safely operate as                2,500        5,000
     intended.................................
    (c)(11) Seat broken, loose, or not                2,500        5,000
     properly attached........................
    (e) Record of inspection:
        (1), (4) Failure to maintain record of        2,000        4,000
         inspection...........................
        (2) Record contains insufficient              1,000        1,000
         information..........................
    (f) Record of inspection:
        (1), (4) Failure to maintain record of        2,000        4,000
         inspection...........................
        (2) Record contains insufficient              1,000        2,000
         information..........................
238.307 Periodic mechanical inspection of
 passenger cars and unpowered vehicles:
    (a) Failure to perform periodic mechanical    \1\ 2,500        5,000
     inspection...............................
    (b) Failure to utilize properly qualified         2,500        5,000
     personnel................................
    (c)(1) Seat or seat attachment broken or          2,500        5,000
     loose....................................
    (c)(2) Luggage rack broken or loose.......        2,500        5,000
    (c)(3) Bed, bunks, or restraints broken or        2,500        5,000
     loose....................................
    (c)(4) Emergency window exit not properly         2,500        5,000
     operate..................................
    (c)(5) Emergency lighting not operational.        2,500        5,000
    (c)(6) Switches not in proper condition...        2,500        5,000
    (c)(7) Coupler not in proper condition....        2,500        5,000
    (c)(8) Truck not equipped with securing           2,500        5,000
     arrangement..............................
    (c)(9) Truck center casting cracked or            5,000        7,500
     broken...................................
    (c)(10) General conditions endangering            2,500        5,000
     crew, passengers.........................
    (d) Manual door release not operate as            2,500        5,000
     intended.................................
    (d)(1) Seat or seat attachment broken or          2,500        5,000
     loose....................................
    (d)(2) Luggage rack broken or loose.......        2,500        5,000
    (d)(3) Bed, bunks, or restraints broken or        2,500        5,000
     loose....................................
    (d)(4) Emergency window exit not properly         2,500        5,000
     operate..................................
    (d)(5) Coupler not in proper condition....        2,500        5,000
    (e)(1) Failure to maintain record of              2,000        4,000
     inspection...............................
        (i)-(iv) Record contains insufficient         1,000        2,000
         information..........................
    (f)(1) Record of inspection:
        (i) Failure to maintain record of             2,000        4,000
         inspection...........................
        (ii) Record contains insufficient             1,000        2,000
         information..........................
238.309 Periodic brake equipment maintenance:
    (b) Failure to perform on MU locomotive...        2,500        5,000
    (c) Failure to perform on conventional            2,500        5,000
     locomotive...............................
    (d) Failure to perform on passenger               2,500        5,000
     coaches or other unpowered vehicle.......
    (e) Failure to perform on cab car.........        2,500        5,000
    (f) Record of periodic maintenance:
        (1), (2) Failure to maintain record or        2,000        4,000
         stencil..............................
 238.311 Single car tests:
    (a) Failure to test in accord with                2,500        5,000
     required procedure.......................
    (b) Failure to utilize properly qualified         2,500        5,000
     personnel................................
    (c), (e) Failure to perform single car            2,500        5,000
     test.....................................
    (f) Improper movement of car for testing..        2,000        4,000
    (g) Failure to test after repair or               2,000        4,000
     replacement of component.................
238.313 Class I brake test:
    (a) Failure to perform on commuter or        \1\ 10,000       15,000
     short distance intercity passenger train.
    (b) Failure to perform on long-distance      \1\ 10,000       15,000
     intercity passenger train................
    (c) Failure to perform on cars added to       \1\ 5,000        7,500
     passenger train..........................

[[Page 603]]


    (d) Failure to utilized properly qualified        5,000        7,500
     personnel................................
    (f) Passenger train used from Class I             5,000        7,500
     brake test with less than 100% operative
     brakes...................................
    (g) Partial failure to perform inspection         5,000        7,500
     on a passenger train.....................
        (3) Failure to adjust piston travel           2,500        5,000
         (per car)............................
    (h) Failure to maintain record............        2,000        4,000
238.315 Class IA brake test:
    (a) Failure to perform inspection.........    \1\ 5,000        7,500
    (d) Failure to utilize properly qualified         2,500        5,000
     personnel................................
    (e) Passenger train used from Class IA            5,000        7,500
     brake test with improper percentage of
     operative brakes.........................
    (f) Partial failure to perform inspection         2,500        5,000
     on passenger train.......................
238.317 Class II brake test:
    (a) Failure to perform inspection.........    \1\ 2,500        5,000
    (b) Failure to utilize properly qualified         2,500        5,000
     personnel................................
    (c) Improper use of defective equipment           2,500        5,000
     from Class II brake test.................
238.319 Running brake tests:
    (a), (b) Failure to perform test..........        2,000        4,000

 SUBPART E--SPECIFIC REQUIREMENTS FOR TIER II
              PASSENGER EQUIPMENT

238.403 Crash energy management...............        2,500        5,000
238.405 Longitudinal static compressive               2,500        5,000
 strength.....................................
238.407 Anti-climbing mechanism...............        2,500        5,000
238.409 Forward end structures of power car
 cabs:
    (a) Center collision post.................        2,500        5,000
    (b) Side collision posts..................        2,500        5,000
    (c) Corner posts..........................        2,500        5,000
    (d) Skin..................................        2,500        5,000
238.411 Rear end structures of power car cabs:
    (a) Corner posts..........................        2,500        5,000
    (b) Collision posts.......................        2,500        5,000
238.413 End structures of trailer cars........        2,500        5,000
238.415 Rollover strength.....................        2,500        5,000
238.417 Side loads............................        2,500        5,000
238.419 Truck-to-car-body and truck component         2,500        5,000
 attachment...................................
238.421 Glazing:
    (b) End-facing exterior glazing...........        2,500        5,000
    (c) Alternate glazing requirements........        2,500        5,000
    (d) Glazing securement....................        1,000        2,000
    (e) Stenciling............................        2,500        5,000
238.423 Fuel tanks:
    (a) External fuel tanks...................        2,500        5,000
    (b) Internal fuel tanks...................        2,500        5,000
238.425 Electrical system:
    (a) Circuit protection....................        2,500        5,000
    (b) Main battery system...................        2,500        5,000
    (c) Power dissipation resistors...........        2,500        5,000
    (d) Electromagnetic interference and              2,500        5,000
     compatibility............................
238.427 Suspension system.....................        2,500        5,000
238.429 Safety Appliances:
    (a) Couplers..............................        5,000        7,500
    (b) Hand/parking brakes...................        5,000        7,500
    (d) Handrail and handhold missing.........        2,500        5,000
        (d)(1)-(8) Handrail or handhold               2,500        5,000
         improper design......................
    (e) Sill step missing.....................        5,000        7,500
        (e)(1)-(11) Sill step improper design.        2,500        5,000
    (g) Optional safety appliances............        2,500        5,000
238.431 Brake system..........................        2,500        5,000
238.433 Draft System..........................        2,500        5,000
238.435 Interior fittings and surfaces........        2,500        5,000
238.437 Emergency communication...............        2,500        5,000
238.439 Doors:
    (a) Exterior side doors...................        2,500        5,000
    (b) Manual override feature...............        2,500        5,000
    (c) Notification to crew of door status...        2,500        5,000
    (d) Emergency back-up power...............        2,500        5,000
    (f) End door kick-out panel or pop-out            2,500        5,000
     window...................................
    (g) Marking and instructions..............   [Reserved]
238.441 Emergency roof hatch entrance location        2,500        5,000
238.443 Headlights............................        2,500        5,000
238.445 Automated monitoring..................        2,500        5,000
238.447 Train operator's controls and power           2,500        5,000
 car cab layout...............................

      SUBPART F--INSPECTION, TESTING, AND
MAINTENANCE REQUIREMENTS FOR TIER II PASSENGER
                   EQUIPMENT

238.503 Inspection, testing, and maintenance
 requirements:

[[Page 604]]


    (a) Failure to develop inspection,               10,000       15,000
     testing, and maintenance program or
     obtain FRA approval......................
    (b) Failure to comply with provisions of          5,000        7,500
     the program..............................
    (c) Failure to ensure equipment free of           2,500        5,000
     conditions which endanger safety of crew,
     passengers, or equipment.................
    (d) Specific safety inspections:
        (1)(i) Failure to perform Class I            10,000       15,000
         brake test or equivalent.............
        (1)(ii) Partial failure to perform            5,000        7,500
         Class I brake test or equivalent.....
        (2)(i) Failure to perform exterior        \1\ 2,000        4,000
         mechanical inspection................
        (2)(ii) Failure to perform interior       \1\ 1,000        2,000
         mechanical inspection................
    (g) Failure to perform scheduled                  2,500        5,000
     maintenance as required in program.......
    (h) Failure to comply with training,              5,000        7,500
     qualification and designation program....
    (i) Failure to develop or comply with             2,500        5,000
     standard procedures for performing
     inspection, tests, and maintenance.......
    (j) Failure to conduct annual review......        5,000        7,500
    (k) Failure to establish or utilize               5,000        7,500
     quality control program..................

      SUBPART G--SPECIFIC SAFETY PLANNING
 REQUIREMENTS FOR TIER II PASSENGER EQUIPMENT
238.603 Safety plan:
    (a) Failure to develop safety operating           7,500       11,000
     plan.....................................
    (b) Failure to develop procurement plan...        7,500       11,000
        (1)-(7) Failure to develop portion of         2,500        5,000
         plan.................................
        (c) Failure to maintain documentation.        2,500        5,000
------------------------------------------------------------------------
\1\ A penalty may be assessed against an individual only for a willful
  violation Generally when two or more violations of these regulations
  are discovered with respect to a single unit of passenger equipment
  that is placed or continued in service by a railroad, the appropriate
  penalties set forth above are aggregated up to a maximum of $10,000
  per day. However, failure to perform, with respect to a particular
  unit of passenger equipment, any of the inspections and tests required
  under subparts D and F of this part will be treated as a violation
  separate and distinct from, and in addition to, any substantive
  violative conditions found on that unit of passenger equipment.
  Moreover, the Administrator reserves the right to assess a penalty of
  up to $22,000 for any violation where circumstances warrant. See 49
  CFR part 209, appendix A. Failure to observe any condition for
  movement of defective equipment set forth in Sec.  238.17 will deprive
  the railroad of the benefit of the movement-for-repair provision and
  make the railroad and any responsible individuals liable for penalty
  under the particular regulatory section(s) concerning the substantive
  defect(s) present on the unit of passenger equipment at the time of
  movement Failure to observe any condition for the movement of
  passenger equipment containing defective safety appliances, other than
  power brakes, set forth in Sec.  238.17(e) will deprive the railroad
  of the movement-for-repair provision and make the railroad and any
  responsible individuals liable for penalty under the particular
  regulatory section(s) contained in part 231 of this chapter or Sec.
  238.429 concerning the substantive defective condition. The penalties
  listed for failure to perform the exterior and interior mechanical
  inspections and tests required under Sec.  238.303 and Sec.  238.305
  may be assessed for each unit of passenger equipment contained in a
  train that is not properly inspected Whereas, the penalties listed for
  failure to perform the brake inspections and tests under Sec.  238.313
  through Sec.  238.319 may be assessed for each train that is not
  properly inspected.


[64 FR 25660, May 12, 1999, as amended at 65 FR 41310, July 3, 2000; 67 
FR 19994, Apr. 23, 2002]]

 Appendix B to Part 238--Test Methods and Performance Criteria for the 
  Flammability and Smoke Emission Characteristics of Materials Used in 
                   Passenger Cars and Locomotive Cabs

    This appendix contains the test methods and performance criteria for 
the flammability and smoke emission characteristics of materials used in 
passenger cars and locomotive cabs, in accordance with the requirements 
of Sec. 238.103.
    (a) Incorporation by reference.
    Certain documents are incorporated by reference into this appendix 
with the approval of the Director of the Federal Register in accordance 
with 5 U.S.C. 552(a) and 1 CFR part 51. You may inspect a copy of each 
document during normal business hours at the Federal Railroad 
Administration, Docket Clerk, 1120 Vermont Ave., N.W., Suite 7000 or at 
the Office of the Federal Register, 800 North Capitol Street, N.W., 
Suite 700, Washington, D.C. The documents incorporated by reference into 
this appendix and the sources from which you may obtain these documents 
are listed below:
    (1) American Society for Testing and Materials (ASTM), 100 Barr 
Harbor Dr., West Conshohocken, PA 19428-2959.
    (i) ASTM C 1166-00, Standard Test Method for Flame Propagation of 
Dense and Cellular Elastomeric Gaskets and Accessories.
    (ii) ASTM D 2724-87, Standard Test Methods for Bonded, Fused, and 
Laminated Apparel Fabrics.
    (iii) ASTM D 3574-95, Standard Test Methods for Flexible Cellular 
Materials-Slab, Bonded, and Molded Urethane Foams.
    (iv) ASTM D 3675-98, Standard Test Method for Surface Flammability 
of Flexible Cellular Materials Using a Radiant Heat Energy Source.
    (v) ASTM E 119-00a, Standard Test Methods for Fire Tests of Building 
Construction and Materials.
    (vi) ASTM E 162-98, Standard Test Method for Surface Flammability of 
Materials Using a Radiant Heat Energy Source.
    (vii) ASTM E 648-00, Standard Test Method for Critical Radiant Flux 
of Floor-Covering

[[Page 605]]

Systems Using a Radiant Heat Energy Source.
    (viii) ASTM E 662-01, Standard Test Method for Specific Optical 
Density of Smoke Generated by Solid Materials.
    (ix) ASTM E 1354-99, Standard Test Method for Heat and Visible Smoke 
Release Rates for Materials and Products Using an Oxygen Consumption 
Calorimeter.
    (x) ASTM E 1537-99, Standard Test Method for Fire Testing of 
Upholstered Furniture.
    (xi) ASTM E 1590-01, Standard Test Method for Fire Testing of 
Mattresses.
    (2) General Services Administration, Federal Supply Service, 
Specification Section, 470 E. L'Enfant Plaza, S.W., Suite 8100, 
Washington, D.C., 20407. FED-STD-191A-Textile Test Method 5830, Leaching 
Resistance of Cloth; Standard Method (July 20, 1978).
    (3) State of California, Department of Consumer Affairs, Bureau of 
Home Furnishings and Thermal Insulation, 3485 Orange Grove Avenue, North 
Highlands, CA 95660-5595.
    (i) California Technical Bulletin (Cal TB) 129, Flammability Test 
Procedure for Mattresses for Use in Public Buildings (October, 1992).
    (ii) Cal TB 133, Flammability Test Procedure for Seating Furniture 
for Use in Public Occupancies (January, 1991).
    (b) Definitions. As used in this appendix--
    Average heat release rate (q<SUP>//</SUP><INF>180</INF>) means, as 
defined in ASTM E 1354-99, the average heat release rate per unit area 
in the time period beginning at the time of ignition and ending 180 
seconds later.
    Critical radiant flux (C.R.F.) means, as defined in ASTM E 648-00, a 
measure of the behavior of horizontally-mounted floor covering systems 
exposed to a flaming ignition source in a graded radiant heat energy 
environment in a test chamber.
    Flame spread index (I<INF>s</INF>) means, as defined in ASTM E 162-
98, a factor derived from the rate of progress of the flame front 
(F<INF>s</INF>) and the rate of heat liberation by the material under 
test (Q), such that I<INF>s</INF> = F<INF>s</INF> x Q.
    Flaming dripping means periodic dripping of flaming material from 
the site of material burning or material installation.
    Flaming running means continuous flaming material leaving the site 
of material burning or material installation.
    Heat release rate means, as defined in ASTM E 1354-99, the heat 
evolved from a specimen per unit of time.
    Specific extinction area ([sigma]<INF>f</INF>) means, as defined in 
ASTM E 1354-99, specific extinction area for smoke.
    Specific optical density (D<INF>s</INF>) means, as defined in ASTM E 
662-01, the optical density measured over unit path length within a 
chamber of unit volume, produced from a specimen of unit surface area, 
that is irradiated by a heat flux of 2.5 watts/cm<SUP>2</SUP> for a 
specified period of time.
    Surface flammability means the rate at which flames will travel 
along surfaces.
    (c) Required test methods and performance criteria. The materials 
used in locomotive cabs and passenger cars shall be tested according to 
the methods and meet the performance criteria set forth in the following 
table and notes:

[[Page 606]]

[GRAPHIC] [TIFF OMITTED] TR25JN02.000

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

[[Page 607]]

non-flaming mode, utilizing the mode which generates the most smoke.
    \3\ Testing of a complete seat assembly (including cushions, fabric 
layers, upholstery) according to ASTM E 1537-99 using the pass/fail 
criteria of Cal TB 133, and testing of a complete mattress assembly 
(including foam and ticking) according to ASTM E 1590-01 using the pass/
fail criteria of Cal TB 129 shall be permitted in lieu of the test 
methods prescribed herein, provided the assembly component units remain 
unchanged or new (replacement) assembly components possess equivalent 
fire performance properties to the original components tested. A fire 
hazard analysis must also be conducted that considers the operating 
environment within which the seat or mattress assembly will be used in 
relation to the risk of vandalism, puncture, cutting, or other acts 
which may expose the individual components of the assemblies to an 
ignition source. Notes 5, 6, 7, and 8 apply.
    \4\ Testing is performed without upholstery.
    \5\ The surface flammability and smoke emission characteristics 
shall be demonstrated to be permanent after dynamic testing according to 
ASTM D 3574-95, Test I <INF>2</INF> (Dynamic Fatigue Test by the Roller 
Shear at Constant Force) or Test I <INF>3</INF> (Dynamic Fatigue Test by 
Constant Force Pounding) both using Procedure B, except that the test 
samples shall be a minimum of 6 inches (154 mm) by 18 inches (457 mm) by 
the thickness of the material in its end use configuration, or multiples 
thereof. If Test I <INF>3</INF> is used, the size of the indentor 
described in paragraph 96.2 shall be modified to accommodate the 
specified test specimen.
    \6\ The surface flammability and smoke emission characteristics 
shall be demonstrated to be permanent by washing, if appropriate, 
according to FED-STD-191A Textile Test Method 5830.
    \7\ The surface flammability and smoke emission characteristics 
shall be demonstrated to be permanent by dry-cleaning, if appropriate, 
according to ASTM D 2724-87.
    \8\ Materials that cannot be washed or dry-cleaned shall be so 
labeled and shall meet the applicable performance criteria after being 
cleaned as recommended by the manufacturer.
    \9\ Signage is not required to meet any flammability or smoke 
emission performance criteria specified in this Appendix.
    \10\ Materials used to fabricate miscellaneous, discontinuous small 
parts (such as knobs, rollers, fasteners, clips, grommets, and small 
electrical parts) that will not contribute materially to fire growth in 
end use configuration are exempt from flammability and smoke emission 
performance requirements, provided that the surface area of any 
individual small part is less than 16 square inches (100 cm<SUP>2</SUP>) 
in end use configuration and an appropriate fire hazard analysis is 
conducted which addresses the location and quantity of the materials 
used, and the vulnerability of the materials to ignition and 
contribution to flame spread.
    \11\ If the surface area of any individual small part is less than 
16 square inches (100 cm<SUP>2</SUP>) in end use configuration, 
materials used to fabricate such a part may be tested in accordance with 
ASTM E 1354-99 as an alternative to both (a) the ASTM E 162-98 
flammability test procedure, or the appropriate flammability test 
procedure otherwise specified in the table, and (b) the ASTM E 662-01 
smoke generation test procedure. Testing shall be at 50 kW/m 
<SUP>2</SUP> applied heat flux with a retainer frame. Materials tested 
in accordance with ASTM E 1354-99 shall meet the following performance 
criteria: average heat release rate (q<SUP>//</SUP> <INF>180</INF>) less 
than or equal to 100 kW/m\2\, and average specific extinction area 
([sigma]<INF>f</INF>) less than or equal to 500 m<SUP>2</SUP>/kg over 
the same 180-second period.
    \12\ Carpeting used as a wall or ceiling covering shall be tested 
according to ASTM E 162-98 and ASTM E 662-01 and meet the respective 
criteria of I <INF>s</INF> less than or equal to 35 and D <INF>s</INF> 
(1.5) less than or equal to 100 and D <INF>s</INF> (4.0) less than or 
equal to 200. Notes 1 and 2 apply.
    \13\ Floor covering shall be tested with padding in accordance with 
ASTM E 648-00, if the padding is used in the actual installation.
    \14\ For double window glazing, only the interior glazing is 
required to meet the requirements specified herein. (The exterior 
glazing is not required to meet these requirements.)
    \15\ Penetrations (ducts, etc.) shall be designed against acting as 
passageways for fire and smoke and representative penetrations shall be 
included as part of test assemblies.
    \16\ A structural flooring assembly separating the interior of a 
vehicle from its undercarriage shall meet the performance criteria 
during a nominal test period as determined by the railroad. The nominal 
test period must be twice the maximum expected time period under normal 
circumstances for a vehicle to stop completely and safely from its 
maximum operating speed, plus the time necessary to evacuate all the 
vehicle's occupants to a safe area. The nominal test period must not be 
less than 15 minutes. Only one specimen need be tested. A proportional 
reduction may be made in the dimensions of the specimen provided it 
serves to truly test the ability of the structural flooring assembly to 
perform as a barrier against under-vehicle fires. The fire resistance 
period required shall be consistent with the safe evacuation of a full 
load of passengers from the vehicle under worst-case conditions.
    \17\ Portions of the vehicle body which separate major ignition 
sources, energy sources, or sources of fuel-load from vehicle interiors, 
shall have sufficient fire endurance as determined by a fire hazard 
analysis acceptable to

[[Page 608]]

the railroad which addresses the location and quantity of the materials 
used, as well as vulnerability of the materials to ignition, flame 
spread, and smoke generation. These portions include equipment carrying 
portions of a vehicle's roof and the interior structure separating the 
levels of a bi-level car, but do not include a flooring assembly subject 
to Note 16. A railroad is not required to use the ASTM E 119-00a test 
method.

[67 FR 42910, June 25, 2002]

 Appendix C to Part 238--Suspension System Safety Performance Standards

    This appendix contains the minimum suspension system safety 
performance standards for Tier II passenger equipment as required by 
Sec. 238.427. These requirements shall be the basis for evaluating 
suspension system safety performance until an industry standard 
acceptable to FRA is developed and approved under the procedures 
provided in Sec. 238.21.
    (a) Passenger equipment suspension systems shall be designed to 
limit the lateral and vertical forces and lateral to vertical (L/V) 
ratios, for the time duration required to travel five feet at any 
operating speed or over any class of track, under all operating 
conditions as determined by the railroad, as follows:
    (1) The maximum single wheel lateral to vertical force (L/V) ratio 
shall not exceed Nadal's limit as follows:
[GRAPHIC] [TIFF OMITTED] TR12MY99.005

where: [delta]=flange angle (deg).
[mu]=coefficient of friction of 0.5.

    (2) The net axle lateral force shall not exceed 0.5 times the static 
vertical axle load.
    (3) The vertical wheel/rail force shall not be less than or equal to 
10 percent of the static vertical wheel load.
    (4) The sum of the vertical wheel loads on one side of any truck 
shall not be less than or equal to 20 percent of the static vertical 
axle load. This shall include the effect of a crosswind allowance as 
specified by the railroad for the intended service.
    (5) The maximum truck side L/V ratio shall not exceed 0.6.
    (6) When stopped on track with a uniform 6-inch superelevation, 
vertical wheel loads, at all wheels, shall not be less than or equal to 
60 percent of the nominal vertical wheel load on level track.
    (b) For purposes of this appendix, wheel/rail force measurements 
shall be processed through a low pass filter having a cut-off frequency 
of 25 Hz.

 Appendix D to Part 238--Requirements for External Fuel Tanks on Tier I 
                               Locomotives

    The requirements contained in this appendix are intended to address 
the structural and puncture resistance properties of the locomotive fuel 
tank to reduce the risk of fuel spillage to acceptable levels under 
derailment and minor collision conditions.
    (a) Structural strength.
    (1) Load case 1--minor derailment. The end plate of the fuel tank 
shall support a sudden loading of one-half the weight of the car body at 
a vertical acceleration of 2g, without exceeding the ultimate strength 
of the material. The load is assumed to be supported on one rail, within 
an eight inch band (plus or minus) at a point nominally above the head 
of the rail, on tangent track. Consideration should be given in the 
design of the fuel tank to maximize the vertical clearance between the 
top of the rail and the bottom of the fuel tank.
    (2) Load case 2--jackknifed locomotive. The fuel tank shall support 
transversely at the center a sudden loading equivalent to one half the 
weight of the locomotive at a vertical acceleration of 2g, without 
exceeding the ultimate strength of the material. The load is assumed to 
be supported on one rail, distributed between the longitudinal center 
line and the edge of the tank bottom, with a rail head surface of two 
inches.
    (3) Load case 3--side impact. In a side impact collision by an 
80,000 pound Gross Vehicle Weight tractor/trailer at the longitudinal 
center of the fuel tank, the fuel tank shall withstand, without 
exceeding the ultimate strength, a 200,000 pound load (2.5g) distributed 
over an area of six inches by forty-eight inches (half the bumper area) 
at a height of thirty inches above the rail (standard DOT bumper 
height).
    (4) Load case 4--penetration resistance. The minimum thickness of 
the sides, bottom sheet and end plates of the fuel tank shall be 
equivalent to a \5/16\-inch steel plate with a 25,000 pounds-per-square-
inch yield strength (where the thickness varies inversely with the 
square root of yield strength). The lower one third of the end plates 
shall have the equivalent penetration resistance by the above method of 
a \3/4\-inch steel plate with a 25,000 pounds-per-square-inch yield 
strength. This may be accomplished by any combination of materials or 
other mechanical protection.
    (b) Sideswipe. To minimize fuel tank damage during sideswipes 
(railroad vehicles and grade crossings), all drain plugs, clean-out 
ports, inspection covers, sight glasses, gauge openings, etc., must be 
flush with the tank surface or adequately protected to avoid catching 
foreign objects or breakage. All seams must be protected or flush to 
avoid catching foreign objects.

[[Page 609]]

    (c) Spill controls. Vents and fills shall be designed to avert 
spillage of fuel in the event of a roll over.

    Appendix E to Part 238--General Principles of Reliability-Based 
                          Maintenance Programs

    (a) Any maintenance program has the following four basic objectives:
    (1) To ensure realization of the design level of safety and 
reliability of the equipment;
    (2) To restore safety and reliability to their design levels when 
deterioration has occurred;
    (3) To obtain the information necessary for design improvements of 
those items whose design reliability proves inadequate; and
    (4) To accomplish these goals at a minimum total cost, including 
maintenance costs and the costs of residual failures.
    (b) Reliability-based maintenance programs are based on the 
following general principles. A failure is an unsatisfactory condition. 
There are two types of failures: functional and potential. Functional 
failures are usually reported by operating crews. Conversely, 
maintenance crews usually discover potential failures. A potential 
failure is an identifiable physical condition, which indicates that a 
functional failure is imminent. The consequences of a functional failure 
determine the priority of a maintenance effort. These consequences fall 
into the following general categories:
    (1) Safety consequences, involving possible loss of the equipment 
and its occupants;
    (2) Operational consequences, which involve an indirect economic 
loss as well as the direct cost of repair;
    (3) Non-operational consequences, which involve only the direct cost 
of repair; or
    (4) Hidden failure consequences, which involve exposure to a 
possible multiple failure as a result of the undetected failure of a 
hidden function.
    (c) In a reliability-based maintenance program, scheduled 
maintenance is required for any item whose loss of function or mode of 
failure could have safety consequences. If preventative tasks cannot 
reduce the risk of such failures to an acceptable level, the item 
requires redesign to alter its failure consequences. Scheduled 
maintenance is also required for any item whose functional failure will 
not be evident to the operating crew, and therefore reported for 
corrective action. In all other cases the consequences of failure are 
economic, and maintenance tasks directed at preventing such failures 
must be justified on economic grounds. All failure consequences, 
including economic consequences, are established by the design 
characteristics of the equipment and can be altered only by basic 
changes in the design. Safety consequences can, in nearly all cases, be 
reduced to economic consequences by the use of redundancy. Hidden 
functions can usually be made evident by instrumentation or other design 
features. The feasibility and cost effectiveness of scheduled 
maintenance depend on the inspectablility of the component, and the cost 
of corrective maintenance depends on its failure modes and design 
reliability.
    (d) The design reliability of equipment or components will only be 
achieved with an effective maintenance program. This level of 
reliability is established by the design of each component and the 
manufacturing processes that produced it. Scheduled maintenance can 
ensure that design reliability of each component is achieved, but 
maintenance alone cannot yield a level of reliability beyond the design 
reliability.
    (e) When a maintenance program is developed, it includes tasks that 
satisfy the criteria for both applicability and effectiveness. The 
applicability of a task is determined by the characteristics of the 
component or equipment to be maintained. The effectiveness is stated in 
terms of the consequences that the task is designed to prevent. The 
basics types of tasks that are performed by maintenance personnel are 
each applicable under a unique set of conditions. Tasks may be directed 
at preventing functional failures or preventing a failure event 
consisting of the sequential occurrence of two or more independent 
failures which may have consequences that would not be produced by any 
of the failures occurring separately. The task types include:
    (1) Inspections of an item to find and correct any potential 
failures;
    (2) Rework/remanufacture/overhaul of an item at or before some 
specified time or age limit;
    (3) Discard of an item (or parts of it) at or before some specified 
life limit; and
    (4) Failure finding inspections of a hidden-function item to find 
and correct functional failures that have already occurred but were not 
evident to the operating crew.
    (b) Components or systems in a reliability-based maintenance program 
may be defined as simple or complex. A simple component or system is one 
that is subject to only one or a very few failure modes. This type of 
component or system frequently shows decreasing reliability with 
increasing operating age. An age/time limit may be used to reduce the 
overall failure rate of simple components or systems. Here, safe-life 
limits, fail-safe designs, or damage tolerance-based residual life 
calculations may be imposed on a single component or system to play a 
crucial role in controlling critical failures. Complex components or 
systems are ones whose functional failure may result from many different 
failure modes and show little or no decrease in overall reliability with 
increasing age unless there is a dominant failure mode. Therefore, age 
limits imposed on complex

[[Page 610]]

components or systems have little or no effect on their overall failure 
rates.
    (g) When planning the maintenance of a component or system to 
protect the safety and operating capability of the equipment, a number 
of items must be considered in the reliability assessment process:
    (1) The consequences of each type of functional failure;
    (2) The visibility of a functional failure to the operating crew 
(evidence that a failure has occurred);
    (3) The visibility of reduced resistance to failure (evidence that a 
failure is imminent);
    (4) The age-reliability characteristics of each item;
    (5) The economic tradeoff between the cost of scheduled maintenance 
and the benefits to be derived from it;
    (6) A multiple failure, resulting from a sequence of independent 
failures, may have consequences that would not be caused by any one of 
the individual failures alone. These consequences are taken into account 
in the definition of the failure consequences for the first failure; and
    (7) A default strategy governs decision making in the absence of 
full information or agreement. This strategy provides for conservative 
initial decisions, to be revised on the basis of information derived 
from operating experience.
    (h) A successful reliability-based maintenance program must be 
dynamic. Any prior-to-service program is based on limited information. 
As such, the operating organization must be prepared to collect and 
respond to real data throughout the operating life of the equipment. 
Management of the ongoing maintenance program requires an organized 
information system for surveillance and analysis of the performance of 
each item under actual operating conditions. This information is needed 
to determine the refinements and modifications to be made in the initial 
maintenance program (including the adjustment of task intervals) and to 
determine the need for product improvement. The information derived from 
operating experience may be considered to have the following hierarchy 
of importance in the reliability-based maintenance program:
    (1) Failures that could affect operating safety;
    (2) Failures that have operational consequences;
    (3) The failure modes of units removed as a result of failures;
    (4) The general condition of unfailed parts in units that have 
failed; and
    (5) The general condition of serviceable units inspected as samples.
    (i) At the time an initial maintenance program is developed, 
information is usually available to determine the tasks necessary to 
protect safety and operating capability. However, the information 
required to determine optimum task intervals and the applicability of 
age or life limits can be obtained only from age or life exploration 
after the equipment enters service. With any new equipment there is 
always the possibility of unanticipated failure modes. The first 
occurrence of any serious unanticipated failure should immediately set 
into motion the following improvement cycle:
    (1) An inspection task is developed to prevent recurrences while the 
item is being redesigned;
    (2) The operating fleet is modified to incorporate the redesigned 
part; and
    (3) After the modification has proved successful, the special 
inspection task is eliminated from the maintenance program.
    (j) Component improvements based on identification of the actual 
reliability characteristics of each item through age or life 
exploration, is part of the normal development cycle of all complex 
equipment.




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