Class I or IA brake test is
 performed--Passenger equipment
 tagged or information is recorded
 as prescribed under Sec.
 238.15(c)(2).
--(c) Limitations on movement of     34 railroads.........  288.00 tags..........  3 minutes............           14.40           77.44        1,115.14
 passenger equipment in passenger
 service that becomes defective en
 route after a Class I or IA brake
 test--Tagging of defective
 equipment.
                                    --------------------------------------------------------------------------------------------------------------------
--(c)(4) Conditional requirement--   The estimated paperwork burden for this regulatory requirement is covered under Sec.   238.15(a)-(b).
 Notice between employees.
                                    --------------------------------------------------------------------------------------------------------------------
238.17--Movement of passenger        34 railroads.........  200.00 tags..........  3 minutes............           10.00           77.44          774.40
 equipment with other than power
 brake defects--Tagging of
 defective equipment.
                                    --------------------------------------------------------------------------------------------------------------------
--(e) Special requisites for         The estimated paperwork burden for this regulatory requirement is covered under Sec.   238.17.
 movement of passenger equipment
 with safety appliance defects.
--(e)(4) Crewmember notifications..  The estimated paperwork burden for this regulatory requirement is covered under Sec.   238.17.
238.19(b)--Reporting and tracking    For Tier I trainsets, FRA determined since the 1990s retention and availability of records for reporting and
 defective passenger equipment--      tracking defective passenger equipment are performed by the railroad industry as part of their normal business
 Retention or availability of         operations. For Tier III, FRA anticipates zero railroad submissions during this 3-year ICR period.
 records for Tier I and Tier III
 (Revised requirement).
--(d)(1) List of repair points--     This ICR only affects Amtrak, which has submitted the necessary list of power brake repair points. FRA does not
 Railroads operating long-distance    anticipate any changes or updates to this list over the next few years. Consequently, there is no burden
 intercity and long-distance Tier     associated with this requirement.
 II passenger equipment.
--(d)(2) List of repair points--     FRA anticipates zero railroad submissions during this 3-year ICR period.
 Railroads operating Tier III
 passenger trainsets (New
 requirement).
                                    --------------------------------------------------------------------------------------------------------------------
238.21(b)--Special approval          34 railroads.........  1.00 petition........  16 hours.............           16.00           77.44        1,239.04
 procedure--Petitions for special
 approval of alternative standard.
--(c) Petitions for special          34 railroads.........  1.00 petition........  40 hours.............           40.00           77.44        3,097.60
 approval of alternative compliance.
--(f) Comments on petitions........  Manufacturers and      2.00 comments........  1 hour...............            2.00           77.44          154.88
                                      public.
238.103(c)--Fire safety analysis     1 new railroad.......  1.00 analysis........  150 hours............          150.00           77.44       11,616.00
 for procuring new passenger cars
 and locomotives.
--(d) Fire safety analysis for       34 railroads.........  1.00 revised analysis  10 hours.............           10.00           77.44          774.40
 existing passenger cars and
 locomotives--Revised fire safety
 analysis for leased or transferred
 equipment.
238.105(a)-(e)--Passenger            2 new railroads......  2.00 program plans...  150 hours............          300.00           77.44       23,232.00
 electronic hardware and software
 safety--Safety program including
 safety analysis for new and
 existing railroads (Revised
 requirement).
                                    --------------------------------------------------------------------------------------------------------------------

--(f) Additional requirements        FRA anticipates zero railroad submissions during this 3-year ICR period.
 (Revised requirement).
                                    --------------------------------------------------------------------------------------------------------------------
--(g) Vehicle Communication and      37 railroads.........  12.30 assessments....  20 hours.............          246.00           77.44       19,050.24
 Control System Vulnerability
 Assessment--Railroad to assess and
 identify potential system
 vulnerabilities and resulting risk
 mitigation as part of the overall
 Railroad System Safety Plan
 required by part 270; PTC system
 must comply with the requirements
 in Sec.   236.1033 (New
 requirement).
--(h) Notification of product        20 suppliers.........  0.33 notifications...  1 minute.............            0.01           77.44            0.77
 failure--Notification to FRA (New
 requirement).
238.107--Inspection, testing, and    1 new railroad.......  1.00 maintenance plan  150 hours............          150.00           77.44       11,616.00
 maintenance plan--Development of
 maintenance plan for new railroads.
--(d) Inspection, testing, and       34 railroads.........  34.00 maintenance      20 hours.............          680.00           77.44       52,659.20
 maintenance plan for existing                               plan reviews.
 railroads--Maintenance plan review.
238.108(a)--New passenger service    37 railroads.........  3.00 plans...........  63 hours.............          189.00           77.44       14,636.16
 pre-revenue safety performance
 demonstration--Pre-revenue safety
 validation plan (New requirement
 due to Sec. 22416 of the IIJA).
--(b)(2) Daily summary of the        37 railroads.........  29.00 summary reports  30 minutes...........           14.50           77.44        1,122.88
 activities provided to FRA by
 railroads (New requirement).
--(b)(3) Railroad to provide a       37 railroads.........  3.00 reports.........  2 hours..............            6.00           77.44          464.64
 final report to FRA (New
 requirement).
--(c) Compliance--Railroads to       37 railroads.........  1.00 plan              15 hours.............           15.00           77.44        1,161.60
 notify FRA on proposed amendments                           modification.
 (New requirement).
238.109(b)--Training,                1 new railroad.......  1.00 training program  160 hours............          160.00           77.44       12,390.40
 qualification, and designation
 program--Development of training
 program/curriculum for new
 railroads.
                                    --------------------------------------------------------------------------------------------------------------------
--(b) Training employees and         The associated burdens relating to the training of employees and supervisors have been addressed previously when
 supervisors.                         FRA calculated the economic costs of the regulation.
                                    --------------------------------------------------------------------------------------------------------------------
--(b)(13) Recordkeeping--Employees   34 railroads.........  488.00 records.......  3 minutes............           24.40           77.44        1,889.54
 and trainers--Training
 qualifications.
                                    --------------------------------------------------------------------------------------------------------------------
238.110(b)(1)--Design criteria,      The estimated paperwork burden for this regulatory requirement is covered under paragraphs (b)(2) through (g)(2) of
 testing, documentation, and          this section.
 approvals--Documentation and
 recordkeeping (New requirement).
                                    --------------------------------------------------------------------------------------------------------------------
--(b)(2) Recordkeeping or            37 railroads.........  1.00 retention of      5 minutes............             .08           77.44            6.20
 documentation (New requirement).                            document.
--(c)(1)(ii) Vehicle qualification   37 railroads.........  1.00 new or modified   75 hours.............           75.00           77.44        5,808.00
 plan--Compliance matrix (New                                plan.
 requirement).
                                    --------------------------------------------------------------------------------------------------------------------
--(c)(2) Approval of the vehicle     FRA anticipates zero railroad submissions during this 3-year ICR period.
 qualification plan--Vehicle
 qualification plan disapproved in
 part--Resubmission (New
 requirement).
                                    --------------------------------------------------------------------------------------------------------------------
--(d) System description (operating  37 railroads.........  11.67 system           75 hours.............          875.25           77.44       67,779.36
 environment) and design criteria                            descriptions.
 (New requirement).
--(e)(2)(i) Structural carbody       37 railroads.........  1.00 new or modified   8 hours..............            8.00           77.44          619.52
 crashworthiness compliance--A test                          test plan.
 plan submission to FRA (New
 requirement).
--(e)(2)(ii) Structural carbody      37 railroads.........  1.00 analysis........  10 hours.............           10.00           77.44          774.40
 crashworthiness compliance--Finite
 element analysis results submitted
 to FRA (New requirement).
                                    --------------------------------------------------------------------------------------------------------------------
--(f) Safety Appliances (New         The estimated paperwork burden for this regulatory requirement is covered under paragraphs (g)(1) and (g)(2) of
 requirement).                        this section.
                                    --------------------------------------------------------------------------------------------------------------------
--(g)(1)(i) Approval of design       37 railroads.........  1.00 new or modified   4 hours..............            4.00           77.44          309.76
 review documentation, tests, and                            documentation.
 inspections--Design review,
 testing, and inspection
 documentation (New requirement).
--(g)(1)(ii) Approval of design      37 railroads.........  1.00 revised document  1 hour...............            1.00           77.44           77.44
 review documentation, tests, and
 inspections--Resubmission of
 revised document (New requirement).
--(g)(2)(i) Approval of design       37 railroads.........  1.00 request.........  1 hour...............            1.00           77.44           77.44
 review documentation, tests, and
 inspections--Sample-equipment
 inspection--Request (New
 requirement).
--(g)(2)(ii) Approval of design      37 railroads.........  1.00 re-request......  1 hour...............            1.00           77.44           77.44
 review documentation, tests, and
 inspections--Railroad to address
 all exceptions taken and then, if
 directed by FRA, request a
 reinspection pursuant to (g)(2)(i)
 of this section (New requirement).
238.111(a)(1)-(2)--Pre-revenue       37 railroads.........  2.00 new and modified  192 hours............          384.00           77.44       29,736.96
 service acceptance testing--                                plans.
 Passenger equipment designs that
 have not been used in revenue
 service in the U.S.--Plan and
 submission to FRA (previously
 under Sec.   238.111(b)(1)-(2))
 (Revised requirement).
                                    --------------------------------------------------------------------------------------------------------------------

--(a)(3)-(4) Test procedures         The estimated paperwork burden for this regulatory requirement when it comes to the test plan development is
 containing minimum information       covered under Sec.   238.111(a). Additionally, the reporting of the test results is covered under Sec.
 listed in appendix K to this part    238.111(a)(6)(ii).
 to be provided to FRA as part of
 pre-revenue service acceptance
 testing plan test procedures
 (previously under Sec.
 238.111(b)(3)-(4)) (Revised
 requirement).
                                    --------------------------------------------------------------------------------------------------------------------
--(a)(6)(i) Tier I passenger         33 railroads.........  1.00 test result.....  4 hours..............            4.00           77.44          309.76
 equipment: Test results made
 available to FRA upon request
 (previously under Sec.
 238.111(b)(4)) (Revised
 requirement).
--(a)(6)(ii) Tier II & Tier III      4 railroads..........  1.00 letter..........  4 hours..............            4.00           77.44          309.76
 passenger equipment: Report of
 test results to FRA (previously
 under Sec.   238.111(b)(4))
 (Revised requirement).
                                    --------------------------------------------------------------------------------------------------------------------
--(a)(7) Correction of safety        FRA anticipates zero railroad submissions during this 3-year ICR period.
 deficiencies--Railroads can
 petition FRA for a waiver of a
 safety regulation under the
 procedure specified in part 211
 (previously under Sec.
 238.111(b)(5)).
                                    --------------------------------------------------------------------------------------------------------------------
--(b) Passenger equipment that has   37 railroads.........  1.33 plans...........  16 hours.............           21.28           77.44        1,647.92
 previously been used in revenue
 service in the U.S.--Railroads to
 verify the applicability of
 previous tests performed under
 Sec.   238.111(a)(1)(vii)(A)-(D)
 (previously under 238.111(a)(1))
 (Revised requirement).
                                    --------------------------------------------------------------------------------------------------------------------
--(c) Modifications, new             The estimated paperwork burden for this regulatory requirement is covered under Sec.   238.111(a).
 technology, and major upgrades
 (Revised requirement).
                                    --------------------------------------------------------------------------------------------------------------------
238.115(c)--Emergency lighting--     The inspection time and mechanical testing are covered under the economic cost. Consequently, there is no PRA
 Periodic inspection (New             burden.
 requirement).
                                    --------------------------------------------------------------------------------------------------------------------
238.131(a)--Exterior side door       FRA anticipates zero railroad submissions during this 3-year ICR period.
 safety systems--new passenger cars
 and locomotives used in passenger
 service--Labels and visual
 guidelines (Revised requirement).
                                    --------------------------------------------------------------------------------------------------------------------
--(b) Exterior side door safety      1 new railroad.......  1.00 analysis........  80 hours.............           80.00           77.44        6,195.20
 systems--new passenger cars and
 locomotives used in passenger
 service--Failure Modes, Effects,
 Criticality Analysis (FMECA).
238.133(a)--Exterior side door       1 new railroad.......  1.00 plan............  4 hours..............            4.00           77.44          309.76
 safety systems--Passenger cars and
 locomotives used in passenger
 service--By-pass device
 verification--Functional test
 plans.
                                    --------------------------------------------------------------------------------------------------------------------
--(b) Unsealed door by-pass device-- The associated burdens related to safety job briefings have been addressed previously when FRA calculated the
 Notification to railroad's           economic costs of the regulation.
 designated authority by train
 crewmember of unsealed door by-
 pass device.
                                    --------------------------------------------------------------------------------------------------------------------
--(c) En route failure--Safety       34 railroads.........  100.00 topic-specific  2 minutes............            3.33           77.44          257.88
 briefing by train crew when door                            briefings and
 by-pass device is activated.                                notifications.
                                    --------------------------------------------------------------------------------------------------------------------
--(c) Notification to designated RR  The estimated paperwork burden for this regulatory requirement is covered above under Sec.   238.133(c).
 authority by train crewmember that
 door by-pass device has been
 activated.
                                    --------------------------------------------------------------------------------------------------------------------
--(c)(1) On-site qualified person    The estimated paperwork burden for this regulatory requirement is covered above under Sec.   238.133(c).
 (QP) description to a qualified
 maintenance person (QMP) off-site
 that equipment is safe to move for
 repairs.
                                    --------------------------------------------------------------------------------------------------------------------
--(c)(2) QP/QMP notification to      The estimated paperwork burden for this regulatory requirement is covered above under Sec.   238.133(c).
 crewmember in charge that door by-
 pass has been activated and safety
 briefing by train crew.
                                    --------------------------------------------------------------------------------------------------------------------
--(d) Records......................  34 railroads.........  100.00 records.......  2 minutes............            3.33           77.44          257.88
                                    --------------------------------------------------------------------------------------------------------------------
--(d) Records of unintended opening  The estimated paperwork burden for this regulatory requirement is covered above under Sec.   238.133(d).
 of a powered exterior side door.
                                    --------------------------------------------------------------------------------------------------------------------
--(g)(2) RR record of by-pass        The estimated paperwork burden for this regulatory requirement is covered above under Sec.   238.133(d).
 activations found unsealed.
                                    --------------------------------------------------------------------------------------------------------------------
238.135(a)(1)--Operating practices   The associated burdens related to daily job briefings have been addressed previously when FRA calculated the
 for exterior side door safety        economic costs of the regulation.
 systems--Daily job briefings.
                                    --------------------------------------------------------------------------------------------------------------------
--(c) Railroads' request to FRA for  The estimated paperwork burden for this regulatory requirement is covered above under Sec.   238.7 or Sec.
 special consideration to operate     238.21.
 passenger trains with exterior
 side doors or trap doors, or both,
 open between stations.
                                    --------------------------------------------------------------------------------------------------------------------
--(c)(4) Railroads' response to FRA  The estimated paperwork burden for this regulatory requirement is covered above under Sec.   238.7 or Sec.
 request for additional information   238.21.
 concerning special consideration
 request.
                                    --------------------------------------------------------------------------------------------------------------------

--(d) Operating rules on how to      1 new railroad.......  1.00 operating rule..  8 hours..............            8.00           77.44          619.52
 safely override a door summary
 circuit or no-motion system, or
 both, in the event of an en route
 exterior side door failure or
 malfunction on a passenger train
 (Note: Includes burden under Sec.
  238.137).
                                    --------------------------------------------------------------------------------------------------------------------
--(d) Railroads to provide a copy    Railroads were required to complete the requirements of this subsection by December 6, 2018, so the estimated
 of written operating rules to        paperwork burden is zero.
 train crewmembers and control
 center personnel.
                                    --------------------------------------------------------------------------------------------------------------------
--(e) Railroads' training of train   The associated burdens relating to the training of train crewmembers have been addressed previously when FRA
 crewmembers on requirements of       calculated the economic costs of the regulation. FRA estimates the paperwork burdens associated with training
 this section.                        recordkeeping under Sec.   238.109 or under the OMB control numbers 2130-0596 or 2130-0533.
                                    --------------------------------------------------------------------------------------------------------------------
--(e) Railroads' training of new     The associated burdens relating to the training of train crewmembers have been addressed previously when FRA
 employees.                           calculated the economic costs of the regulation. FRA estimates the paperwork burdens associated with training
                                      recordkeeping under Sec.   238.109 or under the OMB control numbers 2130-0596 or 2130-0533.
                                    --------------------------------------------------------------------------------------------------------------------
--(g) RR operational/efficiency      The associated burdens relating to operational testing or observation of operating crewmembers and control center
 tests of train crewmembers &         personnel have been previously addressed when FRA calculated the economic costs of the regulation.
 control center employees.
                                    --------------------------------------------------------------------------------------------------------------------
238.139(e)--Vehicle/track system     33 railroads.........  1.00 testing plan....  120 hours............          120.00           77.44        9,292.80
 qualification--New vehicle type
 qualification testing plan (New
 requirement).
                                    --------------------------------------------------------------------------------------------------------------------
--(e) Vehicle/track system           FRA anticipates zero railroad submissions during this 3-year ICR period.
 qualification--Existing vehicle
 type qualification testing plan
 (New requirement).
                                    --------------------------------------------------------------------------------------------------------------------
--(g) Vehicle/track system           The estimated paperwork burden for this regulatory requirement is covered above under paragraph (e) of this
 qualification--Qualification         section.
 testing results (New requirement).
                                    --------------------------------------------------------------------------------------------------------------------
--(i)(1) Vehicle/track system        33 railroads.........  1.00 record..........  10 minutes...........             .17           77.44           13.16
 qualification--Document retention
 (New requirement).
--(i)(2) Vehicle/track system        33 railroads.........  2.00 written consents  30 minutes...........            1.00           77.44           77.44
 qualification--Written consent of
 each affected track owner (New
 requirement).
                                    --------------------------------------------------------------------------------------------------------------------
238.201(b)--Scope/alternative        The estimated paperwork burden for this regulatory requirement is covered above under Sec.   238.21.
 compliance--Supporting
 documentation demonstrating
 compliance.
                                    --------------------------------------------------------------------------------------------------------------------
--(b) Notice of tests sent to FRA    The estimated paperwork burden for this regulatory requirement is covered above under Sec.   238.111(a)(4).
 30 days prior to commencement of
 operations.
                                    --------------------------------------------------------------------------------------------------------------------
238.229(c)--Safety appliances--      1 new railroad.......  1.00 list............  1 hour...............            1.00           77.44           77.44
 Welded safety appliances--Written
 lists submitted to FRA by the
 railroads.
                                    --------------------------------------------------------------------------------------------------------------------
--(d) Defective welded safety        34 railroads.........  4.00 tags............  3 minutes............             .20           59.89           11.98
 appliance or welded safety
 appliance bracket or support--
 Tagging.
--(d) Notification to crewmembers    34 railroads.........  2.00 notices.........  1 minute.............             .03           77.44            2.32
 about non-compliant equipment.
--(g) Inspection plans.............  1 new railroad.......  1.00 plan............  16 hours.............           16.00           77.44        1,239.04
                                    --------------------------------------------------------------------------------------------------------------------
--(h) Inspection personnel--         The associated burdens relating to training of inspection personnel have been addressed previously when FRA
 Training.                            calculated the economic costs of the regulation. FRA estimates the paperwork burdens associated with the retention
                                      of training records under Sec.   238.109.
                                    --------------------------------------------------------------------------------------------------------------------
--(j)(1)(iv) Remedial action:        The associated burdens relating to inspections have been addressed previously when FRA calculated the economic
 Defect/crack in weld--A record of    costs of the regulation. FRA estimates the paperwork burdens associated with the retention of inspection records
 the welded repair.                   under Sec.   238.229(k).
                                    --------------------------------------------------------------------------------------------------------------------
--(j)(2)(iv) Petitions for special   The estimated paperwork burden for this regulatory requirement is covered above under Sec.   238.21.
 approval of alternative
 compliance--Impractical equipment
 design.
                                    --------------------------------------------------------------------------------------------------------------------
--(k) Records of the inspection and  The estimated burden for this regulatory requirement is covered below under Sec.   238.303 and under the OMB
 repair of the welded safety          control number 2130-0004 (Sec.   229.21).
 appliance brackets.
                                    --------------------------------------------------------------------------------------------------------------------
238.230(b)(1)--Safety Appliances--   FRA anticipates zero railroad submissions during this 3-year ICR period.
 New equipment--Inspection record
 of welded equipment by qualified
 employee.
                                    --------------------------------------------------------------------------------------------------------------------
--(b)(3) Welded safety appliances:   FRA anticipates zero railroad submissions during this 3-year ICR period.
 Documentation for equipment
 impractically designed to
 mechanically fasten safety
 appliance support.
                                    --------------------------------------------------------------------------------------------------------------------
238.231--Brake System--Inspection    The estimated paperwork burden for this requirement is covered under Sec.   238.303 and under the OMB control
 and repair of hand/parking brake:    number 2130-0004.
 Records (under FRA Form 6180.49A).
                                    --------------------------------------------------------------------------------------------------------------------
--(h) Procedures verifying hold of   1 new railroad.......  1.00 procedure.......  2 hours..............            2.00           77.44          154.88
 hand/parking brakes.
238.237(a)-(b)--Automated            1 new railroad.......  1.00 document........  2 hours..............            2.00           77.44          154.88
 monitoring- Documentation for
 alerter/deadman control timing.
--(d) Defective alerter/deadman      34 railroads.........  25.00 tags...........  3 minutes............            1.25           59.89           74.86
 control: Tagging.
                                    --------------------------------------------------------------------------------------------------------------------

238.303--Exterior calendar day       FRA anticipates zero railroad submissions during this 3-year ICR period.
 mechanical inspection of passenger
 equipment: Notice of previous
 inspection.
                                    --------------------------------------------------------------------------------------------------------------------
--(e)(15) Dynamic brakes not in      34 railroads.........  50.00 tags...........  3 minutes............            2.50           59.89          149.73
 operating mode: Tag.
                                    --------------------------------------------------------------------------------------------------------------------
--(e)(15)(ii) Conventional           The estimated paperwork burden for this regulatory requirement is covered above under Sec.   238.303(e)(15).
 locomotives equipped with
 inoperative dynamic brakes:
 Tagging.
                                    --------------------------------------------------------------------------------------------------------------------
--(e)(17) MU passenger equipment     FRA anticipates zero railroad submissions during this 3-year ICR period.
 found with inoperative/ineffective
 air compressors at exterior
 calendar day inspection: Documents.
                                    --------------------------------------------------------------------------------------------------------------------
--(e)(17)(v) Written notice to       The estimated paperwork burden for this regulatory requirement is covered above under Sec.   238.303(e)(15).
 train crew about inoperative/
 ineffective air compressors.
                                    --------------------------------------------------------------------------------------------------------------------
--(e)(18)(iv) Records of             The estimated paperwork burden for this regulatory requirement is covered below under Sec.   238.303(g).
 inoperative air compressors.
                                    --------------------------------------------------------------------------------------------------------------------
--(g) Record of exterior calendar    34 railroads.........  1,734,115.00 daily     1 minute.............       28,901.92           77.44    2,238,164.68
 day mechanical inspection (Other                            inspection records.
 than locomotives) (* Note:
 Includes burden for records of
 inoperative air compressors under
 Sec.   238.303(e)(18)(iv)).
238.305--Interior calendar day       34 railroads.........  540.00 tags..........  3 minutes............           27.00           77.44        2,090.88
 mechanical inspection of passenger
 cars--Tagging of defective end/
 side doors.
--(f) Records of interior calendar   34 railroads.........  3,102,865.00 daily     1 minute.............       51,714.42           77.44    4,004,764.68
 day inspection.                                             inspection records.
238.307(a)(2)--Periodic mechanical   34 railroads.........  2.00 notices.........  5 hours..............           10.00           77.44          774.40
 inspection of passenger cars and
 unpowered vehicles--Alternative
 inspection intervals:
 Notifications.
--(c)(1) Notice of seats and seat    34 railroads.........  200.00 notices.......  2 minutes............            6.67           59.89          399.47
 attachments broken or loose.
--(e)(1) Records of each periodic    34 railroads.........  5,184.00 inspection    1 hour...............        5,184.00           59.89      310,469.76
 mechanical inspection.                                      records.
--(e)(2) Detailed documentation of   34 railroads.........  2.00 documents.......  100 hours............          200.00           77.44       15,488.00
 reliability assessments as basis
 for alternative inspection
 interval.
238.311--Single car test--Tagging    34 railroads.........  50.00 tags...........  3 minutes............            2.50           59.89          149.73
 to indicate need for single car
 test.
238.313(h)--Class I Brake Test--     34 railroads.........  15,600.00 records....  30 minutes...........        7,800.00           59.89      467,142.00
 Record for additional inspection
 for passenger equipment that does
 not comply with Sec.
 238.231(b)(1).
                                    --------------------------------------------------------------------------------------------------------------------
238.315(a)(1)--Class IA brake test-- The associated burdens related to briefings have been addressed previously when FRA calculated the economic costs
 Notice to train crew that test has   of the regulation.
 been performed (verbal notice).
                                    --------------------------------------------------------------------------------------------------------------------
--(f)(5) Communicating signal        The associated burdens related to briefings have been addressed previously when FRA calculated the economic costs
 tested and operating as intended.    of the regulation.
                                    --------------------------------------------------------------------------------------------------------------------
238.317--Class II brake test--       The associated burdens related to briefings have been addressed previously when FRA calculated the economic costs
 Communicating signal tested and      of the regulation.
 operating as intended.
                                    --------------------------------------------------------------------------------------------------------------------
238.321--Out-of-service credit--     The estimated paperwork burden for this regulatory requirement is covered under Sec.   238.307 and under OMB
 Passenger car: Out-of-use notation.  control number 2130-0004 under Sec.   229.23(d)-(g).
                                    --------------------------------------------------------------------------------------------------------------------
238.445(a)--Automated Monitoring--   There are no paperwork burdens associated with this subsection. FRA corrects its previous overinclusion.
 Performance monitoring: alerters/
 alarms.
                                    --------------------------------------------------------------------------------------------------------------------
--(c) Monitoring system: Self-test   There are no paperwork burdens associated with this subsection. FRA corrects its previous overinclusion.
 feature: Notifications.
                                    --------------------------------------------------------------------------------------------------------------------
238.703--Quasi-static compression    1 new railroad.......  .33 document.........  40 hours.............           13.20           77.44        1,022.21
 load requirements--Document to FRA
 on Tier III trainsets.
238.705--Dynamic collision           1 new railroad.......  .33 validation         40 hours.............           13.20           77.44        1,022.21
 scenario--Model validation                                  document.
 document to FRA for review and
 approval.
238.707--Override protection--Anti-  1 new railroad.......  .33 evaluation.......  40 hours.............           13.20           77.44        1,022.21
 climbing performance evaluation
 for Tier III trainsets.
238.709--Fluid entry inhibition--    1 new railroad.......  .33 analysis.........  20 hours.............            6.60           77.44          511.10
 Information to demonstrate
 compliance with this section of a
 Tier III trainset.
238.721--Glazing--Cab glazing; end   3 glass manufacturers  .33 technical          60 hours.............           19.80           77.44        1,533.31
 facing--Documentation containing                            documentation.
 technical justification.
                                    --------------------------------------------------------------------------------------------------------------------
--(a)(6) Marking of end-facing       Windows are, customarily, automatically marked during the production process. Therefore, there will be no
 exterior windows for Tier III        additional burden to mark the windows.
 trainsets.
                                    --------------------------------------------------------------------------------------------------------------------

--(b) Cab Glazing; side-facing       3 glass manufacturers  .33 analysis.........  10 hours.............            3.30           77.44          255.55
 exterior windows in Tier III cab--
 Each end-facing exterior window in
 a cab shall, at a minimum, provide
 ballistic penetration resistance
 that meets the requirements of
 appendix A to part 223
 (Certification of Glazing
 Materials).
                                    --------------------------------------------------------------------------------------------------------------------
--(b) Marking of side-facing         Windows are, customarily, automatically marked during the production process. Therefore, there will be no
 exterior windows in Tier III         additional burden to mark the windows.
 Trainsets.
                                    --------------------------------------------------------------------------------------------------------------------
--(c) Non-Cab Glazing; Side-facing   3 glass manufacturers  .33 analysis.........  20 hours.............            6.60           77.44          511.10
 exterior windows--Tier III--
 compliance document for Type II
 glazing.
                                    --------------------------------------------------------------------------------------------------------------------
--(c) Marking of side-facing         Windows are, customarily, automatically marked during the production process. Therefore, there will be no
 exterior windows--Tier III           additional burden to mark the windows.
 Trainsets--non-cab cars.
                                    --------------------------------------------------------------------------------------------------------------------
--(c)(2) Alternative standard to     3 glass manufacturers  .67 alternative        5 hours..............            3.35           77.44          259.42
 FRA for side-facing exterior                                analysis.
 window intended to be breakable
 and serve as an emergency window
 exit (option to comply with an
 alternative standard).
                                    --------------------------------------------------------------------------------------------------------------------
238.731(a)--Brake Systems--RR        The estimated paperwork burden for this regulatory requirement is covered under Sec.   238.111(a).
 analysis and testing Tier III
 trainsets' maximum safe operating
 speed.
                                    --------------------------------------------------------------------------------------------------------------------
--(d) Tier III trainsets' passenger  1 new railroad.......  53.33 stencilings....  1 hour (design) + 2             55.11           59.89        3,300.54
 brake alarm--legible stenciling/                                                   minutes (marking).
 marking of devices with words
 ``Passenger Brake Alarm''
 (Including the design of the
 sticker).
--(f) Main reservoir test/           1 new railroad.......  .33 certification....  6 hours..............            1.98           59.89          118.58
 certification.
--(h) Main reservoir tests--         1 railroad...........  .33 ITM plan.........  10 hours.............            3.30           77.44          255.55
 Inspection, testing and
 maintenance program (ITM).
--(j) Brake application/release--    1 railroad...........  .33 design...........  40 hours.............           13.20           77.44        1,022.21
 Brake actuator design with
 approved brake cylinder pressure
 as part of design review process.
--(o) Train securement--Tier III     1 railroad...........  .33 procedure........  8 hours..............            2.64           77.44          204.44
 equipment: demonstrated securement
 procedure.
238.733--Interior fixture            1 railroad...........  .33 analysis/document  20 hours.............            6.60           77.44          511.10
 attachment--Analysis for FRA
 approval (Tier III).
238.735--Seat crashworthiness        1 railroad...........  .33 analysis/document  40 hours.............           13.20           77.44        1,022.21
 standard (passenger & cab crew)--
 Analysis for FRA approval (Tier
 III).
238.737--Luggage racks--Analysis     1 railroad...........  .33 analysis/document  20 hours.............            6.60           77.44          511.10
 for FRA approval (Tier III).
238.741--Emergency window egress     1 railroad...........  .33 plan.............  60 hours.............           19.80           77.44        1,533.31
 and rescue access--Plan to FRA for
 passenger cars in Tier III
 trainsets not in compliance with
 sections 238.113 or 238.114.
238.743--Emergency Lighting--        1 railroad...........  .33 analysis/test....  60 hours.............           19.80           77.44        1,533.31
 Analysis for FRA approval (Tier
 III).
238.745--Emergency communication--   3 railroads..........  277.00 marked          5 minutes............           23.08           77.44        1,787.32
 Marking of each intercom intended                           intercom locations.
 for passenger use on Tier III
 trainsets as specified in Sec.
 238.121 (New requirement; note the
 existing burden associated with
 Tier I & Tier II trainsets is
 covered under OMB control no. 2130-
 0576).
238.747--Emergency roof access for   3 railroads..........  104.00 marked          30 minutes...........           52.00           77.44        4,026.88
 cab occupants--Marked emergency                             emergency roof
 roof access locations on Tier III                           access locations.
 trainsets as specified in Sec.
 238.123(a), (d), and (e) (New
 requirement; note the existing
 burden associated with Tier I &
 Tier II trainsets is covered under
 OMB control no. 2130-0576).
238.751--Alerters--Alternate         1 railroad...........  .33 analysis/test....  40 hours.............           13.20           77.44        1,022.21
 technology--Analysis for FRA
 approval (Tier III).
238.759--Trainset cab noise--        3 railroads..........  1.00 record..........  5 minutes............             .08           77.44            6.20
 Performance standards for Tier III
 trainsets--Recordkeeping on cab
 noise test protocol as set forth
 in appendix I to this part (New
 requirement).
                                    --------------------------------------------------------------------------------------------------------------------
238.761--Trainset sanitation         FRA anticipates zero submissions for this 3-year ICR period.
 facilities for employees as
 specified in Sec.  Sec.   229.137
 and 229.139--Defective locomotive
 toilet facility--Tagging, notation
 on daily inspection report (New
 requirement; note the existing
 burden associated with Tier I &
 Tier II trainsets is covered under
 OMB control no. 2130-0552).
                                    --------------------------------------------------------------------------------------------------------------------
238.765--Event recorders (New        FRA anticipates zero railroad submissions during this 3-year ICR period.
 requirement).
                                    --------------------------------------------------------------------------------------------------------------------
238.775--Trainset horn--Testing of   3 railroads..........  .33 written report...  1 hour...............             .33           77.44           25.56
 the trainset horn sound level in
 accordance with Sec.   229.129(c)--
 Written report and record
 retention (New requirement).
                                    --------------------------------------------------------------------------------------------------------------------
238.777(e)(2)--Inspection Records--  FRA anticipates zero railroad submissions during this 3-year ICR period.
 Copy of summary report made
 available to the engineer and to
 FRA upon request (New requirement).
                                    --------------------------------------------------------------------------------------------------------------------

238.785--Trainset electrical         FRA anticipates zero railroad submissions during this 3-year ICR period.
 system--High voltage markings:
 doors, cover plates, or barriers
 (New requirement).
                                    --------------------------------------------------------------------------------------------------------------------
238.791--Safety appliances (New      The estimated paperwork burden for this regulatory requirement is covered under Sec.  Sec.   238.110 (design) and
 requirement).                        238.901 et seq. (records).
                                    --------------------------------------------------------------------------------------------------------------------
238.903--Trainset Inspection,        3 railroads..........  .67 plan.............  150 hours............          100.50           77.44        7,782.72
 Testing, and Maintenance
 Requirements for Tier III
 Passenger Equipment--Program (New
 requirement).
--(f) Retention of records.........  3 railroads..........  10,140.00 records....  5 minutes............          845.00           77.44       65,436.80
                                    --------------------------------------------------------------------------------------------------------------------
238.907--Standard procedures for     The estimated paperwork burden for this requirement is covered under Sec.   238.903.
 safely performing inspection,
 testing, and maintenance, and
 repairs (New requirement).
                                    --------------------------------------------------------------------------------------------------------------------
238.909--Quality control/quality     The estimated paperwork burden for this requirement is covered under Sec.   238.903.
 assurance program (New
 requirement).
                                    --------------------------------------------------------------------------------------------------------------------
238.911--Inspection, testing, and    3 railroads..........  .67 condensed program  2 hours..............            1.34           77.44          103.77
 maintenance program format--A
 condensed version of the program
 that contains only those items
 identified as safety-critical by
 the railroad submitted for
 approval by FRA (New requirement).
                                    --------------------------------------------------------------------------------------------------------------------
238.913(a)(1)--Inspection, testing,  The estimated paperwork burden for this requirement is covered under Sec.   238.903.
 and maintenance program approval
 procedure--Initial submission (New
 requirement).
                                    --------------------------------------------------------------------------------------------------------------------
--(a)(2) Inspection, testing, and    FRA anticipates zero railroad submissions during this 3-year ICR period.
 maintenance program approval
 procedure--Submission of
 amendments (New requirement).
                                    --------------------------------------------------------------------------------------------------------------------
--(b)(3) Inspection, testing, and    3 railroads..........  .67 affirming          5 minutes............             .06           77.44            4.65
 maintenance program approval                                statement.
 procedure--Statement affirming
 that the railroad has provided a
 copy of the program or amendments
 on designated representatives of
 railroad employees as required
 under paragraph (c) of this
 section (New requirement).
--(c) Inspection, testing, and       3 railroads..........  .33 comment..........  5 hours..............            1.65           77.44          127.78
 maintenance program approval
 procedure--Comment--Railroad to
 provide a copy to the designated
 representatives of railroad
 employees responsible for the
 equipment's operation, inspection,
 testing, and maintenance under
 this subpart, of each submission
 filed with FRA (New requirement).
--(d)(1) Inspection, testing, and    3 railroads..........  .33 review of          2 hours..............             .66           77.44           51.11
 maintenance program approval                                deficiency.
 procedure--FRA's notification to
 railroads (New requirement).
                                    --------------------------------------------------------------------------------------------------------------------
--(d)(2) Inspection, testing, and    FRA anticipates zero railroad submissions during this 3-year ICR period.
 maintenance program approval
 procedure--Amendments in response
 to FRA's disapproval (New
 requirement).
                                    --------------------------------------------------------------------------------------------------------------------
--(d)(3) Inspection, testing, and    The estimated paperwork burden for this requirement is covered above under paragraph (d)(1) of this section.
 maintenance program approval
 procedure--Resubmission of initial
 submission or amendments in
 response to FRA's identification
 of deficiencies after approval
 (New requirement).
                                    --------------------------------------------------------------------------------------------------------------------
--(e) Inspection, testing, and       FRA anticipates zero railroad submissions during this 3-year ICR period.
 maintenance program approval
 procedure--Annual review--Railroad
 to provide written notice to FRA
 and the designated representatives
 of the railroad's employees prior
 to the annual review (New
 requirement).
                                    --------------------------------------------------------------------------------------------------------------------
238.1003(a)-(e)--Movement of         FRA anticipates zero railroad submissions during this 3-year ICR period.
 defective Tier III passenger
 equipment--Tagging to indicate
 ``non-complying trainset'' (New
 requirement).
                                    --------------------------------------------------------------------------------------------------------------------
--(f) Movement of defective Tier     FRA anticipates zero railroad submissions during this 3-year ICR period.
 III passenger equipment--Movement
 is made in accordance with the
 restrictions contained in the
 Special Notice under part 216 (New
 requirement).
                                    --------------------------------------------------------------------------------------------------------------------
    Total \31\.....................  37 railroads.........  4,871,540 Responses..  N/A..................          98,889             N/A       7,401,389
--------------------------------------------------------------------------------------------------------------------------------------------------------

    All estimates include the time for reviewing instructions;
searching existing data sources; gathering or maintaining the needed
data; and reviewing the information. Pursuant to 44 U.S.C.
3506(c)(2)(B), FRA solicits

comments concerning: Whether these information collection requirements
are necessary for the proper performance of the functions of FRA,
including whether the information has practical utility; the accuracy
of FRA's estimates of the burden of the information collection
requirements; the quality, utility, and clarity of the information to
be collected; and whether the burden of collection of information on
those who are to respond, including through the use of automated
collection techniques or other forms of information technology, may be
minimized. For information or a copy of the paperwork package submitted
to OMB, contact Ms. Arlette Mussington, Information Collection
Clearance Officer, at<PHONE_NUMBER> or Ms. Joanne Swafford, Information
Collection Clearance Officer, at<PHONE_NUMBER>. Organizations and
individuals desiring to submit comments on the collection of
information requirements should direct them via email to Ms. Mussington
at [email protected] or Ms. Swafford at
[email protected].
    OMB is required to decide concerning the collection of information
requirements contained in this rule between 30 and 60 days after
publication of this document in the Federal Register. Therefore, a
comment to OMB is best assured of having its full effect if OMB
receives it within 30 days of publication. FRA is not authorized to
impose a penalty on persons for violating information collection
requirements that do not display a current OMB control number, if
required. FRA intends to obtain current OMB control numbers for any new
information collection requirements resulting from this rulemaking
action prior to the effective date of the final rule. The OMB control
number, when assigned, will be announced by separate notice in the
Federal Register.

D. Federalism Implications

    Executive Order 13132, Federalism,\32\ requires FRA to develop an
accountable process to ensure ``meaningful and timely input by State
and local officials in the development of regulatory policies that have
federalism implications.'' ``Policies that have federalism
implications'' are defined in the Executive Order to include
regulations that have ``substantial direct effects on the States, on
the relationship between the national government and the States, or on
the distribution of power and responsibilities among the various levels
of government.'' Under Executive Order 13132, the agency may not issue
a regulation with federalism implications that imposes substantial
direct compliance costs and that is not required by statute, unless the
Federal government provides the funds necessary to pay the direct
compliance costs incurred by State and local governments, the agency
consults with State and local governments, or the agency consults with
State and local government officials early in the process of developing
the regulation. Where a regulation has federalism implications and
preempts State law, the agency seeks to consult with State and local
officials in the process of developing the regulation.
---------------------------------------------------------------------------

    \32\ 64 FR 43255 (Aug. 10, 1999).
---------------------------------------------------------------------------

    FRA has analyzed this proposed rule in accordance with the
principles and criteria contained in Executive Order 13132. FRA has
determined that this proposed rule has no federalism implications,
other than the possible preemption of State laws under 49 U.S.C. 20106.
Therefore, the consultation and funding requirements of Executive Order
13132 do not apply, and preparation of a federalism summary impact
statement for the proposed rule is not required.

E. International Trade Impact Assessment

    The Trade Agreements Act of 1979 \33\ prohibits Federal agencies
from engaging in any standards or related activities that create
unnecessary obstacles to the foreign commerce of the United States.
Legitimate domestic objectives, such as safety, are not considered
unnecessary obstacles. The statute also requires consideration of
international standards and, where appropriate, that they be the basis
for U.S. standards.
---------------------------------------------------------------------------

    \33\ 19 U.S.C. ch. 13.
---------------------------------------------------------------------------

    FRA has assessed the potential effect of this rulemaking on foreign
commerce and believes that its proposed requirements are consistent
with the Trade Agreements Act. The proposed requirements are safety
standards, which, as noted, are not considered unnecessary obstacles to
trade. Moreover, FRA has sought, to the extent practicable, to state
the proposed requirements in terms of the performance desired, rather
than in more narrow terms restricted to a particular design or system.

F. Environmental Impact

    FRA has evaluated this proposed rule in accordance with the
National Environmental Policy Act \34\ (NEPA), the Council of
Environmental Quality's NEPA implementing regulations,\35\ and FRA's
NEPA implementing regulations.\36\ FRA has determined that this
proposed rule is categorically excluded from environmental review and
therefore does not require the preparation of an environmental
assessment (EA) or environmental impact statement (EIS). Categorical
exclusions (CEs) are actions identified in an agency's NEPA
implementing procedures that do not normally have a significant impact
on the environment and therefore do not require either an EA or
EIS.\37\ Specifically, FRA has determined that this proposed rule is
categorically excluded from detailed environmental review.\38\
---------------------------------------------------------------------------

    \34\ 42 U.S.C. 4321 et seq.
    \35\ 40 CFR parts 1500-1508.
    \36\ 23 CFR part 771.
    \37\ 40 CFR 1508.4
    \38\ See 23 CFR 771.116(c)(15) (categorically excluding
``[p]romulgation of rules, the issuance of policy statements, the
waiver or modification of existing regulatory requirements, or
discretionary approvals that do not result in significantly
increased emissions of air or water pollutants or noise'').
---------------------------------------------------------------------------

    The main purpose of this rulemaking is to amend FRA's Passenger
Equipment Safety Standards by adding safety standards to facilitate the
safe implementation of high-speed rail at speeds up to 220 mph (Tier
III). This rulemaking would not directly or indirectly impact any
environmental resources and would not result in significantly increased
emissions of air or water pollutants or noise. In analyzing the
applicability of a CE, FRA must also consider whether unusual
circumstances are present that would warrant a more detailed
environmental review.\39\ FRA has concluded that no such unusual
circumstances exist with respect to this proposed rule and it meets the
requirements for categorical exclusion.\40\
---------------------------------------------------------------------------

    \39\ 23 CFR 771.116(b).
    \40\ 23 CFR 771.116(c)(15).
---------------------------------------------------------------------------

    Pursuant to Section 106 of the National Historic Preservation Act
and its implementing regulations, FRA has determined this undertaking
has no potential to affect historic properties.\41\ FRA has also
determined that this rulemaking does not approve a project resulting in
a use of a resource protected by Section 4(f).\42\ Further, FRA
reviewed this proposed rulemaking and found it consistent with
Executive Order 14008, Tackling the Climate Crisis at Home and
Abroad.\43\
---------------------------------------------------------------------------

    \41\ See 54 U.S.C. 306108.
    \42\ See Department of Transportation Act of 1966, as amended
(Pub. L. 89-670, 80 Stat. 931); 49 U.S.C. 303.
    \43\ 86 FR 7619 (Feb. 1, 2021).

---------------------------------------------------------------------------

G. Executive Order 12898 (Environmental Justice)

    Executive Order 12898, Federal Actions to Address Environmental
Justice in Minority Populations and Low-Income Populations,\44\ and DOT
Order 5610.2C \45\ require DOT agencies to achieve environmental
justice as part of their mission by identifying and addressing, as
appropriate, disproportionately high and adverse human health or
environmental effects, including interrelated social and economic
effects, of their programs, policies, and activities on minority
populations and low-income populations. The DOT Order instructs DOT
agencies to address compliance with Executive Order 12898 and
requirements within the DOT Order in rulemaking activities, as
appropriate, and also requires consideration of the benefits of
transportation programs, policies, and other activities where minority
populations and low-income populations benefit, at a minimum, to the
same level as the general population as a whole when determining
impacts on minority and low-income populations. FRA has evaluated this
proposed rule under Executive Order 12898 and the DOT Order and has
determined that it would not cause disproportionately high and adverse
human health and environmental effects on minority populations or low-
income populations.
---------------------------------------------------------------------------

    \44\ 59 FR 7629 (Feb. 16, 1994).
    \45\ Available at: https://www.transportation.gov/sites/dot.gov/files/Final-for-OST-C-210312-003-signed.pdf.
---------------------------------------------------------------------------

H. Executive Order 13175 (Tribal Consultation)

    FRA has evaluated this proposed rule in accordance with the
principles and criteria contained in Executive Order 13175,
Consultation and Coordination with Indian Tribal Governments, dated
November 6, 2000. The proposed rule would not have a substantial direct
effect on one or more Indian tribes, would not impose substantial
direct compliance costs on Indian tribal governments, and would not
preempt tribal laws. Therefore, the funding and consultation
requirements of Executive Order 13175 do not apply, and a tribal
summary impact statement is not required.

I. Unfunded Mandates Reform Act of 1995

    Under section 201 of the Unfunded Mandates Reform Act of 1995,\46\
each Federal agency ``shall, unless otherwise prohibited by law, assess
the effects of Federal regulatory actions on State, local, and tribal
governments, and the private sector (other than to the extent that such
regulations incorporate requirements specifically set forth in law).''
Section 202 of the Act \47\ further requires that ``before promulgating
any general notice of proposed rulemaking that is likely to result in
the promulgation of any rule that includes any Federal mandate that may
result in expenditure by State, local, and tribal governments, in the
aggregate, or by the private sector, of $100,000,000 or more (adjusted
annually for inflation) in any 1 year, and before promulgating any
final rule for which a general notice of proposed rulemaking was
published, the agency shall prepare a written statement'' detailing the
effect on State, local, and tribal governments and the private sector.
This proposed rule will not result in the expenditure, in the
aggregate, of $100,000,000 or more (as adjusted annually for inflation)
in any one year, and thus preparation of such a statement is not
required.
---------------------------------------------------------------------------

    \46\ Public Law 104-4, 2 U.S.C. 1531.
    \47\ 2 U.S.C. 1532.
---------------------------------------------------------------------------

J. Energy Impact

    Executive Order 13211, Actions Concerning Regulations That
Significantly Affect Energy Supply, Distribution, or Use, requires
Federal agencies to prepare a Statement of Energy Effects for any
``significant energy action.'' \48\ FRA evaluated this proposed rule
under Executive Order 13211 and determined that this regulatory action
is not a ``significant energy action'' within the meaning of Executive
Order 13211.
---------------------------------------------------------------------------

    \48\ 66 FR 28355 (May 22, 2001).
---------------------------------------------------------------------------

K. Privacy Act

    In accordance with 5 U.S.C. 553(c), DOT solicits comments from the
public to better inform its rulemaking process. DOT posts these
comments, without edit, to www.regulations.gov, as described in the
system of records notice, DOT/ALL-14 FDMS, accessible through
www.dot.gov/privacy. To facilitate comment tracking and response, we
encourage commenters to provide their name, or the name of their
organization; however, submission of names is completely optional.
Whether or not commenters identify themselves, all timely comments will
be fully considered. If you wish to provide comments containing
proprietary or confidential information, please contact the agency for
alternate submission instructions.

L. Analysis Under 1 CFR Part 51

    As required by 1 CFR 51.5, FRA has summarized the standards it is
proposing to incorporate by reference and shown the reasonable
availability of those standards in the section-by-section analysis of
this rulemaking document (see the discussions of Sec. Sec.
238.139(c)(1)(i) and 238.745(b)). APTA standard PR-M-S-18-10 is
currently approved for the location where is appears in the amendatory
text; no change to the standard is proposed.

List of Subjects

49 CFR Part 216

    Railroad safety, Reporting and recordkeeping requirements.

49 CFR Part 231

    Railroad safety.

49 CFR Part 238

    Incorporation by reference, Passenger equipment, Railroad safety,
Reporting and recordkeeping requirements.

The Proposed Rule

    For the reasons discussed in the preamble, FRA proposes to amend
chapter II, subtitle B of title 49 of the Code of Federal Regulations
as follows:

PART 216--SPECIAL NOTICE AND EMERGENCY ORDER PROCEDURES: RAILROAD
TRACK, LOCOMOTIVE AND EQUIPMENT

0
1. The authority citation for part 216 continues to read as follows:

    Authority: 49 U.S.C. 20102-20104, 20107, 20111, 20133, 20701-
20702, 21301-21302, 21304; 28 U.S.C. 2461 note; and 49 CFR 1.89.
0
2. Revise Sec.  216.14(c) to read as follows:

Sec.  216.214  Special notice for repairs--passenger equipment.

* * * * *
    (c) Railroad passenger equipment subject to a Special Notice may be
moved from the place where it was found to be unsafe for further
service to the nearest available point where the equipment can be
repaired, if such movement is necessary to make the repairs. However,
the movement is subject to the further restrictions of Sec. Sec.
238.15 and 238.17, or Sec.  238.1003 of this chapter.

PART 231--RAILROAD SAFETY APPLIANCE STANDARDS

0
3. The authority citation for part 231 continues to read as follows:

    Authority: 49 U.S.C. 20102-20103, 20107, 20131, 20301-20303,
21301-21302, 21304; 28 U.S.C. 2461, note; and 49 CFR 1.89.

0
4. Add Sec.  231.0(b)(6) to read as follows:

Sec.  231.0  Applicability and penalties.

* * * * *
    (b) * * *
    (6) Tier III passenger equipment as defined in Sec.  238.5 of this
chapter (i.e., passenger equipment operating in a shared right-of-way
at speeds not exceeding 125 mph and in an exclusive right-of-way
without grade crossings at speeds exceeding 125 mph but not exceeding
220 mph).
* * * * *

PART 238--PASSENGER EQUIPMENT SAFETY STANDARDS

0
5. The authority citation for part 238 continues to read as follows:

    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 1.89.

Subpart A--General

0
6. Amend Sec.  238.5 by adding in alphabetical order definitions of
``clear length'', ``crew access side access steps'', ``representative
segment of the route'', and ``Tier IV system'', and revising the
definition of ``in service''. The additions and revision read as
follows:

Sec.  238.5  Definitions.

* * * * *
    Clear length means, as applied to handholds and handrails, the
distance about which a minimum 2-inch hand clearance exists in all
directions around the handhold or handrail. Intermediate supports on
handrails may be considered part of the clear length.
* * * * *
    Crew access side steps means a step(s) or stirrup(s) located on the
side of the car to assist an employee in entering or existing through
an exterior side door for train crew use.
* * * * *
    In service, when used in connection with passenger equipment,
means--
* * * * *
    (2) * * *
    (i) Is being handled in accordance with Sec. Sec.  238.15, 238.17,
238.305(d), 238.503(f), or 238.1003 as applicable;
* * * * *
    Representative segment of the route means--
    (1) A continuous track section or multiple track sections no less
than 50 miles in length that consist of--
    (i) A curvature distribution as described below;
    (ii) A segment or segments of tangent track over which the intended
maximum operating speed can be sustained; and
    (iii) Any bridges and special-trackwork that are within the track
section or track sections.
    (2) If each of a railroad's line segments is less than 50 miles,
then the ``representative segment of the route'' means one complete
line segment that consists of the conditions described in paragraphs
(1)(ii) and (iii) of this definition.
    (3) A track section as described under paragraph (1) of this
definition shall have a curvature distribution that is within 2% of the
curvature distribution of the complete line segment, evaluated using
the root mean squared (RMS) of the differences between the two
distributions.
* * * * *
    Tier IV system means any railroad that provides or is available to
provide passenger service using non-interoperable technology that
operates on an exclusive right-of-way without grade crossings, not
comingled with freight equipment or Tier I, II, or III passenger
equipment, and not physically connected to the general railroad system.
* * * * *
0
7. In Sec.  238.19, revise paragraphs (a)(4) and (5), (b), and (d) to
read as follows:

Sec.  238.19  Reporting and tracking of repairs to defective passenger
equipment.

    (a) * * *
    (4) The determination made by a qualified person, qualified
maintenance person, or other qualified individual on whether the
equipment is safe to run;
    (5) The name of the qualified person, qualified maintenance person,
or other qualified individual making such a determination;
* * * * *
    (b) Retention of records. At a minimum, each railroad shall keep
the records described in paragraph (a) of this section in accordance
with the following:
    (1) For Tier I equipment, 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).
    (2) For Tier III equipment, at least one year.
* * * * *
    (d) List of repair points. (1) 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. Railroads operating these trains shall
designate a sufficient number of repair locations to ensure the safe
and timely repair of passenger equipment.
    (2) Railroads operating Tier III passenger trainsets shall
designate locations, in writing, where repairs to safety-critical items
on passenger equipment, including those with a power brake defect will
be made. The railroad shall designate brake system repair point(s) in
the inspection, testing, and maintenance program required by Sec.
238.903(a). No Tier III trainset shall depart a brake system repair
point where repairs can be made with brake system defect unless that
trainset has its required operational braking capability, and not for a
period to exceed 5 consecutive calendar days.
    (3) The railroad shall provide the list required under either
paragraph (d)(1) or (2) of this section to FRA's Associate
Administrator and make it available to FRA for inspection and copying
upon request. The designations made in such lists shall not be changed
without at least 30 days' advance written notice to FRA's Associate
Administrator.

Subpart B--Safety Planning and General Requirements

0
8. Amend Sec.  238.105 by revising the undesignated introductory text,
paragraphs (a), (b), (c), the paragraph headings of (d) and (e), and
adding paragraphs (f) through (h). The revisions and additions read as
follows:

Sec.  238.105  Passenger electronic hardware and software safety.

    Except as provided below under paragraph (f) of this section, 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) General. The railroad shall develop, adopt, and comply with a
hardware and software safety program to guide the design, development,
testing, integration, and verification of safety-critical passenger
equipment electronic software and hardware. The hardware and software
safety program may be maintained in either a written or an electronic
format.
    (b) Safety program. 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;
    (7) Demonstration of overall hardware and software system safety as
part of the pre-revenue service testing of the equipment; and
    (8) Safety analysis that follows the requirements of paragraph (c)
of this section.
    (c) Safety analysis. The safety analysis shall establish and
document the minimum requirements that will govern the development and
implementation of all products subject to this section, and be based on
good engineering practice and should be consistent with the guidance
contained in appendix F to part 229 of this chapter in order to
establish that a product's safety-critical functions will operate with
a high degree of confidence in a fail-safe manner. The hardware and
software safety analysis 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.
    (d) Fail safe requirements. * * *
    (e) Compliance. * * *
    (f) Additional requirements. The requirements of this paragraph are
applicable as set forth under Sec.  229.303(a)(1) and (2) of this
chapter. In addition to complying with paragraphs (a) through (e) of
this section, electronic hardware and software used to control or
monitor safety functions in passenger equipment must also comply with
only the following requirements of subpart E of part 229 of this
chapter:
    (1) Section 229.309(a)(1) through (6), Safety-critical changes and
failures;
    (2) Section 229.311(a), (c), and (d)(1) through (3), Review of SAs;
    (3) Section 229.313, Product testing results and records;
    (4) Section 229.315, Operations and maintenance manual;
    (5) Section 229.317(a), Training and qualification program; and
    (6) Section 229.319, Operating personnel training.
    (g) Vehicle Communication and Control System Vulnerability
Assessment. The railroad shall prepare a Vehicle Communication and
Control System Vulnerability Assessment identifying potential system
vulnerabilities, associated risk (including exploitation likelihood and
consequences), countermeasures applied, and resulting risk mitigation.
The PTC system must comply with the requirements in Sec.  236.1033 of
this chapter.
    (h) Notification of product failure. Suppliers will notify FRA of
all safety-critical product failures without undue delay.
0
9. Add a new Sec.  238.108 to read as follows:

Sec.  238.108  New passenger service pre-revenue safety performance
demonstration.

    (a) Pre-revenue safety validation plan--(1) General. Any railroad
subject to this part providing new, regularly scheduled, intercity or
commuter passenger service, an extension of existing service, or a
renewal of service that has been discontinued for more than 180 days
shall develop and submit for review a comprehensive pre-revenue service
safety validation plan. Such plan shall include pertinent safety
milestones and a minimum period of simulated revenue service to
validate the safe integration of major systems and operational
readiness, and that all safety-sensitive personnel are properly trained
and qualified as outlined in this section.
    (2) Plan contents. A pre-revenue safety validation plan shall be
submitted to FRA 60 days prior to the commencement of the safety
performance demonstration period containing, at a minimum, the
following:
    (i) The status of all appliable safety plans or regulatory
programs, and any associated certifications, qualifications, and
employee training required for the start of revenue service including,
but not limited to, the following:
    (A) Railroad workplace safety procedures, programs, and training
pursuant to part 214 of this chapter;
    (B) A drug and alcohol program pursuant to part 219 of this
chapter;
    (C) If required, information on the status of PTC certification or
any request for amendment under part 236 of this chapter, and
compliance with conditions and requirements of Sec.  236.1015 of this
chapter as required by the host railroad's PTC safety plan. If the
railroad submitting the pre-revenue safety validation plan is not the
host railroad, the host railroad must acknowledge in writing that all
requisite testing, validation, or other conditions have been
satisfactorily met for the use of the tenant's PTC system in revenue
service;
    (D) A bridge management program pursuant to part 237 of this
chapter;
    (E) Passenger equipment compliance validation and testing conducted
pursuant to Sec. Sec.  238.110 and 238.111;
    (F) Inspection, testing, and maintenance programs, as required
under this part;
    (G) Emergency preparedness planning pursuant to part 239 of this
chapter, with a focus on first responder outreach and employee
training;
    (H) Locomotive engineer and conductor training, qualification and
certification programs under parts 240 and 242 of this chapter;
    (I) Training, qualification, and oversight program for safety-
related railroad employees under part 243 of this chapter, to include
information and data indicating the number of safety-related employees
required to receive training and qualification, and information
regarding the roles and responsibilities of executing the program
between the railroad and its contractors;
    (J) A system safety program plan pursuant to part 270 of this
chapter, with particular focus on the status of mitigations and actions
associated with hazard logs and risk assessments that have a direct
impact on the safety of the operation; and,
    (K) Speed limit action plans required under 49 U.S.C. 20169, if
applicable.
    (ii) A detailed description of the completeness of the system. This
description must, at a minimum, include completeness descriptions of
the vehicles, signals, crossings, stations, train control systems,
track structure, wayside systems, signage, rule books, and employee
staffing. For any area that is not expected to be complete when the
system performance demonstration period commences, the railroad must
provide an explanation as to why completeness or substantial
completeness is not necessary for the demonstration of safe operations.
If the railroad submitting the pre-revenue safety validation plan is
not the host railroad, the host railroad must provide the railroad
submitting the pre-revenue safety validation plan pertinent information
regarding any scheduled construction activities planned during the
system performance demonstration period and their anticipated
completion date. The railroad submitting the pre-revenue safety
validation plan must then explain why completeness or

substantial completeness of the host railroad construction activities
is not necessary for the demonstration of safe operations.
    (iii) A detailed description of the operating plan including
schedules, headways, equipment required, equipment staging locations,
crew schedules, grade crossing locations, signal locations, timetable,
general orders, special instructions, and other relevant information
regarding the regular railroad operations. This description must also
include a summary of the operating plan that includes, at a minimum,
the number of vehicles required to operate the plan, the number of
crewmembers per day, the number of round trips per crewmember, and the
total number of trips per day.
    (iv) The period of simulated service prior to revenue passenger
service (expressed either in days or number of completed train trips)
necessary to demonstrate operational readiness and reliability, to
include successful completion of any safety-critical activities
required (e.g., crewmember training and qualification) and clear pass/
fail criteria that, at a minimum, accounts for on-time performance,
signal and crossing failures, and vehicle and on-board systems
failures.
    (b) Safety performance demonstration period. The railroad shall
conduct a period of simulated service prior to revenue passenger
service, with the specific period provided in the railroad's pre-
revenue safety validation plan pursuant to paragraph (a)(2)(iv) of this
section. During this period, the railroad shall demonstrate that all
necessary infrastructure and systems (to include traction power,
signals/train control, and dispatching), vehicles, wayside equipment,
timetable, operating instructions, and training and familiarization are
properly integrated and will safely operate in the operating
environment and under the service demands for which they are intended.
Prior to commencing the safety performance demonstration period, the
railroad will have successfully completed pre-revenue service
acceptance testing under Sec.  238.111 and have obtained certification
of its PTC system or approval of any requests for amendment under part
236 of this chapter, if required.
    (1) Simulated service requirements. The railroad shall demonstrate
the successful completion of the safety performance demonstration
period in accordance with the pass/fail criteria required under
paragraph (a)(2)(iv) of this section.
    (i) For new passenger service or extension of existing service, the
safety performance demonstration period must be conducted while
executing the full schedule over the entire route utilizing all
stations and systems intended to operate at the start of revenue
passenger service. The period shall be of sufficient duration to
demonstrate that all safety-related employees are properly trained and
able to execute the railroad's programs and plans identified in
paragraph (a)(2)(i) of this section. The railroad shall also
demonstrate its ability to operate its planned schedule when speed
restrictions, mandatory directives, or other common situations arise
that may impact operations.
    (ii) For the re-starting or permanent re-routing of existing
service, the safety performance demonstration period may be conducted
using a modified schedule or dedicated test trains accounting for crew
and equipment availability. The period shall be of sufficient duration
to demonstrate that all safety-related employees are properly trained
and able to execute the railroad's programs and plans identified in
paragraph (a)(2)(i) of this section, with particular attention to
employees or groups of employees, who are not actively engaged in the
existing operations.
    (2) Daily summary report. During the safety performance
demonstration period, the railroad will provide FRA a daily summary of
the activities performed and results. Additionally, any delays, system
failures, unexpected events, close calls, or other safety concerns
shall be described in detail.
    (3) Final report. The railroad shall correct any safety
deficiencies identified during the safety performance demonstration
period prior to commencing revenue service. If safety deficiencies
cannot be corrected, the railroad shall impose appropriate mitigations
or operational limitations on the operation of the railroad that are
designed to ensure that the railroad can operate safely. Corrections,
mitigations, or operational limitations shall be discussed in a final
report to FRA addressing the complete safety performance demonstration
period. FRA may require additional corrections, mitigations, or
operational limitations to ensure the safety of the operation.
    (c) Compliance. After submitting a plan pursuant to paragraph (a)
of this section, the railroad shall adopt and comply with such plan and
may not amend the plan without first notifying the Associate
Administrator of the proposed amendment. Revenue service may not begin
until the railroad has completed the requirements of its plan,
including the minimum safety performance demonstration period required
by the plan and correcting any safety deficiencies identified or, for
deficiencies that cannot be corrected, imposing appropriate mitigations
or operational limitations on the operation of the railroad that are
designed to ensure that the railroad can operate safety, as required by
paragraph (b)(3) of this section.
0
10. Add Sec.  238.110 to read as follows:

Sec.  238.110  Design criteria, testing, documentation, and approvals.

    (a) Scope. Each railroad shall provide the pertinent design
criteria and documentation, as defined within this section, to obtain
required approvals for aspects of the design of passenger equipment
subject to the requirements of this part prior to performance of on-
site, dynamic acceptance testing under Sec.  238.111 of this chapter.
    (1) Applicability. Except for passenger equipment defined in
paragraph (a)(2) of this section, the requirements of this section
apply to all passenger equipment that qualifies under one of the
following conditions:
    (i) A passenger equipment design that has not been used in revenue
service in the United States.
    (ii) Rebuilt or modified passenger equipment where the carbody
structure or any safety-critical elements have been modified or
replaced by a new design not identical to the original component's
design. Submittals shall be required only to verify the safe operations
of the modified system/sub-system and any safety-critical systems
affected by such change.
    (2) Previously accepted passenger equipment designs. Except for
paragraph (d) of this section, passenger equipment designs that are the
same as passenger equipment designs previously used in the United
States are not subject to the requirements of this section.
    (b) Documentation and recordkeeping. (1) Railroads are required to
obtain or develop; review; and evaluate all documentation in support of
demonstrating compliance with the design and testing requirements of
this section.
    (2) The railroad shall retain a copy of the documentation required
under paragraph (b)(1) of this section for the lifetime of the
equipment and make it available to FRA for review upon request. If the
equipment is leased or sold to another entity, a copy of the
documentation shall be provided to the lessee or purchasing entity.
    (c) Vehicle qualification plan--(1) Plan content. Prior to
conducting any design reviews or tests, the railroad

shall develop a vehicle qualification plan that is comprised of the
following:
    (i) System description and design assumptions. As part of the
vehicle qualification plan, the railroad shall include a description of
the equipment's intended operating environment (system description) as
detailed in paragraph (d)(1) of this section and a list of design
assumptions. Railroads operating Tier III equipment must also address
the required elements for Tier III operations as detailed in paragraph
(d)(2) of this section.
    (ii) Compliance matrix. In addition to the system description and
design assumptions, the railroad shall develop and submit to FRA a
compliance matrix identifying all safety requirements with which
compliance must be demonstrated to include those requirements specified
in paragraphs (e) and (f) of this section.
    (2) Approval of the vehicle qualification plan. (i) The vehicle
qualification plan shall be submitted by the railroad for FRA review at
least 60 days before the first relevant design review and/or test. FRA
shall notify the railroad within 30 days of receipt of the railroad's
submission that the vehicle qualification plan is approved, disapproved
or disapproved in part. The notification shall also identify those
documents and/or tests that FRA will require to be submitted for review
and approval.
    (ii) If disapproved or disapproved in part, FRA shall explain the
reason(s) on which the disapproval is based, and the measures needed to
obtain approval. Upon receipt of notification by FRA of the disapproval
or disapproval in part, the railroad shall revise the vehicle
qualification plan to address the measures identified by FRA to obtain
approval, and resubmit to FRA in accordance with paragraph (c)(2)(i) of
this section.
    (iii) The railroad shall adopt and comply with the approved vehicle
qualification plan, including completion of all design review and/or
testing required by the plan.
    (d) System description (operating environment) and design criteria.
The railroad shall maintain a system description to include relevant
safety-critical elements affected by the intended operating
environment. The system description shall identify common criteria,
design assumptions, or other parameters that govern the design,
maintenance, and safe operation of the equipment it operates,
particularly as it relates to safety-critical features and systems.
    (1) Required elements common to all types of passenger equipment.
The following is a list of elements common to all railroad passenger
equipment subject to this part.
    (i) Infrastructure characteristics, to include governing or
limiting geometry (including turnouts), maximum grade, minimum required
braking or safe stopping distance, and rail or grinding profile (if
maintained).
    (ii) Systems integration elements, to include types of train
control systems, types of signal systems, grade crossing system types,
and traction power systems (if used).
    (iii) Railroad operational parameters, to include alerter timing.
    (2) Required elements for Tier III operations. The following is a
list of elements specific to railroad passenger equipment used in Tier
III operations. The railroad shall--
    (i) Identify the assumptions used to calculate the worst-case
braking adhesion conditions.
    (ii) Specify the maximum designed braking capacity.
    (iii) Identify the on-board locations where crewmembers can
initiate an irretrievable emergency brake application.
    (iv) Identify the on-board locations of passenger brake alarms.
    (v) Specify the time period for train operations to remain under
the full control of the engineer after a passenger brake alarm is
activated.
    (vi) Detail the manner or means used to confirm that the trainset
has safely cleared the boarding platform in which the application of a
passenger brake alarm will no longer immediately initiate an
irretrievable emergency brake application.
    (vii) Detail the railroad procedures to be followed and trainset
controls that must be activated to retrieve the full-service brake
application described in Sec.  238.731(d)(5).
    (viii) Identify and maintain the approved standard for designing
and testing main reservoirs, in accordance with Sec.  238.731(f).
    (ix) Specify the parameters set by the railroad to determine if the
wheel-slide protection system has failed to prevent wheel-slide.
    (x) Provide the details of the brake system functionality,
monitoring, and diagnostics and any corresponding safety analysis.
    (xi) Identify the worst-case grade condition on which Tier III
equipment must be effectively secured while unattended.
    (xii) Specify the operational parameters under which the engineer
must acknowledge the alerter in order for train operations to remain
under the full control of the engineer.
    (xiii) Provide the procedures to retrieve a full-service brake
application as described in Sec.  238.751(c).
    (xiv) Provide an analysis that confirms the ability of the
railroad's alternate technology to provide an equivalent level of
safety if a standard alerter is not used.
    (xv) Provide information on the use of the headlight dimming
functionality for Tier III trainsets when operating on a dedicated
right-of-way.
    (xvi) Identify and maintain the approved standard procedure for use
of flashing lights at public highway-rail grade crossings if an
alternative to the flashing rate for auxiliary lights under Sec.
238.769(b) is used.
    (e) Structural carbody crashworthiness compliance. (1) Carbody and
component crashworthiness design. New or modified passenger equipment
structural carbody designs must demonstrate compliance with the minimum
applicable crashworthiness requirements of parts 229 and 238 of this
chapter. Designs that include crash-energy management (CEM) components
must also comply with appendix J to this part. Compliance may be
demonstrated by any of the following methods:
    (i) Full-scale testing;
    (ii) Quasi-static and dynamic analysis performed by a validated
computer model supported by quasi-static test results; or
    (iii) Engineering calculations.
    (2) Carbody and component crashworthiness compliance testing. For
any tests intended to be used for the purpose of demonstrating
compliance with this section, the railroad must submit the following to
FRA no later than 60 days prior to the start of testing:
    (i) A test plan and associated procedures; and
    (ii) Finite element analysis results.
    (f) Safety Appliances. New or modified passenger equipment must be
equipped with safety appliances according to the applicable
requirements of this part. The railroad shall submit design review
documentation in accordance with paragraph (g)(1) of this section for
FRA review. Compliance shall be validated through a sample-equipment
inspection in accordance with paragraph (g)(2) of this section.
    (g) Approval of design review documentation, tests, and inspections
for Safety Appliances--(1) Design review, testing, and inspection
documentation.
    (i) Design review, testing, or inspection documentation shall be
submitted to FRA in advance for review.

FRA shall notify the railroad within 60 calendar days that the
submission is approved, disapproved, or disapproved in part. If
disapproved or disapproved in part, FRA shall explain the reason on
which the disapproval is based, and the measures needed to obtain
approval.
    (ii) Upon receipt of notification by FRA of the disapproval or
disapproval in part, the railroad shall revise the documentation to
address the measures identified by FRA to obtain approval. The revised
documentation shall be reviewed and approved in accordance with
paragraph (g)(1)(i) of this section.
    (2) Sample-equipment inspection. (i) The railroad shall request a
sample-equipment inspection from FRA by--
    (A) Notifying FRA with the first available date and location that
the sample equipment can be inspected, which will be at least 45 days
in advance of the inspection; and
    (B) Submitting engineering drawings reflecting the design and
configuration of the safety appliances, emergency systems and signage,
and any other elements to be inspected as part of the sample-equipment
inspection.
    (ii) Should FRA take exception during the inspection, FRA will
provide the railroad an inspection report documenting the exceptions
taken within 30 days of the sample-equipment inspection. The railroad
shall address all exceptions taken and then, if directed by FRA,
request a reinspection pursuant to paragraph (g)(2)(i) of this section.
    (iii) If the sample equipment conforms, then FRA will indicate that
no exceptions are noted on the inspection report.
0
11. Revise Sec.  238.111 to read as follows:

Sec.  238.111  Pre-revenue service acceptance testing.

    (a) Passenger equipment designs that have 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) Pre-revenue service acceptance test plan contents. Develop a
pre-revenue service acceptance test plan for the equipment that, at a
minimum, includes the following:
    (i) A description of the passenger equipment, its physical
characteristics, the version or type of safety-critical features
installed (e.g., type of brake system), and any other features that may
be relevant to the testing to be conducted.
    (ii) A description of the railroad, systems, and conditions against
which the pre-revenue service acceptance test plan is intended to
demonstrate safe operation in accordance with the railroad's system
description and design criteria required under Sec.  238.110(d). This
includes the physical characteristics of the railroad, any known
physical constraints (e.g., clearance requirements), track geometry
constraints (i.e., turnouts), systems integration requirements,
required alerter timing, and the minimum required stopping distance of
the railroad pursuant to Sec.  238.231(a), Sec.  238.431(a), or Sec.
238.731(b).
    (iii) An identification of any approvals, qualifications, or
waivers of FRA safety regulations required for the testing or for
revenue service operation of the equipment.
    (iv) An identification of the maximum speed and cant deficiency at
which the equipment is intended to operate.
    (v) A list of all tests to be conducted, indicating any
interdependences or predecessor requirements that may exist, and a list
of any testing of the equipment that has been previously performed.
    (vi) A schedule for conducting the testing.
    (vii) An identification of the applicable test procedures, test
results or reports, and post-test analysis required by this part,
corresponding to paragraph (a)(1)(v) of this section detailing the
approach to verify--
    (A) Safe vehicle-track system interaction in accordance with
Sec. Sec.  213.57, 213.329, 213.345, 238.139, or any applicable
combination thereof.
    (B) The brake system functional requirements and performance of the
system and components in accordance with Sec. Sec.  238.231, 238.431,
or 238.731.
    (C) That vehicle noise emission levels comply with part 210 of this
chapter.
    (D) That locomotive or trainset cab noise complies with Sec. Sec.
229.121 or 238.759.
    (E) Systems integration and compatibility with technology utilized
on the routes the equipment is intended to operate over, to include--
    (1) The signaling systems and track circuit technology over which
the equipment will operate, to include ATC and PTC testing under part
236 of this chapter;
    (2) The grade crossing warning system technology utilized; and
    (3) Equipment inspection technology and defect detectors.
    (2) Pre-revenue service acceptance test plan submission. Except as
provided for under Sec.  239.139(e), the pre-revenue service acceptance
test plan shall be submitted for FRA review at least 30 days before the
start of testing.
    (3) Test procedures. Each test procedure shall include at a minimum
the information contained in appendix K to this part.
    (4) Test procedure availability. Test procedures utilized for
compliance demonstration shall be made available to FRA upon request.
    (5) Compliance with test plan and procedures. The railroad shall
comply with its pre-revenue service acceptance test plan and associated
test procedures, including fully executing the tests required by the
plan.
    (6) Test results. Except as required by Sec. Sec.  213.57, 213.329,
213.345, or 238.139--
    (i) Test results for Tier I equipment will be made available to FRA
upon request.
    (ii) Test results for Tier II and Tier III equipment shall be
submitted to FRA at least 60 days prior to the equipment being placed
in revenue service.
    (7) Correction of safety deficiencies. The railroad shall correct
any safety deficiencies identified in the design of the equipment or in
the ITM procedures, discovered during the testing. If safety
deficiencies cannot be corrected by design changes, the railroad shall
impose operational limitations that are designed to ensure that the
equipment can operate safely. For Tier II and Tier III passenger
equipment, the railroad shall comply with any operational limitations
imposed by the Associate Administrator on the revenue service operation
of the equipment for cause stated following FRA review of the results
of the test program under paragraph (a)(6)(ii) of this section. 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.
    (8) Approval. For Tier II or Tier III passenger equipment, the
railroad must obtain approval from the Associate Administrator before
placing the equipment in revenue service. The Associate Administrator
will grant such approval if the railroad demonstrates compliance with
the applicable requirements of this part.
    (b) Passenger equipment design that has previously been used in
revenue service in the United States. (1) For passenger equipment
design that has previously been used in revenue service in the United
States, as defined in paragraph (b)(3) of this section, each railroad
shall verify the applicability of previous tests performed under
paragraphs (a)(1)(vii)(A) through (D) of this section and perform such
tests if previous test data does not exist, cannot be obtained, or does
not support

demonstration of safe operation within the intended operating
environment.
    (2) Retain a description of such testing and make such description
available to FRA for inspection and copying upon request.
    (3) For purposes of paragraph (b) of this section, passenger
equipment design that has previously been used in revenue service in
the United States means--
    (i) The actual equipment used in such service;
    (ii) Equipment manufactured identically to that actual equipment;
and
    (iii) Equipment manufactured similarly to that actual equipment
with no material differences in safety-critical components or systems.
    (c) Modifications, new technology, and major upgrades. Prior to
implementing a modification, installing a new technology, and/or
conducting a major upgrade to any system component or sub-system that
impacts a safety-critical function on passenger equipment that has been
used in revenue service in the United States, the railroad shall follow
the procedures specified in paragraph (a) of this section prior to
placing the equipment in revenue service with such modification, new
technology, or major upgrade. Testing shall be required only to verify
the safe operations of any safety-critical systems affected by such
change.
0
12. Add Sec.  238.115(c) to read as follows:

Sec.  238.115  Emergency lighting.

* * * * *
    (c) At an interval not to exceed 184 days, as part of the required
periodic mechanical inspection, each railroad shall test a
representative sample of the emergency lighting systems on its
passenger cars to determine that they operate as intended when the cars
are in revenue service. The sampling method must conform with a
formalized, statistical test method.
0
13. Revise Sec.  238.131(a)(1) to read as follows:

Sec.  238.131  Exterior side door safety systems--new passenger cars
and locomotives used in passenger service.

    (a) * * *
    (1) Be built in accordance with APTA standard PR-M-S-18-10. In
particular, locomotives used in passenger service shall be connected to
or interlocked with the door summary circuit to prohibit the train from
developing tractive power if an exterior side door in a passenger car
is not closed, unless the door is under the direct physical control of
a crewmember for their exclusive use. APTA standard PR-M-S-18-10,
``Standard for Powered Exterior Side Door System Design for New
Passenger Cars,'' approved February 11, 2011 is incorporated by
reference into this section with the approval of the Director of the
Federal Register under 5 U.S.C. 552(a) and 1 CFR part 51. You may
obtain a copy of the incorporated document from the American Public
Transportation Association, 1666 K Street NW, Suite 1100, Washington,
DC 20006 (telephone<PHONE_NUMBER>; www.apta.com). You may inspect a copy
of the document at the Federal Railroad Administration (FRA) and the
National Archives and Records Administration (NARA), Contact FRA at:
Docket Clerk, 1200 New Jersey Avenue SE, Washington, DC;
[email protected]; https://railroads.dot.gov. For information on the
availability of this material at NARA, visit www.archives.gov/federal-register/cfr/ibr-locations.html or email [email protected].
Equipment with plug-type exterior side doors, section 2.9 (including
section 2.9.1) of the APTA standard regarding the emergency release
mechanism shall be replaced with the following requirements:
    (i) Visual instructions for emergency operations of each plug-type
exterior side door shall be provided. A manual interior and exterior
emergency release mechanism shall be provided at each plug-type
exterior side door. A clearly labeled emergency release mechanism, when
activated, shall unlatch the door, disengage or unlock the local door
isolation lock (if engaged), remove power from the door operator or
controls, and allow the door to be moved to the open position. Feedback
must be provided to the passenger to indicate that the mechanism has
been actuated.
    (ii) The emergency release mechanism shall not require the
availability of electric or pneumatic power to activate. The emergency
release actuation device shall be readily accessible, without the use
of tools or another implement. The force necessary to actuate the
interior emergency release mechanism shall not exceed 20 lbf. The force
necessary to actuate the exterior emergency release mechanism shall not
exceed 30 lbf using a lever type mechanism or 50 lbf using a ``T''
handle type mechanism. When actuated, the emergency release mechanism
shall override any local door isolation locks, and it shall be possible
to manually open the released door with a force not to exceed 35 lbf.
The emergency release mechanism shall require a manual reset.
    (iii) A speed interlock preventing operation of emergency release
mechanism when vehicle is moving is permitted.
* * * * *
0
14. Add Sec.  238.139 to read as follows:

Sec.  238.139  Vehicle/track system qualification.

    Pursuant to a railroad's pre-revenue service acceptance test plan
under Sec.  238.111, a railroad must demonstrate that its equipment
does not exceed the safety limits of Sec.  213.333 of this chapter. A
railroad may demonstrate compliance by measuring the carbody and truck
accelerations in accordance with Sec.  213.333 over the entirety of the
territory the vehicle is intended to operate, or by complying with the
below enumerated requirements of this section. Nothing in this section
affects a railroad's responsibility to comply with Sec.  213.345 of
this chapter.
    (a) General. Qualification testing shall demonstrate that the
vehicle/track system will not exceed the wheel/rail force safety limits
and the carbody and truck acceleration criteria specified in Sec.
213.333 of this chapter--
    (1) Up to and including 5 mph above the proposed maximum operating
speed; and
    (2) On track meeting the requirements for the class of track
associated with the proposed maximum operating speed. For purposes of
qualification testing, speeds may exceed the maximum allowable
operating speed for the class of track in accordance with the test plan
approved by FRA under Sec.  238.111.
    (b) Existing vehicle type qualification. Except as otherwise
provided by FRA, vehicle types previously qualified or permitted to
operate prior to (INSERT DATE OF PUBLICATION OF FINAL RULE), shall be
deemed qualified under the requirements of this section for operation
at the previously operated speeds and cant deficiencies. However,
equipment deemed meeting the requirements of this section pursuant to
this paragraph (b) does not have transferability of qualification.
    (c) New vehicle type qualification. Vehicle types that were not
previously qualified under this section, or deemed qualified under
paragraph (b) of this section, shall be qualified in accordance with
the following:
    (1) Qualification methods. To demonstrate that new vehicle types
will not exceed the wheel/rail force safety limits and the carbody and
truck acceleration criteria specified in Sec.  213.333--
    (i) When operated over Class 1 track, the vehicle type shall
demonstrate the ability to negotiate a 12-degree curve with a
coefficient of friction representative of dry track conditions

(i.e., 0.5) and 3-inch track warp variations with the following
wavelengths: 10, 20, 40, and 62 feet. The demonstration shall be done
by simulating such track geometry conditions at speeds up to 5 mph
above track Class 1 speeds, and the suspension system(s) shall meet the
APTA truck equalization standard, APTA PR-M-S-014-06. The results of
the simulation under both the AW0 and AW3 loading conditions shall not
exceed the wheel/rail forces safety limits specified in Sec.  213.333
of this chapter.
    (ii) When operated over track Classes 2 through 5 at speeds
producing no more than 6 inches of cant deficiency, the vehicle type
shall be qualified by simulations performed under paragraph (c)(2) of
this section and the measurement of carbody and truck accelerations
during qualification testing in accordance with paragraphs (c)(3) and
(4) of this section. If successful, the testing shall result in a
transferable qualification with respect to the requirements of this
section so long as the equipment is used at the same track class and
cant deficiency.
    (iii) APTA PR-M-S-014-06, Rev. 1, ``Standard for Wheel Load
Equalization of Passenger Railroad Rolling Stock,'' Authorized June 1,
2017, is incorporated by reference into this section with the approval
of the Director of the Federal Register under 5 U.S.C. 552(a) and 1 CFR
part 51. All approved material is available for inspection at FRA and
at the National Archives and Records Administration (NARA). Contact FRA
at: Federal Railroad Administration Docket Clerk, 1200 New Jersey
Avenue SE, Washington, DC; [email protected]; https://railroads.dot.gov.
For information on the availability of this material at NARA, visit
www.archives.gov/federal-register/cfr/ibr-locations.html or email
[email protected]. The material is also available from the
American Public Transportation Association, 1666 K Street NW,
Washington, DC 20006; www.apta.com.
    (2) Simulations. (i) Analysis of vehicle/track performance
(computer simulations) shall be conducted using an industry recognized
methodology on--
    (A) Minimally compliant analytical track (MCAT) conditions for the
respective track class(es) as specified in appendix C to this part; and
    (B) A track segment representative of the full route on which the
vehicle type is intended to operate. Both simulations and physical
examinations of the route's track geometry shall be used to determine a
track segment representative of the route.
    (ii) Linear system analysis shall be performed to identify the
frequency and damping of the truck hunting modes. It shall be
demonstrated that the damping of these modes is at least 5 percent, up
to the intended operating speed +5 mph considering equivalent
conicities starting at 0.1 up to 0.6.
    (3) Carbody acceleration. For vehicle types intended to operate at
track Class 2 through 5 speeds and up to 6 inches of cant deficiency,
qualification testing conducted over a representative segment of the
route on which the vehicle type is intended to operate shall
demonstrate that the vehicle type will not exceed the carbody lateral
and vertical acceleration safety limits specified in Sec.  213.333 of
this chapter.
    (4) Truck lateral acceleration. For vehicle types intended to
operate at track Class 2 through 5 speeds and up to 6 inches of cant
deficiency, qualification testing conducted over a representative
segment of the route on which the vehicle type is intended to operate
shall demonstrate that the vehicle type will not exceed the truck
lateral acceleration safety limit specified in Sec.  213.333 of this
chapter.
    (d) Previously qualified vehicle types. Vehicle types previously
qualified by simulation and testing in accordance with paragraph (c) of
this section for a track class and cant deficiency on one route may be
qualified for operation at the same class and cant deficiency on
another route in accordance with the following:
    (1) Vehicle types previously qualified by simulation and testing in
accordance with paragraph (c) of this section on one route shall not
require additional simulations, testing, or approval so long as
operated on routes with the same track class designation and at the
same or lower cant deficiency.
    (2) For vehicle types intended to operate at speeds not to exceed
Class 6 track or at any curving speed producing more than 5 inches of
cant deficiency, but not exceeding 6 inches, qualification testing
conducted over a representative segment of the new route shall
demonstrate that the vehicle type will not exceed the carbody lateral
and vertical acceleration safety limits specified in Sec.  213.333 of
this chapter.
    (3) Vehicle types previously qualified by testing alone shall be
subject to the requirements of paragraph (c) of this section for new
equipment.
    (e) Qualification testing plan. To obtain the data required to
support the qualification program outlined in paragraphs (c) and (d) of
this section, the track owner or railroad shall submit a qualification
testing plan to FRA's Associate Administrator at least 60 days prior to
testing, requesting approval to conduct the testing at the desired
speeds and cant deficiencies. This test plan shall provide for a test
program sufficient to evaluate the operating limits of the track and
vehicle type and shall include--
    (1) Identification of the representative segment of the route on
which the vehicle type is intended to operate for qualification
testing;
    (2) Consideration of the operating environment during qualification
testing, including operating practices and conditions, the signal
system, highway-rail grade crossings, and trains on adjacent tracks;
    (3) The maximum angle found on the gage face of the designed (newly
profiled) wheel flange referenced with respect to the axis of the
wheelset that will be used for the determination of the Single Wheel L/
V Ratio safety limit specified in Sec.  213.333 of this chapter when
conducting simulations in accordance with (c)(2) of this section;
    (4) A target maximum testing speed in accordance with paragraph (a)
of this section and the maximum testing cant deficiency; and
    (5) The results of vehicle/track performance simulations that are
required by this section.
    (f) Qualification testing. Upon FRA approval of the qualification
testing plan, qualification testing shall be conducted in two
sequential stages as required in this subpart.
    (1) Stage-one testing shall include demonstration of acceptable
vehicle dynamic response of the subject vehicle as speeds are
incrementally increased--
    (i) On a segment of tangent track, from maximum speeds
corresponding to each track class to the target maximum test speed; and
    (ii) On a segment of curved track, from the speeds corresponding to
3 inches of cant deficiency to the maximum testing cant deficiency.
    (2) When stage-one testing has successfully demonstrated a maximum
safe operating speed and cant deficiency, stage-two testing shall
commence with the subject vehicle over a representative segment of the
route as identified in paragraph (e)(1) of this section. A round-trip
test run shall be conducted over the representative route segment at
the speed the railroad will request FRA to approve for such service. An
additional round-trip test run shall be conducted at 5 mph above this
speed. The equipment shall be oriented differently in each leg of the
round-trip test run.
    (3) When conducting stage-one and stage-two testing, if any of the
monitored safety limits are exceeded on

any segment of track, testing may continue provided that the track
location(s) where any of the limits is exceeded be identified and test
speeds be limited at the track location(s) until corrective action is
taken. Corrective action may include making an adjustment in the track,
in the vehicle, or in both of these system components.
    (4) Prior to the start of the qualification testing program, a
qualifying Track Geometry Measurement System (TGMS) specified in Sec.
213.333 of this chapter shall be operated over the intended route
within 30 calendar days prior to the start of the qualification testing
program.
    (g) Qualification testing results. The track owner or railroad
shall submit a report to FRA's Associate Administrator detailing all
the results of the qualification program. When simulations are
submitted as part of vehicle qualification, this report shall include a
comparison of simulation predictions to the acceleration data recorded
during full-scale testing. The report shall be submitted at least 60
days prior to the intended operation of the equipment in revenue
service over the route.
    (h) Approvals. (1) Based on the test results and all other required
submissions, FRA will approve, for new vehicle types qualified per
paragraph (c) of this section, a maximum train speed and value of cant
deficiency for revenue service, normally within 45 days of receipt of
all the required information. FRA may impose conditions necessary for
safely operating at the maximum approved train speed and cant
deficiency.
    (2) Previously qualified vehicle types operating at track Class 2
through 5 speeds, or at curving speeds producing up to 6 inches of cant
deficiency, on one route may be qualified and approved for operation at
the same class and cant deficiency on another route provided the
vehicle types have been previously qualified by simulation and testing
in accordance with paragraph (c) of this section for the same track
class and cant deficiency.
    (i) Document retention. The documents required by this section must
be provided to FRA by:
    (1) The track owner; or
    (2) A railroad that provides service with the same vehicle type
over trackage of one or more track owner(s), with the written consent
of each affected track owner.

Subpart C--Specific Requirements for Tier I Passenger Equipment

0
15. Revise Sec.  238.201(a)(1) to read as follows:

Sec.  238.201  Scope/alternative compliance.

    (a) * * *
    (1) This subpart contains requirements for railroad passenger
equipment operating at speeds not exceeding 125 miles per hour. All
such passenger equipment remains subject to the safety appliance
requirements contained in Federal statute at 49 U.S.C. chapter 203 and
in applicable FRA regulations in this part 238, at part 231, and Sec.
232.3 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.
* * * * *
0
16. Revise Sec.  238.230(a) to read as follows:

Sec.  238.230   Safety appliances--new equipment.

    (a) Applicability. Except as provided in Sec.  238.791, this
section applies to passenger equipment placed in service on or after
January 1, 2007.
* * * * *
0
17. Revise Sec.  238.235 to read as follows:

Sec.  238.235  Safety appliances for non-passenger carrying locomotives
used in passenger service.

    (a) Application. The requirements of this section apply to all non-
passenger carrying locomotives, used in passenger service, that
specifically utilize monocoque, semi-monocoque, or are a cowl unit,
built on or after (INSERT EFFECTIVE DATE OF FINAL RULE), unless the
requirements of part 231 of this chapter are applied.
    (b) Attachment. All safety appliances shall be securely fastened to
the car body structure and meet the requirements of Sec.  238.791(b).
    (c) Fatigue life. The safety appliance, the support or bracket to
which the safety appliance is attached, and the carbody structure to
which the safety appliance is directly attached or the support or
bracket is attached, shall be designed for a fatigue life as specified
under Sec.  238.791(c).
    (d) Handholds. Handholds used on non-passenger carrying locomotives
subject to this section shall meet the applicable requirements of Sec.
238.791(d).
    (e) Sill steps. Sill steps used on non-passenger carrying
locomotives subject to this section shall meet the applicable
requirements of Sec.  238.791(e).
    (f) Ground level access to the locomotive cab and other carbody
side doors. Non-passenger carrying locomotives subject to the
requirements of this section shall be equipped with appropriate safety
appliances at exterior side locomotive cab access doors and other
carbody side doors, to permit safe access to the locomotive cab by
employees and other authorized personnel from ground level.
    (1) Handholds. Each exterior locomotive cab side access door that
provide access to the locomotive cab shall be equipped with two
vertical handholds, one on each side of the door, which shall--
    (i) Have a minimum diameter of \5/8\ inch.
    (ii) Have a distance from the bottom clear length of the vertical
handholds not to exceed 54 inches above top of rail.
    (iii) Be installed so as to have a clear length extending at least
60 inches, or as high as practicable based on carbody design, above the
floor of the cab. The design shall enable a person to safely turn
around in order to exit the trainset. A smaller handhold, providing at
least 16 inches clear length, may be installed above the exterior cab
access door opening on the inside of the equipment to facilitate a
person's ability to safely turn around.
    (iv) Have a clearance distance between the vehicle body of a
minimum of 2 inches, preferably 2\1/2\ inches for the entire length,
except when a combination of handholds, additional attachment points,
or both, are necessary due to the carbody design, length of the
handhold, or both.
    (2) Steps. Exterior side doors that provide access to the
locomotive cab shall be equipped with steps meeting the requirements of
Sec.  238.791(e)(2) and (3).
    (g) Couplers. Couplers used on non-passenger carrying locomotives
subject to this section shall comply with the requirements of Sec.
238.791(g).
    (h) Uncoupling levers or devices. (1) General. Each end of a non-
passenger carrying locomotive subject to the requirements of this
section equipped with an automatic coupler required by paragraph (g) of
this section shall have either--
    (i) A manual, double-lever type uncoupling lever, operative from
either side of the locomotive; or
    (ii) An uncoupling mechanism operated by controls located in the
locomotive cab, or other secure location. Additional manual uncoupling
levers or handles on the coupler provided only as a backup for that
remotely operated mechanism are not subject to paragraph (h)(2) of this
section.
    (2) Manual uncoupling lever or device. Manual uncoupling levers
shall be applied so that the automatic coupler can be operated from
either side of the equipment, from ground level without

requiring a person to go between cars or equipment units. Manual
uncoupling levers shall have a minimum clearance of 2 inches,
preferably 2\1/2\ inches, around the handle.
    (i) Shrouding. The automatic coupler, end handholds, and uncoupling
mechanism on the leading and trailing ends of a non-passenger carrying
locomotive may be stored within a removable shroud to reduce
aerodynamic effects.
    (j) Hand brakes. Non-passenger carrying locomotives subject to the