requirements of this section shall be equipped with an efficient hand
or parking brake capable of holding the locomotive on the maximum grade
condition identified by the operating railroad, or a minimum 3% grade,
whichever is greater.
    (k) Safety appliances for appurtenances and windshields. (1) Non-
passenger carrying locomotives subject to the requirements of this
section having appurtenances such as headlights, windshield wipers,
marker lights, and other similar items required for the safe operation
of the trainset or trainset unit must be equipped with handholds and
steps meeting the requirements of this section if the appurtenances are
designed to be maintained or replaced from the exterior of the trainset
or equipment.
    (2) The requirements of paragraph (k)(1) of this section do not
apply if railroad operating rules require, and actual practice entails,
the maintenance and replacement of these components by maintenance
personnel in locations protected by the requirements of subpart B of
part 218 of this chapter equipped with ladders and other tools to
safely repair or maintain those appurtenances.
    (l) Optional safety appliances. Safety appliances installed at the
option of the railroad shall be approved by FRA pursuant to Sec.
238.110.

Subpart H--Specific Requirements for Tier III Passenger Equipment

0
18. Amend subpart H to part 238 by removing undesignated center
headings ``Trainset Structure'', ``Glazing'', ``Brake System'',
``Interior Fittings and Surfaces'', ``Emergency Systems'', and ``Cab
Equipment''.
0
19. Revise Sec.  238.701 to read as follows:

Sec.  238.701  Scope.

    This subpart contains specific requirements for railroad 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. Passenger seating
is permitted in the leading unit of a Tier III trainset if the trainset
complies with the crashworthiness and occupant protection requirements
of this subpart, and the railroad has an approved right-of-way plan
under Sec.  213.361 of this chapter and an approved HSR-125 plan under
Sec.  236.1007(c) of this chapter. Demonstration of compliance with the
requirements of this subpart is subject to FRA review and approval
under Sec. Sec.  238.110 and 238.111.
0
20. Add Sec.  238.719 to read as follows:

Sec.  238.719   Trucks and Suspension.

    (a) General requirements. (1) Suspension systems shall be designed
to reasonably prevent wheel climb, wheel unloading, rail rollover, rail
shift, and a vehicle from overturning to ensure safe, stable
performance and ride quality under the following conditions:
    (i) In all operating environments as defined by the railroad under
Sec. Sec.  238.110(d) and 238.111(a)(1)(ii); and
    (ii) At all track speeds and over all track qualities consistent
with the Track Safety Standards in part 213 of this chapter, up to the
maximum operating speed and maximum cant deficiency for which the
equipment is qualified.
    (2) All passenger equipment shall meet the safety standards for
suspension systems contained in part 213 of this chapter, or
alternative standards providing at least equivalent safety if approved
by FRA under the provisions of Sec.  238.21. In particular--
    (i) Pre-revenue service qualification. All passenger equipment
shall demonstrate safe operation during pre-revenue service
qualification in accordance with Sec.  213.345 of this chapter and is
subject to the requirements of Sec.  213.329 of this chapter.
    (ii) Revenue service operation. All passenger equipment in service
is subject to the requirements of Sec. Sec.  213.329 and 213.333 of
this chapter.
    (b) Carbody acceleration. A passenger car shall not operate under
conditions that result in a steady-state lateral acceleration greater
than 0.15g, as measured parallel to the car floor inside the passenger
compartment. Additional carbody acceleration limits are specified in
Sec.  213.333 of this chapter.
    (c) Lateral truck accelerations (hunting). Each trainset shall be
equipped with a system capable of detecting hunting on all trucks as
defined in Sec.  213.333 of this chapter (criteria based on reference
location defined in Sec.  213.333(k)(2) of this chapter). If truck
hunting is detected, the train monitoring system shall provide an alarm
to the controlling cab, and the train shall be slowed to a speed at
least 5 mph less than the speed at which the truck hunting stopped.
    (d) Wheelsets. Unless further clarified in the railroad's approved
ITM plan, each trainset shall comply with the following limits and be
free of the following defective conditions:
    (1) The distance between the inside gauge of the flanges on non-
wide flange wheels may not be less than 53\3/32\ inches or more than
53\3/8\ inches.
    (2) The distance between the inside gauge of the flanges on wide
flange wheels may not be less than 53 inches or more than 53\3/32\
inches.
    (3) The back-to-back distance of flanges of wheels mounted on the
same axle shall not vary more than \1/4\ inch when measured at similar
points around the circumference of the wheels.
0
21. Add Sec.  238.723 to read as follows:

Sec.  238.723  Pilots, Snowplows, End Plates.

    Each lead vehicle must be equipped with a pilot, snowplow, or end
plate that extends across both rails. The minimum clearance above the
rail of the pilot, snowplow, or end plate is 3 inches. In general, the
maximum clearance is 6 inches. For a lead vehicle equipped with an
obstacle deflector or truck-mounted wheel guard (or both) to minimize
the risk of derailment from substantial obstacles that pass beneath
them and into the path of the wheels, the maximum clearance is 9
inches.
0
22. Add Sec.  238.725 to read as follows:

Sec.  238.725  Overheat sensors.

    Overheat sensors for each wheelset journal bearing shall be
provided. The sensors may be placed either onboard the equipment or at
reasonable intervals along the railroad's right-of-way.
0
23. Add Sec.  238.745 to read as follows:

Sec.  238.745  Emergency communication.

    (a) Except as provided in paragraph (b) of this section, Tier III
trainsets shall comply with the emergency communication requirements
specified in Sec.  238.121.
    (b) Emergency communication back-up power systems shall, at a
minimum, be capable of operating after experiencing the individually
applied accelerations defined in either of the following paragraphs:
    (1) Section 238.121(c)(2); or
    (2) Section 6.1.4, ``Security of furniture, equipment and
features,'' of GM/RT2100, provided that--
    (i) The conditions of Sec.  238.705(b)(2) are met;
    (ii) The initial shock of a collision or derailment is based on a
minimum load of 5g longitudinal, 3g lateral, and 3g vertical; and

    (iii) Use of the standard is carried out under any conditions
identified by the railroad, as approved by FRA.
    (c) Railway Group Standard GM/RT2100, Issue Four, ``Requirements
for Rail Vehicle Structures,'' December 2010, 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 the Federal Railroad
Administration (FRA) and 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]. It is
available from Rail Safety and Standards Board Ltd., Communications,
RSSB, Block 2 Angel Square, 1 Torrens Street, London, England EC1V 1NY;
www.rgsonline.co.uk.
0
24. Add Sec.  238.747 to read as follows:

Sec.  238.747  Emergency roof access.

    Each cab of a Tier III trainset shall have an emergency roof access
location for crewmembers occupying the cab, unless the crewmembers have
direct access to an emergency roof access point located in a passenger
compartment of the trainset. Each emergency roof access location shall
have a minimum opening of 26 inches longitudinally by 24 inches
laterally and comply with the emergency roof access requirements
specified in Sec.  238.123(b), (d), and (e).
0
25. Add Sec.  238.755 to read as follows:

Sec.  238.755  General safety requirements.

    (a) Protection against personal injury. Tier III trainsets shall
comply with Sec.  229.41 of this chapter.
    (b) General condition. All systems and components on a trainset
shall be free of conditions that endanger the safety of the passengers,
crew, or equipment. Such conditions may include those conditions listed
in Sec.  229.45 of this chapter, but are not limited thereto.
    (c) Control of multiple trainsets. Except when a trainset is moved
in accordance with Sec.  238.1003, when multiple trainsets are coupled
in remote- or multiple-control, the railroad will comply with the
requirements of Sec.  229.13 of this chapter.
0
26. Add Sec.  238.757 to read as follows:

Sec.  238.757  Cabs, floors, and passageways.

    (a) Cab doors. Tier III trainset cab doors shall be equipped with a
secure and operable device to lock the door from the outside that does
not impede egress from the cab and a securement device that is capable
of securing the door from inside of the cab.
    (b) End-facing cab windows. End-facing cab windows of the lead
trainset cab shall be free of cracks, breaks or other conditions that
obscure the view of the right-of-way for the crew from their normal
position in the cab.
    (c) Cab floors, passageways, and compartments. Tier III trainsets
will comply with Sec.  229.119(c) of this chapter.
    (d) Cab climate control. Each lead cab in a Tier III trainset shall
be heated and air conditioned. The heating, ventilation, and air
conditioning system shall be inspected and maintained to ensure that it
operates properly and meets the railroad's performance standard which
shall be defined in the inspection, testing, and maintenance program.
0
27. Add Sec.  238.759 to read as follows:

Sec.  238.759  Trainset cab noise.

    (a) Performance standards for Tier III trainsets. (1) The average
noise levels in the trainset cab shall be less than or equal to 85
dB(A) when the trainset is operating at maximum operating speed.
Compliance shall be demonstrated during the trainset qualification
testing as required by Sec.  238.111.
    (2) A railroad shall not make any alterations during maintenance,
or otherwise modify the cab, to cause the average sound level to exceed
the requirements in paragraph (a)(1) of this section.
    (3) The railroad or manufacturer shall follow the test protocols
set forth in appendix I to this part to determine compliance with
paragraph (a)(1) of this section and, to the extent reasonably
necessary to evaluate the effect of alterations during maintenance, to
determine compliance with paragraph (a)(2) of this section.
    (b) Maintenance of trainset cabs. (1) If a railroad receives an
excessive-noise report, and if the condition giving rise to the noise
is not required to be immediately corrected under this part, the
railroad shall maintain a record of the report, and repair or replace
the item or component identified as substantially contributing to the
noise--
    (i) On or before the next periodic inspection required by the
railroad's inspection, testing, and maintenance program; or
    (ii) At the time of the next major equipment repair commonly used
for the particular type of maintenance needed if the railroad
determines that the repair or replacement of the item or component
requires significant shop or material resources that are not readily
available.
    (2) A railroad has an obligation to respond to an excessive noise
report filed by a trainset cab occupant. The railroad meets its
obligation to respond to an excessive noise report, as set forth in
paragraph (b)(1) of this section, if the railroad makes a good faith
effort to identify the cause of the reported noise, and where the
railroad is successful in determining the cause, if the railroad
repairs or replaces the items that cause the noise.
    (3)(i) A railroad shall maintain a written or electronic record of
any excessive noise report, inspection, test, maintenance, and
replacement or repair completed pursuant to paragraph (b) of this
section, and the date on which that inspection, test, maintenance, and
replacement or repair occurred. If a railroad elects to maintain an
electronic record, the railroad must satisfy the conditions listed in
Sec.  227.121(a)(2)(i) through (v) of this chapter.
    (ii) The railroad shall retain these records for a period of one
year.
    (iii) The railroad shall establish an internal, auditable,
monitorable system that contains these records.
0
28. Add Sec.  238.761 to read as follows:

Sec.  238.761  Trainset sanitation facilities for employees.

    (a) Tier III trainsets that are equipped with a sanitation
compartment, as this term is defined in Sec.  229.5 of this chapter,
accessible only to train crewmembers shall meet the requirements set
forth in Sec.  229.137 of this chapter, and be maintained to the
requirements of Sec.  229.139 of this chapter.
    (b) Railroads that do not provide sanitation compartments solely
for use by crewmembers on board Tier III trainsets shall provide an
alternate arrangement in accordance with Sec.  229.137(b)(1)(i) of this
chapter.
0
29. Add Sec.  238.763 to read as follows:

Sec.  238.763  Speed indicator.

    (a) Each trainset controlling cab shall be equipped with a speed
indicator which is--
    (1) Accurate within 1.24 mph for speeds under 18.6 mph,
then increasing linearly up to 5 mph at 220 mph; and
    (2) Clearly readable from the engineer's normal position under all
light conditions.
    (b) The speed indicator shall be based on a system of independent
on-board speed measurement sources guaranteeing the accuracy level
specified in paragraph (a)(1) of this section under all operational
conditions.

The system shall be automatically monitored for inconsistencies and the
engineer shall be automatically notified of any inconsistency
potentially compromising this accuracy level.
    (c) The speed indicator shall be calibrated periodically as defined
in the railroad's inspection, testing, and maintenance program.
0
30. Add Sec.  238.765 to read as follows:

Sec.  238.765  Event recorders.

    (a) Duty to equip and record. Except as provided in paragraphs (c)
and (d) of this section, a trainset shall have an in-service event
recorder, of the type described in paragraph (b)(2) of this section, to
record data from the lead cab and other locations within the trainset.
The event recorder shall record the most recent 48 hours of operational
data of the trainset on which it is installed.
    (b) Equipment requirements. (1) Event recorders shall monitor and
record data elements or information needed to support the data elements
required by this paragraph with at least the accuracy required of the
indicators displaying any of the required data elements to the
engineer.
    (2) A trainset shall be equipped with an event recorder with a
certified crashworthy event recorder memory module that meets the
requirements of appendix D to part 229 of this chapter. The certified
crashworthy event recorder memory module shall be mounted for its
maximum protection. (Although other mounting standards may meet this
requirement, an event recorder memory module mounted in a non-crush
zone area of the trainset and above the platform level is deemed
appropriate ``for its maximum protection.'') The event recorder shall
record, and the certified crashworthy event recorder memory module
shall retain, the data elements or information needed to support the
data elements as specified in Sec.  229.135(b)(4)(i) through (xv),
(xvii), (xx), and (xxi). In addition, the event recorder shall record,
and the certified crashworthy event recorder memory module shall
retain, the following data elements or information needed to support
the following data elements:

    (i) Application and operation of the eddy current brake, if so
equipped;
    (ii) Passenger brake alarm request;
    (iii) Passenger brake alarm override;
    (iv) Bell activation; and
    (v) Trainset brake cylinder pressures.
    (c) Removal from service. Notwithstanding the duty established in
paragraph (a) of this section to equip trainsets with an in-service
event recorder, a railroad may remove an event recorder from service.
If a railroad knows that an event recorder is not monitoring or
recording required data, the railroad shall remove the event recorder
from service. When a railroad removes an event recorder from service, a
qualified person shall record the date that the device was removed from
service in the trainset's maintenance records, required in accordance
with Sec.  238.777.
    (d) Response to defective equipment. Notwithstanding the duty
established in paragraph (a) of this section to equip Tier III
trainsets with an in-service event recorder, a trainset on which the
event recorder has been taken out of service as provided in paragraph
(c) of this section may remain in service only until the next pre-
service inspection, as required by Sec.  238.903(c)(2). A trainset with
an inoperative event recorder is not deemed to be in improper
condition, unsafe to operate, or a non-complying trainset under Sec.
238.1003, and, other than the requirements of appendix D to part 229 of
this chapter, the inspection, testing, and maintenance of event
recorders are limited to the requirements set forth in subpart I of
this part.
    (e) Preserving accident data, relationship to other laws, and
disabling event recorders. In addition to the requirements of
paragraphs (a) through (d) of this section, Sec.  229.135(e) through
(g) of this chapter apply to Tier III trainset event recorders.
    (f) Annual test. At a minimum, event recorders shall be tested at
intervals not to exceed 368 days in accordance with Sec.  229.27(c) of
this chapter.
0
31. Add Sec.  238.767 to read as follows:

Sec.  238.767  Headlights.

    (a) Except as provided in paragraphs (c) and (d) of this section,
each end of a Tier III trainset shall be equipped with a headlight
comprised of at least two lamps, one of which shall be illuminated when
the trainset is in use. Each lamp, when illuminated, shall comply with
the angular, intensity, and illumination requirements of Sec.
229.125(a) of this chapter.
    (b) The leading unit of a trainset with a headlight not in
compliance with the requirements of paragraph (a) of this section shall
not be moved in revenue service if the defective headlight is
discovered during the pre-service inspection required by Sec.
238.903(d)(1), and may only move in accordance with Sec.  238.1003(e).
The leading unit of a trainset with a headlight not in compliance with
the requirements of paragraph (a) of this section that is discovered
while the trainset is in service may continue in service only to the
nearest forward location where either the leading unit can be switched,
repairs necessary to bring the trainset into compliance can be made, or
the trainset can be moved according to the procedures specified in
Sec.  238.1003(b)(1) through (3).
    (c) Headlights may be provided with a device to dim the light. The
use of this feature for Tier III trainsets operating on a dedicated
right-of-way shall be described by the railroad in its system
description required under Sec.  238.110(d)(2)(xv).
    (d) If Tier III trainsets are equipped with headlights
incorporating alternative technology, the number of lamps specified in
paragraph (a) of this section does not apply, and--
    (1) The railroad's inspection, testing, and maintenance program
shall include procedures for determining that such headlights provide
the illumination intensity required by paragraph (a) of this section;
and
    (2) A means must be provided to ensure that the minimum
illumination intensity required by paragraph (a) of this section can be
achieved under the snow or ice conditions expected in the geographic
region in which the trainsets will be operated.
0
32. Add Sec.  238.769 to read as follows:

Sec.  238.769  Auxiliary lights.

    (a) Trainsets operated at a speed greater than 20 mph in a shared
right-of-way over one or more public highway-rail grade crossings shall
be equipped with operative auxiliary lights, in addition to the
headlight required by Sec.  238.767. Auxiliary lights shall conform
with Sec.  229.125(d)(1) though (3) of this chapter.
    (b) Auxiliary lights required by paragraph (a) of this section may
be arranged in any manner specified in Sec.  229.125(e)(1) through (2)
of this chapter.
    (c) In addition to the requirements of paragraphs (a) and (b) of
this section, auxiliary lights required by paragraph (a) of this
section shall comply with Sec.  229.125(f).
    (d)(1) A lead unit of a trainset with only one operative auxiliary
light must be repaired or switched to a trailing position before
departure from the place where a pre-service inspection is required
under Sec.  238.903(d)(1) for that trainset.
    (2) A lead unit of a trainset with only one operative auxiliary
light that is discovered after the trainset enter service may continue
to be used in passenger service:
    (i) Until the next scheduled inspection of the trainset where the
repairs necessary to bring the trainset into compliance can be made; or

    (ii) According to the procedures specified in the railroad's
inspection, testing, and maintenance program.
    (3) A lead unit of a trainset with two failed auxiliary lights may
only proceed to the next forward location where repairs can be made.
This movement must be made according to the procedures specified in
Sec.  238.1003(b)(1) through (3).
0
33. Add Sec.  238.771 to read as follows:

Sec.  238.771  Marking device.

    (a) Except for paragraph (d)(3) of this section, the trailing end
of each trainset shall be equipped with at least one marking device
conforming with the characteristics specified in Sec.  221.14(a)(1)
through (3), along with the following other requirements:
    (1) An arrangement to continuously illuminate when on the trailing
end of the train; and
    (2) For marker lights incorporating alternative technology, the
railroad's inspection, testing, and maintenance program shall include
procedures for determining that such marker lights meet the
requirements of paragraphs (a) and (a)(1) of this section.
    (b) The centroid of the marking device shall be located at a
minimum of 48 inches above the top of the rail.
    (c) Trailing end marking devices shall operate when the trainset is
in service and be inspected as defined in the railroad's inspection,
testing, and maintenance program.
    (d)(1) A trainset with a marking device not in compliance with the
requirements of paragraph (a) of this section shall not be moved in
revenue service if the defective marking device is discovered during
the pre-service inspection required by Sec.  238.903(c)(2).
    (2) Whenever a marking device prescribed in this section becomes
inoperative en route, the train may be moved to the next forward
location where the marking device can be repaired or replaced.
    (3) A trainset's trailing end headlight illuminated on the dim
setting satisfies the requirements of a highly visible marking device
as described in paragraph (a) of this section.
0
34. Add Sec.  238.773 to read as follows:

Sec.  238.773  Cab lights.

    Each trainset cab shall have cab lights in conformance with the
requirements of Sec.  229.127(a) of this chapter. Cab passageways and
compartments shall also be adequately illuminated.
0
35. Add Sec.  238.775 to read as follows:

Sec.  238.775   Trainset horn.

    (a) Each leading end of trainset shall be equipped with a horn that
conforms to the requirements of Sec.  229.129(a) of this chapter.
    (b) Each trainset horn shall be individually tested under paragraph
(e) of this section, or through acceptance sampling under Sec.
229.129(b)(1) of this chapter, to ensure compliance with paragraph (a)
of this section.
    (c) Except as provided in paragraph (d) of this section, each
trainset equipped with a replacement horn shall be tested, in
accordance with paragraph (e) of this section, before the next
specified test required by the railroad inspection, testing and
maintenance program.
    (d) Trainsets that have already been tested individually under
paragraph (e) of this section, or through acceptance sampling under
Sec.  229.129(b)(1) of this chapter, shall not be required to undergo
sound level testing when equipped with a replacement trainset horn,
provided the replacement trainset horn is of the same model as the horn
that was replaced and the mounting location and type of mounting are
the same.
    (e) Testing of the trainset horn sound level shall be in accordance
with Sec.  229.129(c) of this chapter, with the following exceptions:
    (1) In lieu of Sec.  229.129(c)(7) of this chapter, the microphone
shall be located 100 feet forward of the front-most car body structure
of the trainset, four feet above the top of the rail, at an angle no
greater than 20 degrees from the center line of the track, and oriented
with respect to the sound source according to the manufacturer's
recommendations. The observer shall not stand between the microphone
and the horn.
    (2) Reports required by Sec.  229.129(c)(10) of this chapter may be
maintained electronically.
0
36. Add Sec.  238.777 to read as follows:

Sec.  238.777  Inspection records.

    (a) For certain periodic inspections, as defined by the railroad's
inspection, testing, and maintenance program required under subpart I
of this part, the railroad shall maintain a record of the inspection
that shall contain at a minimum:
    (1) The date the last periodic inspection was performed as required
by the railroad's inspection, testing, and maintenance program;
    (2) The name of the person conducting the inspection; and
    (3) The name of the supervisor certifying that the inspection was
performed.
    (b) The information contained in the inspection record and summary
report required under paragraph (c) of this section shall be made
available to the engineer so that the engineer knows the trainset is
ready for service. The inspection record and summary report shall be
made available to the engineer by either--
    (1) Electronic displays provided in the cab or other FRA-approved
devices located within the trainset; or
    (2) Being physically displayed in hardcopy form under a transparent
cover in a conspicuous place in the cab of each trainset.
    (c) The summary report shall be generated that provides pertinent
information to review and will be made available to FRA upon request.
At a minimum, the summary report shall include information such as the
periodic inspection dates, applicable waivers, the type of brake system
used (e.g., regenerative versus rheostatic), whether the trainset's
event recorder is out of service, the car number, the date of
manufacture, the number of propulsion motors, the manufacturer's
information, and verification that all required inspections have been
performed.
    (d) Compliance with the requirements of Sec.  229.23 of this
chapter shall satisfy the requirements of this section.
0
37. Add Sec.  238.781 to read as follows:

Sec.  238.781  Current collectors.

    (a) Overhead Collector Systems. (1) Pantographs shall comply with
Sec.  229.77(a) of this chapter.
    (2) Each overhead collector system, including the pantograph, shall
be equipped with a means to electrically ground any uninsulated parts
to prevent the risk of electrical shock on personnel working on the
system.
    (3) Means shall be provided to permit the engineer to determine
that the pantograph is in its lowest position, and for securing the
pantograph if necessary, without the need to mount the roof of the
trainset.
    (4) Each pantograph shall be equipped with a means to safely lower
the pantograph in the event of an emergency. If an emergency pole is
used for this purpose, that part of the pole which can be safely
handled shall be marked to so indicate. This pole shall be protected
from moisture and damage when not in use. The means of securement and
electrical isolation of a damaged pantograph, when automatic methods
are not possible, shall be addressed in the railroad's inspection,
testing, and maintenance program.
    (b) Third Rail Shoes. Trainsets equipped with pantographs and
third-rail shoes shall comply with Sec. Sec.  229.79 and 229.81(b) of
this chapter.
0
38. Add Sec.  238.783 to read as follows:

Sec.  238.783  Circuit protection.

    (a) General. Circuits used for purposes other than propelling the
equipment shall be provided with a circuit breaker or equivalent
current-limiting devices located as near as practical to the point of
connection to the source of power for that circuit. Such protection may
be omitted from circuits controlling safety-critical devices.
    (b) Lightning protection. The main propulsion power line shall be
protected with a lightning arrestor, automatic circuit breaker, and
overload relay. The lightning arrestor shall be run by the most direct
path possible to ground. These overload protection devices shall be
housed in an enclosure designed specifically for that purpose with the
arc chute vented directly to outside air. Safety-critical circuits
shall be protected against lightning damage. Should safety-critical
circuits be adversely affected in such an instance, the trainset shall
default to a safe condition.
    (c) Overload and ground fault protection. Head-end power, including
trainline power distribution, shall be provided with both overload and
ground fault protection.
0
39. Add Sec.  238.785 to read as follows:

Sec.  238.785  Trainset electrical system.

    (a) Insulation or grounding of metal parts. Tier III trainsets
shall comply with Sec.  229.83 of this chapter.
    (b) High voltage markings: doors, cover plates, or barriers. Tier
III trainsets shall comply with Sec.  229.85 of this chapter.
    (c) Hand-operated electrical switches. Tier III trainsets shall
comply with Sec.  229.87 of this chapter.
    (d) Conductors, jumpers, and cable connections. Tier III trainsets
shall comply with Sec. Sec.  229.89 and 238.225(a) of this chapter.
    (e) Energy storage systems. (1) Batteries. In addition to complying
with the requirements of Sec.  238.225(b), battery circuits shall
include an emergency battery cut-off switch to completely disconnect
the energy stored in the batteries from the load.
    (2) Capacitors for high-energy storage. If provided, capacitors
shall be--
    (i) Isolated from the cab and passenger seating areas by a fire-
resistant barrier; and
    (ii) Designed to protect against overcharging and overheating.
    (f) Power dissipation resistors. In addition to complying with the
requirements of Sec.  238.225(c), power dissipation resistor circuits
shall incorporate warning or protective devices for low ventilation air
flow, over-temperature, and short circuit failures.
    (g) Electromagnetic interference and compatibility. In addition to
complying with the requirements of Sec.  238.225(d), electrical and
electronic systems of equipment shall be capable of operation in the
presence of external electromagnetic noise sources.
    (h) Motors and generators. (1) All motors and generators shall be
in proper working order, or safely cut-out and isolated.
    (2) If equipped, support brackets, bearings, isolation mounts, and
guards shall be present, function properly, and function as intended,
as specified in the railroad's inspection, testing, and maintenance
program.
0
40. Add Sec.  238.791 to read as follows:

Sec.  238.791  Safety appliances.

    (a) Applicability. This section applies to Tier III trainsets. The
requirements of this section may also be applied to Tier I passenger
cars and Tier I alternative passenger trainsets in lieu of the
requirements of Sec. Sec.  238.229 and 238.230, or part 231 of this
chapter, as applicable.
    (b) Attachment. Safety appliances must be attached by either
mechanical fasteners meeting the requirements of paragraph (b)(1) of
this section, or by welds meeting the requirements of paragraph (b)(2)
of this section.
    (1) Mechanical fasteners. Safety appliance mechanical fasteners
shall have tensile strength and fatigue resistance equal to or greater
than a \1/2\ inch (12 mm) diameter SAE Grade 5 steel bolt. Fasteners
must be one- or two-piece rivets, Huck bolts[supreg], or threaded
fasteners secured by one of the following methods:
    (i) Self-locking feature, including locknut and locking bolt, that
meets the prevailing torque requirements for locking fasteners such as
those specified by the Industrial Fastener Institute for the applicable
grade and size fastener used.
    (ii) Locking device that provides the minimum prevailing first
removal torque value for locking fasteners, such as those specified by
the Industrial Fastener Institute for the applicable grade and size
fastener used.
    (iii) Wedge-locking washers consisting of two symmetrically
designed washers that have inclined ramps on the sides in mutual
contact and non-slip contact surfaces on the sides in contact with the
nut and work piece. Washer and nut or bolt arrangements utilizing
similar locking principles are also acceptable.
    (iv) Lock washers that meet the requirements for lock washers
specified by the Industrial Fastener Institute for the applicable grade
and size fastener used.
    (v) Locking tab, cotter pin, or safety wire that restricts rotation
of the bolt, or nut, or both.
    (2) Welded Safety Appliances. Welds for safety appliances,
connections, safety appliance subassemblies, and brackets or supports
shall be--
    (i) Designed and fabricated in accordance with the welding process
and the quality control procedures contained in the applicable American
Welding Society Standard, the Canadian Welding Bureau Standard, or an
equivalent nationally or internationally recognized welding standard;
    (ii) Performed by an individual possessing the qualifications to be
certified under the applicable American Welding Society Standard, the
Canadian Welding Bureau Standard, or an equivalent nationally or
internationally recognized welding qualification standard;
    (iii) Inspected by an individual qualified to determine that the
welding has been performed in accordance with the requirements in
paragraph (b)(2)(i) of this section. A written or electronic record of
the inspection shall be retained by the railroad operating the
equipment and shall be provided to FRA upon request. At a minimum, this
record shall include the date, time, and location of the inspection,
and the identification and qualifications of the person performing the
inspection.
    (iv) Repaired in accordance with the requirements of paragraphs
(b)(2)(i) through (iii) of this section.
    (3) Carbody. Brackets or supports welded in accordance with
paragraphs (b)(2)(i) through (iii) of this section and meeting the
strength requirements in paragraphs (c), (d)(4)(ii), and (e)(4)(ii) of
this section shall be considered part of the carbody structure.
    (4) Inspection. Except for couplers and handbrakes, all safety
appliances, and brackets or supports shall, as far as practicable, be
installed to facilitate inspection of attachments, whether mechanical
fasteners or welds.
    (5) Strength. Welds, if used, and mechanical fasteners shall be
designed to have an ultimate strength with a factor of safety of at
least two with respect to the load values specified in paragraphs
(d)(3)(ii) and (e)(4)(ii) of this section.
    (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 of 10 million

cycles based upon the service vibration environment.
    (d) Handholds. (1) Number, location, and orientation. (i) Exterior
side door passenger access handholds. (A) A vertical handhold shall be
provided for passengers on both sides of steps (one on each side) used
for boarding or alighting. Internally installed handrails, as that term
is used under part 38 of this title, may be used to satisfy the
requirements of this paragraph, and if used must meet the applicable
requirements for handrails specified in Sec.  38.97(a) or Sec.
38.115(a) of this title.
    (B) Each vertical handhold provided for passengers shall be
positioned so that the bottom clear length shall not be more than 54
inches above top of rail.
    (ii) Exterior cab access handholds. (A) Except as provided in
paragraph (f)(2)(iv) of this section, a vertical handhold shall be
provided for crewmembers and other authorized personnel on both sides
(one on each side) of any exterior cab access door, if equipped.
    (B) Vertical handholds provided for cab access doors shall have a
clear length extending above the floor of the cab at least 48 inches,
and where practicable at least 60 inches or as high as feasible based
on carbody design, enabling a person to safely turn around. A smaller
handhold, providing at least 16 inches of 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.
    (iii) Side handholds. (A) At least one side handhold, preferably
two, shall be provided at each location equipped with a sill step, and
be oriented either vertically, horizontally, or a combination thereof,
relative to the carbody. Each side handhold shall provide at least 16
inches of clear length. At least 12 inches of the clear length of each
horizontal side handhold shall be directly over the sill step.
    (B) If one horizontal handhold is used it shall be not less than
58.5 nor more than 64.5 inches above top of rail.
    (C) If two horizontal handholds are used, one horizontal handhold
shall be at most 54 inches above top of rail. The second horizontal
handhold shall be 54 to 58 inches above the step.
    (D) If one vertical handhold is used, its lowest clearance point
shall be at most 54 inches above top of rail. Its highest clearance
point shall be at least 70 inches above top of rail. The handhold shall
be located above the clear length of the step.
    (E) If two vertical handholds are used, the lowest clearance point
of each vertical handhold shall be at most 54 inches above top of rail.
The highest clearance point of each vertical handhold shall be at least
58 inches above the step. Each set of vertical handholds shall be
spaced not less than 16 inches nor more than 22 inches apart. To align
two vertical handholds with the sill steps, the handholds shall be
located in the longitudinal direction such that the inside face of the
outboard handhold is no more than 2 inches outboard of the inside face
of the outboard vertical leg of the step and is no less than 10 inches
outboard from the inside face of the inboard vertical leg.
    (F) When a combination of horizontal and vertical handholds is
used, the horizontal handhold shall be 54 to 58 inches above the step.
The lowest clearance point of the vertical handhold shall be at most 54
inches above top of rail. The highest clearance point of the vertical
handhold shall be at least 70 inches, preferably 78 inches above top of
rail. One continuous handhold may be used as long as it meets the
dimensional requirements of this paragraph.
    (iv) End handholds. (A) Except as provided in paragraph
(d)(1)(iv)(F) of this section, two horizontal end handholds shall be
provided at each end of a vehicle or trainset unit equipped with an
automatic coupler, as described in paragraph (g) of this section, with
one on each side of the vehicle or trainset unit. Each end handhold
shall provide at least 16 inches of clear length.
    (B) There shall be no more than 16 inches between the side of the
vehicle or trainset unit to the useable clear length of an end
handhold, measured horizontally.
    (C) If the equipment is designed with a tapered nose, the side of
the car shall be determined based on the outer dimension of the tapered
nose where the end handhold is attached.
    (D) End handholds shall be positioned no more than 50 inches from
top of rail. Handholds may be attached to any primary structure (e.g.,
carbody frame; or pilot, or plow on cab cars), provided the dimension
requirements in paragraph (d)(1)(iv)(A) of this section are met.
    (E) An uncoupling lever may be used as an end handhold if it meets
the requirements of paragraphs (b), (c), and (d) of this section.
    (F) End handholds are not required at the ends of vehicles equipped
with an automatic coupling mechanism that can be safely operated from
inside the appropriate cab of the vehicle and does not require ground
intervention from a person such as to go on, under, or between to
couple air, electric or other connections.
    (2) Handhold dimensions. Regardless of location or orientation, the
minimum diameter for each handhold listed under paragraph (d)(1) of
this section shall be no less than \5/8\ inch.
    (3) Clearance. All handholds listed under paragraph (d)(1) of this
section shall have a clearance between the handhold and carbody of at
least 2 inches, preferably 2\1/2\ inches, for the entire clear length,
except when a combination of handholds, or additional attachment
points, or both, are necessary due to the carbody design, or length of
the handhold, or both. In such cases, alternate ergonomic
configurations may be used instead, subject to FRA approval.
    (4) Strength and rigidity. Handholds shall meet either of the
following strength and rigidity requirements:
    (i) They must be made of \5/8\-inch diameter steel, or a material
providing an equivalent level of mechanical strength; or
    (ii) They must be designed to support a load of 350 lbs at any
point on the useable length, in any direction, and shall be rigidly
attached to the carbody structure such that the maximum elastic
deflection at the midpoint of an unsupported span under 50 percent of
the applied 350-lb load shall be no greater than L/120, where L is the
unsupported length of the span. Stresses in the handhold and the
carbody structure to which it is attached shall be less than the
minimum yield strength for the load values specified in this paragraph.
For purposes of evaluation, the load may be distributed over a distance
of not more than 3 inches along the usable clear length of the
handhold.
    (5) Multiple handholds. When multiple handholds are arranged in a
ladder-style configuration, each handhold shall meet the requirements
of this paragraph (d) and shall not have a vertical rise between
handholds exceeding 18 inches.
    (e) Sill steps. (1) Number and location. (i) Except as provided in
paragraph (e)(1)(iv) of this section, two sill steps shall be provided
at each end of a vehicle or trainset unit equipped with an automatic
coupler, with one on each side of the vehicle or trainset unit no more
than 18 inches from the end of the vehicle or trainset unit to the
useable clear length of the sill step. For vehicle or trainset ends
equipped with shrouding or aerodynamic treatments that taper toward the
center of the vehicle or trainset unit, the 18 inches shall be measured
from the point where the shrouding or aerodynamic treatment begins to
taper.

    (ii) The sill step tread shall be no more than 24 inches,
preferably no more than 22 inches, above top of rail.
    (iii) The outside edge of the sill step tread shall be no more than
2 inches inside of any carbody structure located directly above the
sill step and below the lowest side handhold.
    (iv) Sill steps are not required--
    (A) If an exterior cab access door or an exterior passenger access
door is equipped with handholds and steps, as required by this section,
and is located such that an employee riding on the step has an
unobstructed view of the track ahead.
    (B) At the ends of vehicles equipped with an automatic coupling
mechanism that can be safely operated from inside the appropriate cab
of the vehicle and does not require ground intervention from a person
such as to go on, under, or between to couple air, electric or other
connections.
    (2) Dimensions. (i) The minimum clear length of the tread of the
sill step shall be 10 inches.
    (ii) The minimum clear distance above the usable clear length of
each step shall be--
    (A) 4.7 inches for Tier III trainsets.
    (B) 8 inches for applicable Tier I equipment as specified in
paragraph (a) of this section.
    (iii) The minimum clear space from the outside edge of the sill
step shall be 6 inches for the entire usable clear length of the step,
of which at least 2 inches shall be tread surface.
    (iv) Sill steps shall not have a vertical rise between treads
exceeding 18 inches.
    (v) Proper clearance must be provided between steps and the vehicle
running gear to provide proper clearance from moving parts.
    (3) Sill step tread surface. The portion of the tread surface area
of each sill step that is normally contacted by the foot shall be
treated with an anti-skid material or be slip resistant by texturing of
the metal surface in such a way that it lasts the life of the car. Some
examples of acceptable methods are: diamond plate or stamped, upset, or
expanded metal. For enclosed step designs, at least 50 percent of the
tread area shall be open space.
    (4) Strength and rigidity. Sill steps shall meet either of the
following strength and rigidity requirements:
    (i) If a rectangular cross-section is used, the sill step shall
have a minimum \1/2\-inch-thick by 2-inch-wide cross-sectional area.
Alternate material sections may be used if they meet the strength and
rigidity of a \1/2\-inch-thick by 2-inch-wide steel section. Sill or
crew steps exceeding 18 inches (457 mm) in depth shall have an
additional tread and be laterally braced; or
    (ii) Sill steps shall be designed to support individually applied
loads at any point on the useable length of 450 lbs in the downward
direction and 350 lbs in the horizontal direction (inward or outward).
Stresses in the sill step and the carbody structure to which it is
attached shall be less than the minimum yield strength for the load
values specified in this paragraph. For purposes of evaluation, the
load may be distributed over a distance of not more than 3 inches along
the usable clear length of the sill step.
    (f) Crew access. (1) Ground-level crew access. (i) Crewmembers
shall be provided the means where they can board and alight the
equipment from ground level, safely.
    (A) For a trainset, or any section of a trainset that is not semi-
permanently connected to an adjacent unit of the same trainset, a
minimum of four locations, two per side, shall be provided.
    (B) For single vehicles or trainset units that are not semi-
permanently connected to an adjacent vehicle or trainset unit, a
minimum of two locations, one per side, shall be provided.
    (ii) Exterior side doors used for passenger boarding and alighting
that provide ground-level access equipped with handholds meeting the
requirements of paragraphs (d)(1)(i), (d)(2), and (d)(3) of this
section may be used to satisfy the requirements of paragraph (f)(1)(i)
of this section so long as access to the controlling cab can be gained
from the interior of the trainset.
    (iii) An exterior cab access side door that provides access to the
trainset cab and is equipped with handholds meeting the requirements of
paragraphs (d)(1)(ii), (d)(2), and (d)(3) of this section may be used
to satisfy the requirements of paragraph (f)(1)(i) of this section so
long as access to the interior of the trainset can be gained from the
trainset cab.
    (2) Ground level crew access side steps. (i) Except as provided in
paragraph (f)(2)(iv) of this section, for each location provided for
crewmember ground-level access under paragraph (f)(1)(i) of this
section, steps shall be provided that comply with the requirements of
paragraphs (e)(2) through (4) of this section and meet the following
requirements:
    (A) The outside edge of the tread of the step shall be not more
than 3 inches inside of the edge of the door threshold; and
    (B) The bottom tread shall be not more than 24 inches, preferably
not more than 22, inches above top of rail.
    (ii) Handholds meeting the requirements of paragraphs (d)(1)(ii),
(d)(2), and (d)(3) of this section shall be provided at each location
where ground level crew access steps are provided.
    (iii) The steps required under paragraph (f)(2)(i) may be
retractable.
    (iv) Portable ladders equipped with handrails designed for safe
access from ground level can also be used in lieu of crew side access
steps.
    (g) Couplers. (1) Except as provided in paragraph (g)(2) of this
section, trainset units shall be equipped with automatic couplers at
each end. The coupler shall--
    (i) Couple on impact; and
    (ii) Uncouple by either activation of a traditional uncoupling
lever, or some other type of uncoupling mechanism that does not require
a person to go on, under, or between the trainset units.
    (2) An automatic coupler is not required--
    (i) At trainset unit ends that are semi-permanently coupled to an
adjacent trainset unit; or
    (ii) Where the coupler on the leading and trailing ends of a
trainset is only used for rescue purposes. The railroad shall develop
and implement rescue procedures that assure employee safety during
rescue operations are included as part of its inspection, testing, and
maintenance program.
    (h) Uncoupling levers or devices. (1) General. Each trainset unit
end equipped with an automatic coupler required by paragraph (g)(1) of
this section shall have either--
    (i) A manual uncoupling lever; or,
    (ii) An uncoupling mechanism operated by controls located in the
appropriate cab, or other secure location in a trainset. 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, but shall allow use from outside the
gage of the track, or in accordance with railroad procedures.
    (2) Manual uncoupling lever or device. Manual uncoupling levers
shall be applied so that the automatic coupler can be operated from the
left side of the trainset unit as determined when facing the end of the
trainset unit, from ground level without requiring a person to go
between cars or trainset units. Manual uncoupling levers shall have a
minimum clearance of 2 inches, preferably 2\1/2\ inches, around the
handle.
    (i) Shrouding or aerodynamic treatments. The automatic coupler, end

handholds, and uncoupling mechanism on the leading and trailing ends of
a trainset unit may be located within a removable shroud to reduce
aerodynamic effects.
    (j) Hand brakes. Trainsets, and trainset units or sections of
trainsets that are not semi-permanently coupled to an adjacent trainset
unit or section of trainset, must be equipped with an efficient parking
or hand brake capable of holding the trainset, trainset unit, or
section of trainset on at least a 3-percent grade, or on the worst-case
grade conditions identified by the operating railroad, as approved by
FRA.
    (k) Safety appliances for appurtenances and windshields. (1)
Trainsets and trainset units having appurtenances such as headlights,
windshield wipers, marker lights, and other similar items required for
the safe operation of the trainset or trainset unit must be equipped
with handholds and steps meeting the requirements of this section, if
the appurtenances are designed to be maintained or replaced from the
exterior of the trainset or equipment.
    (2) The requirements of paragraph (k)(1) do not apply if railroad
operating rules require, and actual practice entails, the maintenance
and replacement of these components by maintenance personnel in
locations protected by the requirements of subpart B of part 218 of
this chapter equipped with ladders and other tools to safely repair or
maintain those appurtenances.
    (l) Optional safety appliances. Safety appliances installed at the
option of the railroad shall be approved by FRA pursuant to Sec.
238.110.
0
41. Add subpart I to part 238 to read as follows:
Subpart I--Trainset Inspection, Testing, and Maintenance Requirements
for Tier III Passenger Equipment
Sec.
 Trainset Inspection, Testing, and Maintenance Program
238.901 Scope.
238.903 General requirements.
238.905 Compliance.
238.907 Standard procedures for safely performing inspections,
testing, maintenance, or repairs.
238.909 Quality control/quality assurance program.
238.911 Inspection, testing, and maintenance program format.
238.913 Inspection, testing, and maintenance program approval
procedure.

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

Sec.  238.901  Scope.

    This subpart contains specific requirements for inspection,
testing, and maintenance of Tier III passenger equipment.

Sec.  238.903  General requirements.

    (a) General. Each railroad operating Tier III passenger equipment
shall have a written inspection, testing, and maintenance program,
approved pursuant to Sec.  238.913.
    (b) Program contents. The program shall provide detailed
information, consistent with the requirements set forth in this
subpart, on the inspection, testing, and maintenance procedures
necessary for the railroad to safely maintain and operate its Tier III
passenger equipment. This information shall include a detailed
description of--
    (1) Inspection procedures, intervals, and acceptance/rejection
criteria addressing applicable reliability-based monitoring and
inspections based on appendix E to this part or an equivalent national
or international standard;
    (2) Test procedures and intervals;
    (3) Scheduled preventative maintenance intervals;
    (4) Maintenance procedures;
    (5) Special testing equipment or measuring devices required to
perform inspections and tests;
    (6) The training, qualification, and designation of employees and
contractors to perform inspections, tests, and maintenance pursuant to
the requirements of paragraph (h) of this section;
    (7) Out-of-service procedures to protect out-of-service equipment,
to account for time out of service, and how the railroad will return
out-of-service equipment back to service; and
    (8) The required operational braking capability.
    (c) Specific safety inspections. The program required under
paragraph (a) of this section shall ensure that all Tier III passenger
trainsets receive thorough safety inspections by qualified personnel
designated by the railroad at regular intervals. Each inspection
identified in this paragraph shall be performed on Tier III trainsets
in accordance with the test procedures and inspection criteria and at
the intervals defined by the railroad's approved inspection, testing,
and maintenance program. Except as specified in paragraph (c)(2)(i) of
this section regarding defects in a trainset's braking system, if any
system or component that is defined as safety-critical under Sec.
238.911(b) is found to be defective or otherwise non-compliant during
these inspections, the trainset shall not be put into service until
that condition is rectified. In addition to other inspections required
under subpart H of this part, the following inspections shall be
performed on each trainset:
    (1) Pre-departure inspections, i.e., trainset system verifications,
inspections, or functional tests that must be performed prior to
departures from terminal locations where operating ends or operating
crews are changed. Pre-departure inspection procedures must include--
    (i) Verification of application and release of the service and
emergency brakes using the monitoring system; and
    (ii) Functional tests of the passenger access exterior side doors.
    (2) Pre-service inspections, i.e., inspections conducted at
identified locations where such inspections can be safely and properly
conducted prior to the trainset entering service after the previous
pre-service inspection, at a period not to exceed 48 hours. At a
minimum, pre-service inspections must include--
    (i) All items covered under paragraph (c)(1) of this section.
Defects with the brake system discovered during a pre-service
inspection shall be handled in accordance with Sec.  238.1003(d)(1),
except that if a trainset's braking system is discovered having less
than the required operational braking capability, it shall move
immediately to a repair point under the provisions of Sec.  238.1003(b)
and (e).
    (ii) An interior inspection of emergency systems, ensuring
functionality of certain systems (such as the public address and
intercom systems) including a determination that any required tools or
other implements necessary for emergency egress are present.
    (3) Brake system inspections.
    (4) Truck inspections.
    (5) Other safety-critical periodic inspections.
    (d) Inspection, testing and maintenance intervals. The program
shall identify the railroad's initial scheduled inspection, testing,
and maintenance intervals for Tier III equipment. Changes to scheduled
inspection, testing, and maintenance intervals of safety-critical
components, as identified by Sec.  238.911(b), shall be implemented
only when approved by FRA under Sec.  238.913. Such changes must be
justified by accumulated, verifiable operating data.
    (e) Training and qualification program. The program required under

this subpart shall describe the training, qualification, and
designation program established by the railroad to qualify individuals
to inspect, test, and maintain the equipment.
    (1) The railroad shall identify which inspection, testing, or
maintenance tasks require special training or qualifications.
    (2) The training and qualification program shall, at a minimum,
address the items in Sec.  238.109(b).
    (3) A list of all personnel and contractors designated as qualified
to perform activities specific to paragraph (e)(1) of this section,
training material, and records shall be maintained and made available
to FRA upon request.
    (4) Only individuals qualified under the railroad's program may
inspect, test, or maintain components or systems the railroad deems
safety-critical.
    (f) Retention of records. At a minimum, the railroad shall keep the
records of each inspection required under paragraph (c) of this
section. Each record shall be maintained for at least one year from the
date of the inspection.

Sec.  238.905   Compliance.

    After the railroad's inspection, testing, and maintenance program
is approved by FRA pursuant to Sec.  238.913, the railroad shall adopt
and comply with the program, and perform--
    (a) All inspections and tests described in the program in
accordance with the procedures and criteria for the components that the
railroad identifies as safety-critical; and
    (b) All maintenance tasks described in the program in accordance
with the procedures and intervals for the components that the railroad
identifies as safety-critical.

Sec.  238.907   Standard procedures for safely performing inspection,
testing, and maintenance, and repairs.

    (a) The railroad shall establish standard procedures for performing
all safety-critical or potentially hazardous inspection, testing,
maintenance, and repair tasks. These standard procedures shall--
    (1) Describe in detail each step required to safely perform the
task;
    (2) Describe the knowledge necessary to safely perform the task;
    (3) Describe any precautions that shall be taken to safely perform
the task;
    (4) Describe the use of any safety equipment necessary to perform
the task;
    (5) Be approved by the railroad's official responsible for safety;
    (6) Be enforced by the railroad's supervisors responsible for
accomplishing the tasks; and
    (7) Be reviewed annually by the railroad and its designated
employee representatives pursuant to Sec.  238.913(e).
    (b) The inspection, testing, and maintenance program required by
this section is not intended to address and should not include
procedures to address employee working conditions that arise in the
course of conducting the inspections, tests, and maintenance set forth
in the program. When reviewing the railroad's program, FRA does not
intend to review any portion of the program that relates to employee
working conditions.

Sec.  238.909   Quality control/quality assurance program.

    Each railroad shall establish an inspection, testing, and
maintenance quality control/quality assurance program. The railroad or
its contractor(s), or both, shall ensure that inspections, testing, and
maintenance are performed in accordance with the railroad's approved
inspection, testing, and maintenance program.

Sec.  238.911  Inspection, testing, and maintenance program format.

    The railroad's inspection, testing, and maintenance program
established pursuant to this subpart I shall be comprised of--
    (a) The complete inspection, testing, and maintenance program for
all components, systems, or sub-systems on a Tier III trainset, whether
safety-critical or not, to include all inspections, tests, and
maintenance tasks required, the intervals and periodicity of those
inspections, tests, and maintenance tasks, and all associated
information and procedures required for the railroad and its personnel
to implement the program. The railroad shall submit the complete
program to FRA along with the condensed version required under
paragraph (b) of this section for FRA review to ensure that the
railroad has properly classified a particular inspection, test, or
maintenance task as safety-critical or not. Should FRA identify a
particular inspection, test, or maintenance task as safety-critical,
the railroad shall include the particular inspection, test, or
maintenance task in the condensed version of the program under
paragraph (b) of this section.
    (b) A condensed version of the program that contains only those
items identified as safety-critical by the railroad. The railroad shall
submit this version for approval by FRA, as provided in Sec.  238.913.
The operation of emergency equipment, emergency back-up systems,
trainset exits, and trainset safety-critical hardware and software
systems shall be deemed safety-critical.

Sec.  238.913  Inspection, testing, and maintenance program approval
procedure.

    (a) Submission--(1) Initial submission. The railroad shall submit
for approval an inspection, testing, and maintenance program not less
than 180 days prior to commencing revenue service. The program shall be
submitted to the Associate Administrator.
    (2) Submission of amendments. If the railroad seeks to amend an
approved program, the railroad shall file with the Associate
Administrator for approval of such amendment not less than 60 days
prior to the proposed implementation date of the amendment.
    (b) Contents. Each program or amendment shall contain the
following:
    (1) The information prescribed in this subpart for such program or
amendment;
    (2) The name, title, address, and telephone number of the primary
point of contact for the program or amendment; and
    (3) A statement affirming that the railroad has provided a copy of
the program or amendment on designated representatives of railroad
employees as required under paragraph (c) of this section, together
with a list of the names and addresses of those persons.
    (c) Comment. Each railroad shall 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. Designated representatives will then
have 45 days from the date of filing to provide any comment to FRA.
    (1) Each comment shall set forth specifically the basis upon which
it is made and contain a concise statement of the interest of the
commenter in the proceeding.
    (2) Each comment shall be submitted to the Associate Administrator.
    (3) The commenter shall certify that a copy of the comment was
provided to the railroad.
    (d) Approval--(1) Initial submission. Within 60 days of receipt of
each initial inspection, testing, and maintenance program, FRA will
conduct a formal review of the program. FRA will then notify the
primary railroad contact person in writing whether the inspection,
testing, and maintenance program is approved and, if not approved, the
specific points in which the program is deficient. If a program is not
approved by FRA, the railroad shall amend its program to correct all
deficiencies and resubmit its program with the required revisions not
later than 45 days prior to commencing revenue service. The railroad
shall not

implement its inspection, testing, and maintenance program until
approved by FRA.
    (2) Amendments. FRA will review each proposed amendment to the
program within 45 days of receipt. FRA will then notify the primary
railroad contact person and the designated employee representatives in
writing whether the proposed amendment has been approved by FRA and, if
not approved, the specific points in which the proposed amendment is
deficient. The railroad shall correct any deficiencies and file the
corrected amendment prior to implementing the amendment.
    (3) Identification of deficiencies after approval. Should FRA
identify deficiencies within the program following initial approval of
a program or approval of an amendment, FRA will notify the railroad of
the specific points in which the program or amendment is deficient. The
railroad must resubmit its program or amendment with the necessary
revisions for review and approval in accordance with paragraph (d)(1)
or (2) of this section.
    (e) Annual review. The inspection, testing, and maintenance program
required by this section shall be reviewed by the railroad annually.
The railroad shall provide written notice to the Associate
Administrator and the designated representatives of the railroad's
employees at least one month prior to the annual review. If the
Associate Administrator or their designee indicates a desire to be
present, the railroad shall provide a scheduled date and location for
the annual review. If the Associate Administrator requests the annual
review be performed on another date but the railroad and the Associate
Administrator are unable to agree on a date for rescheduling, the
annual review may be performed as scheduled.
0
42. Add subpart J to part 238 to read as follows:
Subpart J--Movement of Defective Tier III Passenger Equipment
Sec.
238.1001 Scope.
238.1003 Movement of defective Tier III passenger equipment.

Subpart J--Movement of Defective Tier III Passenger Equipment

Sec.  238.1001  Scope.

    This subpart contains specific requirements for the movement of
defective Tier III passenger equipment.

Sec.  238.1003  Movement of defective Tier III passenger equipment.

    (a) Except as provided in Sec.  238.903(c)(2)(i) and paragraph
(d)(1) of this section, a Tier III trainset with one or more safety-
critical items not in compliance with the railroad's approved
inspection, testing, and maintenance program identified during a pre-
service inspection required by Sec.  238.903(c)(2) shall not be moved
in revenue service and may only be moved in accordance with paragraph
(e) of this section.
    (b) A Tier III trainset with one or more safety-critical items not
in compliance with the railroad's approved inspection, testing, and
maintenance program identified while en route to its destination after
its pre-service inspection is performed and before its next pre-service
inspection is performed, may be moved only after the railroad has
complied with the following:
    (1) An individual qualified under the training and qualification
program implemented pursuant to Sec.  238.903(e) determines that it is
safe to move the trainset, consistent with the railroad's operating
rules. If appropriate, this determination may be made based upon a
description of the defective condition provided by a crewmember. If the
determination required by this paragraph is made by an off-site,
qualified individual based on a description of the defective condition
by on-site personnel, then a qualified individual shall perform a
physical inspection of the defective equipment at the first location
possible to verify the description of the defect provided by the on-
site personnel.
    (2) The qualified individual who made the determination in
paragraph (b)(1) of this section notifies the train crew, in accordance
with the railroad's operating rules, of the maximum authorized speed,
authorized destination, and any other operational restrictions that
apply to the movement of the non-compliant trainset. This notification
may be achieved through the tag required by paragraph (b)(3) of this
section.
    (3) The qualified individual securely attaches to the control stand
on each control cab of the trainset a tag bearing the words ``NON-
COMPLIANT TRAINSET'' and containing the following information:
    (i) The trainset, and unit or car number;
    (ii) The name, job title, location, and signature if possible, of
the qualified individual making the determination that the non-
compliant trainset is otherwise safe to move;
    (iii) The location and date of the inspection that led to the
discovery of the non-compliant item;
    (iv) A description of each non-compliant item;
    (v) Movement restrictions, if any; and
    (vi) The authorized destination of the trainset.
    (c) Automated tracking systems used to meet the tagging
requirements contained in paragraph (b)(3) of this section must comply
with Sec.  238.15(c)(3).
    (d) In the event of an in-service failure of the braking system--
    (1) The trainset may continue in service for no more than 5
consecutive calendar days so long as the trainset meets or exceeds its
required operational braking capability.
    (2) When below the required operational braking capability, the
trainset may remain in service until the next pre-service inspection
and proceed only in accordance with railroad operating rules relating
to the percentage of operative brakes and at a speed no greater than
the maximum authorized speed as determined by Sec.  238.731(e)(4), so
long as the requirements of paragraph (b) of this section are otherwise
fully met.
    (e) Except as provided in paragraph (d)(1) of this section, a
trainset with one or more safety-critical items not in compliance with
the railroad's approved inspection, testing, and maintenance program
may be moved without passengers, within a yard, and at speeds not to
exceed 10 mph, without meeting the requirements of paragraph (b) of
this section where the movement is solely for the purpose of repair. A
railroad shall ensure that the movement is made safely. If the railroad
elects to repair the equipment in place, it shall, at a minimum, tag
the equipment in accordance with paragraph (b)(3) of this section to
make clear that the trainset is defective.
    (f) Nothing in this section authorizes the movement of Tier III
equipment subject to a Special Notice for Repair under part 216 of this
chapter unless the movement is made in accordance with the restrictions
contained in the Special Notice.
0
43. Revise appendix C to part 238 to read as follows:

Appendix C to Part 238--Minimally Compliant Analytical Track (MCAT)
Simulations Used for Qualifying Passenger Vehicles To Operate on Track
Classes 2 Through 5 and up to 6 Inches of Cant Deficiency

    (a) This appendix contains requirements for using computer
simulations to comply with the vehicle/track system qualification
testing requirements specified in Sec.  238.139.

These simulations shall be performed using a track model containing
defined geometry perturbations at the limits that are permitted for
a specific class of track and level of cant deficiency. This track
model is known as Minimally Compliant Analytical Track (MCAT). These
simulations shall be used to identify vehicle dynamic performance
issues prior to service or, as appropriate, a change in service, and
demonstrate that a vehicle type is suitable for operation on the
track over which it is intended to operate.
    (b) As specified in Sec.  238.139(c), MCAT shall be used for the
qualification of new vehicle types intended to operate at track
Classes 2 through 5 speeds, or at any curving speed producing no
more than 6 inches of cant deficiency. In addition, as specified in
Sec.  238.139(d)(2), MCAT shall be used to qualify on new routes
vehicle types that have previously been qualified, by testing only,
on other routes.
    (1) Validation. To validate the vehicle model used for
simulations under this part, the track owner or railroad shall
obtain vehicle simulation predictions using measured track geometry
data, chosen from the same track section over which testing shall be
performed as specified in Sec.  238.139(c)(2)(ii). These predictions
shall be submitted to FRA in support of the request for approval of
the qualification testing plan. Full validation of the vehicle model
used for simulations under this part shall be determined when the
results of the simulations demonstrate that they replicate all key
responses observed during qualification testing.
    (2) MCAT layout. MCAT consists of nine segments, each designed
to test a vehicle's performance in response to a specific type of
track perturbation. The basic layout of MCAT is shown in figure 1 of
this appendix, by type of track (curving or tangent), class of
track, and cant deficiency (CD). The values for wavelength,
[lambda], amplitude of perturbation, a, and segment length, d, are
specified in this appendix. The bars at the top of figure 1 show
which segments are required depending on the speed and degree of
curvature.
    (i) MCAT segments. MCAT's nine segments contain different types
of track deviations in which the shape of each deviation is a
versine having wavelength and amplitude varied for each simulation
speed as further specified. The nine MCAT segments are defined as
follows:
    (A) Hunting perturbation (a1). This segment contains an
alinement deviation having a wavelength, [lambda], of 10 feet and
amplitude of 0.25 inch on both rails to test vehicle stability on
tangent track.
    (B) Gage narrowing (a2). This segment contains an alinement
deviation on one rail to reduce the gage from the nominal value to
the minimum permissible gage or maximum alinement (whichever comes
first).
    (C) Gage widening (a3). This segment contains an alinement
deviation on one rail to increase the gage from the nominal value to
the maximum permissible gage or maximum alinement (whichever comes
first).
    (D) Repeated surface (a9). This segment contains three
consecutive profile variations on each rail.
    (E) Repeated alinement (a4). This segment contains two
consecutive alinement variations on each rail.
    (F) Single surface (a10, a11). This segment contains a maximum
permissible profile variation on one rail. If the maximum
permissible profile variation alone produces a condition which
exceeds the maximum allowed warp condition, a second profile
variation is also placed on the opposite rail to limit the warp to
the maximum permissible value.
    (G) Single alinement (a5, a6). This segment contains a maximum
permissible alinement variation on one rail. If the maximum
permissible alinement variation alone produces a condition which
exceeds the maximum allowed gage condition, a second alinement
variation is also placed on the opposite rail to limit the gage to
the maximum permissible value.
    (H) Short warp (a12). This segment contains a pair of profile
deviations to produce a maximum permissible 10-foot warp
perturbation. The first is on the inner rail, and the second follows
10 feet farther on the outside rail. Each deviation has a
wavelength, [lambda], of 20 feet and variable amplitude for each
simulation speed as described below. This segment is to be used only
on curved track simulations.
    (I) Combined perturbation (a7, a8, a13). This segment contains a
down and out combined geometry condition on the outside rail in the
body of the curve. If the variations produce a condition which
exceeds the maximum allowed gage condition, a second variation is
also placed on the opposite rail as for the MCAT segments described
in paragraphs (b)(2)(i)(F) and (G) of this appendix. This segment is
to be used for all curved track simulations at speeds producing no
more than 6 inches of cant deficiency on track Classes 2 through 5.
    (ii) Segment lengths. Each MCAT segment shall be long enough to
allow the vehicle's response to the track deviation(s) to damp out.
Each segment shall also have a minimum length as specified in table
1 of this appendix, which references the distances in figure 1 of
this appendix. For curved track segments, the perturbations shall be
placed far enough in the body of the curve to allow for any spiral
effects to damp out.
    (iii) Degree of curvature. (A) For each simulation involving
assessment of curving performance, the degree of curvature, D, which
generates a particular level of cant deficiency, Eu, for
a given speed, V, shall be calculated using the following equation:
[GRAPHIC] [TIFF OMITTED] TP03AP23.000

Where

D = Degree of curvature (degrees).
V = Simulation speed (mph).
Ea = 3 inches for Class 2 and 6 inches for Classes 3
through 5.
Eu = Cant deficiency (inches).

    (B) Table 2 of this appendix depicts the degree of curvature for
use in MCAT simulations of passenger equipment performance on Class
2 through 5 track, based on the equation in paragraph (b)(2)(iii)(A)
of this appendix.
    (3) Required simulations--(i) General. To develop a
comprehensive assessment of vehicle performance, simulations shall
be performed for a variety of scenarios using MCAT. These
simulations shall be performed on tangent or curved track, or both,
depending on the level of cant deficiency and speed (track class) as
summarized in table 3 of this appendix.
    (A) All simulations shall be performed using the design wheel
profile and a nominal track gage of 56.5 inches, using tables 4, 5,
or 6 of this appendix, as appropriate. In addition, all simulations
involving the assessment of curving performance shall be repeated
using a nominal track gage of 57.0 inches, using tables 5 or 6 of
this appendix, as appropriate.
    (B) For tangent track segments, all simulations on the hunting
perturbation shall be repeated using a high-conicity, wheel-rail
profile combination approved by FRA that produces a minimum conicity
of 0.4 for wheelset lateral shifts up to flange contact.
    (C) All simulations shall be performed using a wheel/rail
coefficient of friction of 0.5.
    (ii) Vehicle performance on tangent track Classes 2 through 5.
For maximum vehicle speeds corresponding to track Classes 2 through
5, the MCAT segments described in paragraphs (b)(2)(i)(A) through
(G) of this appendix shall be used to assess vehicle performance on
tangent track. A parametric matrix of MCAT simulations shall be
performed using the following range of conditions:
    (A) Vehicle speed. Simulations shall demonstrate that at up to 5
mph above the proposed maximum operating speed, the vehicle type
shall not exceed the wheel/rail force and acceleration criteria
defined in the Vehicle/Track Interaction Safety Limits table in
Sec.  213.333 of this chapter. Simulations shall also demonstrate
acceptable vehicle dynamic response by incrementally increasing
speed, as shown in table 2, up to 5 mph above the proposed maximum
operating speed for each track class (in 5 mph increments).
    (B) Perturbation wavelength. For each speed, a set of two
separate MCAT simulations shall be performed. In each MCAT
simulation for the perturbation segments described in paragraphs
(b)(2)(i)(B) through (G) of this appendix, every perturbation shall
have the same wavelength. The following two wavelengths, [lambda],
shall be used: 31, and 62 feet. The hunting perturbation segment
described in paragraph (b)(2)(i)(A) of this appendix has a fixed
wavelength, [lambda], of 10 feet.
    (C) Amplitude parameters. Table 4 of this appendix provides the
amplitude values for the MCAT segments described in paragraphs
(b)(2)(i)(A) through (G) of this appendix for each speed of the
required parametric MCAT simulations. The last set of simulations
shall

be performed at 5 mph above the proposed maximum operating speed, as
shown in table 2, using the amplitude values in table 4 that
correspond to the proposed maximum operating speed.

Figure 1 of Appendix C to Part 238 MCAT Simulations on Curved Track
(Cant Deficiency <=6 Inches) Track Layout
[GRAPHIC] [TIFF OMITTED] TP03AP23.001

                                           Table 1 of Appendix C to Part 238--Minimum Lengths of MCAT Segments
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                     Distances (ft)
---------------------------------------------------------------------------------------------------------------------------------------------------------
       d1                d2               d3               d4               d5               d6               d7               d8               d9
--------------------------------------------------------------------------------------------------------------------------------------------------------
                       1,000                                1,500                                           1,000
--------------------------------------------------------------------------------------------------------------------------------------------------------

 Table 2 of Appendix C to Part 238--Degree of Curvature for Use in MCAT Simulations (Track Classes 2 Through 5)
                                           Cant Deficiency <=6 Inches
----------------------------------------------------------------------------------------------------------------
                                                                                Cant deficiency
                                                             ---------------------------------------------------
                                                   Tangent     Class 2 Ea \1\ = 3'', Class 3 through 5 Ea = 6''
                                                             ---------------------------------------------------
                                                                  3''          4''          5''          6''
----------------------------------------------------------------------------------------------------------------
Class 2:
    30 mph.....................................            0         9.52  ...........  ...........  ...........
    35 mph.....................................            0         9.52  ...........  ...........  ...........
Class 3:
    35 mph.....................................            0        10.50        11.66        12.83        13.99
    40 mph.....................................            0         8.04         8.93         9.82        10.71
    45 mph.....................................            0         6.35         7.05         7.76         8.47
    50 mph.....................................            0         5.14         5.71         6.29         6.86
    55 mph.....................................            0         4.25         4.72         5.19         5.67
    60 mph.....................................            0         3.57         3.97         4.37         4.76
    65 mph.....................................            0         3.57         3.97         4.37         4.76
Class 4:
    65 mph.....................................            0         3.04         3.38         3.72         4.06
    70 mph.....................................            0         2.62         2.92         3.21         3.50
    75 mph.....................................            0         2.29         2.54         2.79         3.05
    80 mph.....................................            0         2.01         2.23         2.46         2.68
    85 mph.....................................            0         2.01         2.23         2.46         2.68
Class 5:
    85 mph.....................................            0         1.78         1.98         2.17         2.37
    90 mph.....................................            0         1.59         1.76         1.94         2.12
    95 mph.....................................            0         1.59         1.76         1.94         2.12
----------------------------------------------------------------------------------------------------------------
\1\ ``Ea'' means actual elevation.

     Table 3 of Appendix C to Part 238--Summary of Required Vehicle
                Performance Assessment Using Simulations
------------------------------------------------------------------------
                                                New vehicle types
------------------------------------------------------------------------
Curved Track: cant deficiency <=6        Curving performance simulation:
 inches.                                  required for track classes 2
                                          through 5.
Tangent track..........................  Tangent performance simulation:
                                          required for track classes 2
                                          through 5.
------------------------------------------------------------------------

Table 4 of Appendix C to Part 238--Track Class 2 Through 5 Amplitude
Parameters (in Inches) for MCAT Simulations on Tangent Track

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[GRAPHIC] [TIFF OMITTED] TP03AP23.002

Table 5 of Appendix C to Part 238 Track Class 2 Through 5 Amplitude
Parameters (in Inches) for MCAT Simulations on Curved Track With Cant
Deficiency >=3 and <=5 Inches
[GRAPHIC] [TIFF OMITTED] TP03AP23.003

Table 6 of Appendix C to Part 238 Track Class 2 Through 5 Amplitude
Parameters (in Inches) for MCAT Simulations on Curved Track With Cant
Deficiency >5 Inches and <=6 Inches)
[GRAPHIC] [TIFF OMITTED] TP03AP23.004

BILLING CODE 4910-06-C
0
44. Add Appendix I to part 238 to read as follows:

Appendix I to Part 238--Tier III Trainset Cab Noise Test Protocol

    This appendix prescribes the procedures for the in-cab noise
measurements for Tier III trainsets at speed. The purpose of the cab
noise testing is to ensure that the noise levels within the cab of
the trainset meet the minimum requirements defined within Sec.
238.759(a)(1).

I. Measurement Instrumentation

    The instrumentation used shall conform to the measurement
instrumentation requirements prescribed in paragraph I of appendix H
to part 229 of this chapter.

II. Test Site Requirements

    The test site shall meet the following requirements:
    (1) The passenger trainset shall be tested over a representative
segment of the railroad and shall not be tested in any site
specifically designed to artificially lower in-cab noise levels.

    (2) All windows, doors, cabinets seals, etc., must be installed
in the trainset cab and be closed.
    (3) The heating, ventilation, and air conditioning (HVAC) system
or a dedicated heating or air conditioner system must be operating
on high, and the vents must be open and unobstructed.

III. Procedures for Measurement

    (1) LAeq, T is defined as the A-weighted, equivalent
sound level for a duration of T seconds, and the sound level meter
shall be set for A-weighting with slow response.
    (2) The sound level meter shall be calibrated with the acoustic
calibrator immediately before and after the in-cab tests. The
calibration levels shall be recorded.
    (3) Any change in the before and after calibration level(s)
shall be less than 0.5 dB.
    (4) The sound level meter shall be located:
    (i) Laterally as close as practicable to the longitudinal
centerline of the cab, adjacent to the engineer's seat;
    (ii) Longitudinally at the center of the engineer's nominal
seating position; and
    (iii) At a height 1,219 mm (48 inches) above the floor.
    (5) The sound measurements shall be taken autonomously within
the cab.
    (6) The sound level shall be recorded at the maximum approved
train speed  3km/h (1.86 mph).
    (7) After the trainset speed has become constant at the maximum
test speed and the in-cab noise is continuous, LAeq, T
shall be measured, either directly or using a 1-second sampling
interval, for a minimum duration of 30 seconds at the measurement
position (LAeq, 30s).

IV. Recordkeeping

    To demonstrate compliance, the entity conducting the test shall
maintain records of the following data. The records created under
this procedure shall be retained and made readily accessible for
review for a minimum of three years. All records may be maintained
in either written or electronic form.
    (1) Name(s) of persons conducting the test, and the date of the
test.
    (2) Description of the passenger trainset cab being tested,
including: model number, serial number, and date of manufacture.
    (3) Description of sound level meter and calibrator, including:
make, model, type, serial number, and manufacturer's calibration
date.
    (4) The recorded measurement during calibration and for the
microphone location during operating conditions.
    (5) The recorded measurements taken during the test.
    (6) Other information as appropriate to describe the testing
conditions and procedure.
    (7) Where a trainset fails a test and is re-tested under the
provisions of section III(7) of this appendix, the suspected
reason(s) for the failure.
0
45. Add Appendix J to part 238 to read as follows:

Appendix J to Part 238--Alternative Requirements for Evaluating the
Crashworthiness and Occupant Protection Performance of a Tier I
Passenger Trainset Equipped With Crash Energy Management Features

General

    As required by Sec.  238.110(e)(1), this appendix applies to
single pieces of passenger equipment that are fully compliant with
existing Tier I structural requirements, provide additional CEM
features, and are intended for interoperable use within
conventional, Tier I-compliant trains. The requirements of this
appendix do not apply to Tier I alternatively designed trainsets, or
single pieces of equipment fully compliant with existing Tier I
structural requirements outfitted with pushback couplers as the only
CEM feature. Each new, fully Tier I-compliant single vehicle design
equipped with additional CEM features shall be subject to the
following collision scenarios to ensure appropriate performance of
the crush zone and stable load transmission.

In-Line Collision Scenario Between Identical Trains

    The new single car or locomotive design shall be placed into a
reference train composed of vehicles of similar design, the details
of which depend upon whether the single car is a locomotive, cab
car, or an intermediate car. The vehicles shall be in-line without
offset between adjacent cars. The reference train shall be subjected
to a collision with an identical train on level, tangent track as
described below. This symmetric scenario may be simulated by a
collision of the reference train moving at one-half the collision
speed into a rigid, stationary plane whose normal direction is
parallel to the direction of travel (representing the plane of
symmetry). Each car in both trains shall have a weight corresponding
to AW0 and shall not have the brakes applied.

Non-Passenger Carrying Locomotives

    For non-passenger carrying locomotives with CEM features, the
reference train shall consist of five of the non-passenger carrying
CEM locomotives. The closing speed for this collision scenario is
that which is sufficient to exhaust the design energy-absorption
capacity of the leading locomotive crush zone.

CEM-Equipped Cab Cars

    For evaluation of the performance of a CEM-equipped cab car, the
reference train shall consist of five such CEM-equipped cab cars. If
the CEM-equipped cab cars are not all of symmetric design, each end
of the trailing four cars shall have the same crush zone as that of
the non-cab end of the non-symmetric cab car under evaluation. The
closing speed for this collision scenario is that which results in
dissipation of no less than 75 percent of the design energy-
absorption capacity of at least one crush zone at the colliding
interface.

CEM-Equipped Intermediate Cars

    Evaluation of the performance of CEM-equipped intermediate cars
shall be performed using a reference train consisting of four
identical intermediate cars behind a leading vehicle with the
following characteristics:
    (a)(1) The leading vehicle shall be decelerated to zero by:
    (i) A prescribed motion equivalent to a constant, longitudinal
deceleration of 8g; or
    (ii) An application of forces resulting in a deceleration of at
least 8g.
    (2) The point of application of the motion constraint or the
measurement of the resulting speed shall be located in the rear half
of the leading vehicle.
    (b) The trailing end of the leading vehicle shall have the same
crash characteristic as the adjacent end of the coach to be assessed
(if the evaluation vehicle is of a symmetric design), or the same
crash characteristic as the trailing end of the coach to be assessed
(if the evaluation vehicle is of a non-symmetric design), where:
    (1) The crush zone shall be represented with the same degree of
detail as the coach to be assessed; and
    (2) Any additional potential contact surfaces shall be
represented, at a minimum, as rigid geometry.
    (c) The forward structure of the leading vehicle may be
modelled:
    (1) Identically to the coach to be assessed;
    (2) As a lumped mass model with a stiffness not less than the
coach to be assessed; or
    (3) As rigid.
    (d) The criteria for preservation of survival space in Sec.
238.705(b)(1)(i) and (ii) shall apply to the deformable portion of
the lead vehicle, excluding its crush zone.
    (e) The four remaining identical intermediate cars (including
the intermediate car being assessed) shall follow the leading
vehicle described, because CEM-equipped intermediate cars cannot be
placed in the lead position in a train. The intermediate car to be
assessed shall be placed immediately behind the leading vehicle; all
other vehicles are not part of the assessment and may be simplified.
    (f) The closing speed for this collision scenario is that which
results in dissipation of no less than 75 percent of the design
energy-absorption capacity of at least one crush zone at the
colliding interface.

Offset Collision Scenario Between Identical Trains

    An offset simulated collision between identical trains shall be
run under the conditions defined in Sec.  238.707(a) for locomotive-
or cab car-led trains.
    The performance of the evaluated single vehicle in the in-line
and offset collision scenarios shall meet the deformation
requirements in Sec.  238.705(b)(1)(i) and (ii), and, if the single
vehicle being evaluated is a cab car or locomotive, the requirements
in Sec.  238.705(b)(3)(i) through (iv).
0
46. Add appendix K to part 238 to read as follows:

Appendix K to Part 238--Minimum Information for Test Procedures

    The following is the minimum information necessary to be
provided to FRA as part of pre-revenue service acceptance testing
plan procedures under Sec.  238.111(a)(3):

    (a) A clear statement of the test objectives. One of the
principal test objectives shall be to demonstrate that the equipment
meets the safety requirements specified in this part when operated
in the environment in which it is to be used.
    (b) Dates, times, and locations of the pre-revenue service tests
to permit FRA observation of such tests.
    (c) Any special safety precautions to be observed during
testing.
    (d) A description of the railroad property or test facilities to
be used to conduct the testing.
    (e) Prerequisites for conducting each test.
    (f) A detailed description of how the testing is to be
conducted. This description shall include all the following:
    (1) Identification of the equipment and on-board sub-systems to
be tested.
    (2) The method for testing.
    (3) The instrumentation to be used.
    (4) The means by which the test results will be recorded and
reported.
    (5) A description of the information or data to be obtained.
    (6) A description of any criteria to be used as safety limits
during the testing.
    (7) The acceptance criteria to be used to evaluate the equipment
and on-board sub-systems performance. If acceptance is to be based
on extrapolation of less than full-level testing results, the
analysis to be done to justify the validity of the extrapolation
shall be described.
    (g) Inspection, testing, and maintenance procedures to be
followed to ensure testing is conducted safely.

    Issued in Washington, DC.
Amitabha Bose,
Administrator.
[FR Doc. 2023-05576 Filed 3-31-23; 8:45 am]
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