that fully encloses the underframe of the vehicle, including any
underfloor equipment, to improve aerodynamics and reduce noise. This
material may be considered part of the floor assembly for the purposes
of this test when the evaluation is considering a fire source that is
under and external to this material. To apply the requirement in this
manner, the railroad must also conduct a fire hazard analysis that
includes the considerations in Note 17 of this table, to protect
against a fire source within the space between the undercarriage and
the cowling.
Appendix F to Part 238--Alternative Dynamic Performance Requirements
for Front End Structures of Cab Cars and MU Locomotives.
    FRA is amending appendix F to part 238 to apply this appendix to
Tier III passenger equipment. As noted in the discussion of Sec.
238.711, FRA proposes that the cab ends of Tier III trainsets comply
with the requirements of appendix F to this part to demonstrate the
integrity of the end structure. FRA added appendix F to this part to
provide dynamic performance alternatives to the collision post and
corner post requirements in Sec. Sec.  238.211 and 238.213 for Tier I
passenger equipment. See 75 FR 1180. Because appendix F would continue
to contain alternative requirements for Tier I passenger equipment, and
also apply as the mandatory requirements for Tier III passenger
equipment, FRA may make additional conforming changes to this appendix
at the final rule stage if necessary to clarify the application of this
appendix to both Tier I and Tier IIII passenger equipment. FRA also
notes that appendix F would apply to Tier I alternative passenger
trainsets under proposed appendix G to demonstrate the integrity of the
end structure at the cab ends of these trainsets. While appendix G
would itself contain alternative requirements, all the requirements of
appendix G are intended to apply as a whole. Accordingly, FRA may make
additional conforming changes to this appendix F at the final rule
stage necessary to clarify application of this appendix F to Tier I
alternative passenger trainsets.
Appendix G to Part 238--Alternative Requirements for Evaluating the
Crashworthiness and Occupant Protection Performance of a Tier I
Passenger Trainset
    FRA is proposing to add appendix G to part 238 to provide
alternative crashworthiness and occupant protection performance
requirements for Tier I passenger trainsets instead of the conventional
requirements of Sec. Sec.  238.203, 238.205, 238.207, 238.209(a),
238.211, 238.213, and 238.219 in subpart C of this part. The technical
contents of proposed appendix G remain materially unchanged from those
developed for the original Technical Criteria and Procedures Report.
    FRA intends for these alternative requirements to be applied to a
Tier I trainset as a whole. Accordingly, compliance must be
demonstrated either through application of the conventional
requirements in subpart C, or through application of the requirements
in this appendix G, not a combination of both. They also apply in
addition to the requirements of Sec. Sec.  238.209(b), 238.215,
238.217, and 238.233, APTA standards for occupant protection, and an
AAR recommended practice for locomotive cab seats, as specified in this
appendix. While the appendix may refer to specific units of rail
equipment in a trainset, the alternative requirements in this appendix
would apply only to a Tier I trainset as a whole, as noted above.
    In general, where alternatives to the conventional Tier I
requirements are given in this appendix G, those requirements are also
identified in the Tier III requirements in subpart H--Specific
Requirements for Tier III Passenger Equipment. See the discussion in
the section-by-section analysis for subpart H.
    Use of this appendix to demonstrate alternative crashworthiness and
occupant protection performance for Tier I passenger trainsets is
subject to FRA review and approval under Sec.  238.201.
    Proposed paragraphs (a) through (d) provide alternatives to the
Tier I requirements for occupied volume integrity, override protection,
and fluid entry inhibition and associated penetration resistance. The
referenced alternatives are identified in the proposed Tier III
requirements in subpart H. The alternatives are intended to be applied
to the individual units, such as the individual cars, making up

a Tier I alternative passenger trainset, as specified.
    Proposed paragraph (e) is intended to be applied to each cab end of
a Tier I alternative passenger trainset. This paragraph states that
each cab end must comply with the requirements given in appendix F to
this part. Further, this paragraph explains that while appendix F uses
specific language to refer to ``corner posts'' and ``collision posts,''
alternative designs may not necessarily contain these discrete
structures. Accordingly, this paragraph provides that the requirements
of appendix F apply at the specified locations, regardless of whether
the structure at the specified locations is a post. Overall, this
paragraph is intended to require an equivalent level of performance
from an alternative Tier I design to that of a conventionally-designed,
Tier I compliant vehicle, without overly constraining the design of the
cab end structure.
    Proposed paragraph (f) provides alternatives to the end structure
integrity requirements for each non-cab end of each unit of a Tier I
trainset. The referenced alternatives are identified in the proposed
Tier III requirements in subpart H.
    As proposed in paragraph (g), a Tier I alternative passenger
trainset is subject to the conventional requirements for roof and side
structure integrity in Sec. Sec.  238.215 and 238.217. These
requirements are sufficiently broad to apply to Tier I passenger
trainsets of alternative designs. Accordingly, no regulatory
alternatives are needed.
    Proposed paragraph (h) provides alternatives to the truck
attachment requirements for each unit of a Tier I alternative trainset.
The referenced alternatives are identified in the proposed Tier III
requirements in subpart H.
    Proposed paragraphs (i), (j), and (k) provide that a Tier I
alternative passenger trainset must comply with the conventional Tier I
regulations and industry safety standards for interior fixture
attachment, passenger seat crashworthiness, and crew seat
crashworthiness, respectively.
    Notably, in paragraph (i), FRA is proposing to incorporate by
reference APTA standard PR-CS-S-034-99, Rev. 2, ``Standard for the
Design and Construction of Passenger Railroad Rolling Stock,''
Authorized June 2006, for interior fixtures. The standard is intended
to address forces applied to the carbody and truck structures during
collisions, derailments, and other accident conditions. APTA PR-CS-S-
034-99 is available to all interested parties online at www.apta.com.
Additionally, FRA will maintain a copy available for review.
    Further, in paragraph (j), FRA proposes to incorporate by reference
APTA standard PR-CS-S-016-99, Rev. 2, ``Standard for Passenger Seats in
Passenger Rail Cars,'' Authorized October 2010, with the exception of
Section 6 of the standard, which is related to the durability testing
of seats. FRA considers the durability testing of seats to be beyond
the scope of this proposed regulation for the same reasons discussed
above, under Sec.  238.735.
Appendix H to Part 238--Rigid Locomotive Design Computer Model Input
Data and Geometrical Depiction
    FRA proposes to add this appendix to formally provide input data
and a geometrical depiction necessary to create a computer model of the
rigid (conventional) locomotive design proposed in Sec.  238.705(a)(4)
to use to evaluate the OVI of a Tier III trainset (and a Tier I
alternative passenger trainset under proposed appendix G) in a dynamic
collision scenario. Proposed Sec.  238.705(a) outlines the required
conditions under which a dynamic collision scenario would be performed
involving an initially-moving train impacting an initially-standing
train having the rigid (conventional) locomotive leading its consist.
As proposed in Sec.  238.705(a)(4), the initially-standing train would
be made up of a rigid locomotive and five identical passenger coaches
having the following characteristics: The locomotive weighs 260,000
pounds and each coach weighs 95,000 pounds; the locomotive and each
coach crush in response to applied force as specified in Table 1 to
Sec.  238.705; and the locomotive has a geometric design as depicted in
Figure 1 to this appendix H.
    This appendix is intended to establish a consistent definition for
locomotive geometry to be used to conduct dynamic computer simulations.
The input data, in the form of an input file, contains the geometry for
approximately the first 12 feet of the rigid locomotive design. Because
this input file is for a half-symmetric model, a locomotive mass
corresponding to 130,000 pounds of weight is provided for modeling
purposes--half the 260,000 pounds of weight specified for the
locomotive in Sec.  238.705(a)(4). Figure 1 to this appendix provides
two views of the locomotive's geometric depiction. FRA invites comment
on whether the proposed approach is the best means to provide the data
inputs necessary for the regulated community.

V. Regulatory Impact and Notices

A. Executive Orders 12866 and 13563 and DOT Regulatory Policies and
Procedures

    This proposed rule has been evaluated in accordance with existing
policies and procedures, and determined to be significant under
Executive Order 12866, Executive Order 13563, and DOT policies and
procedures. 44 FR 11034 (Feb. 26, 1979). The proposed rule is
``economically significant'' rule as defined by Section 3(f)(1) of
Executive Order 12866 because it is likely to have an effect of $100
million or more in a single year. FRA has prepared and placed in the
docket a Regulatory Impact Analysis addressing the economic impacts of
this proposed rule. The RIA presents estimates of the quantifiable
costs likely to occur over the next 30 years of the rule as proposed,
as well as estimates of quantifiable benefits that would be generated
by the rule as proposed. Informed by its analysis, FRA believes that
this proposed rule would result in positive net benefits. The proposed
rule would help address several limitations in the CFR pertaining to
passenger equipment.
    FRA is amending its passenger equipment (passenger locomotives
(power units), coaches and train sets) safety regulations. This
proposed rule would add a new equipment tier (Tier III) to facilitate
the safe implementation of HSR up to 220 mph on dedicated rail lines.
The proposal would also establish alternative crashworthiness
performance standards to qualify passenger rail equipment for Tier I
operations (Tier I alternative). In addition, FRA proposes to increase
the maximum allowable speed for Tier II operations from 150 mph to 160
mph. The ETF developed the technical requirements and RSAC approved
them. This proposal attempts to address several limitations in the CFR
pertaining to passenger equipment. Existing passenger equipment safety
standards in 49 CFR part 238 do not address safety requirements for
passenger rail equipment at speeds above 150 mph. Furthermore, the
current regulatory framework establishes Tier I safety compliance by
providing equipment design requirements. Existing regulations for Tier
I equipment limit the application of contemporary design techniques and
recent technology that can improve safety. Additionally, the NPRM would
increase the allowable speed for Tier II equipment making it consistent
with recent changes in 49 CFR parts 213 and 238 relative to

Vehicle/Track Interaction (VTI) Safety Standards.
    FRA believes that approximately $4.6 billion in quantifiable costs
would be borne by the industry over a future 30-year period, with a
present value of $2 billion (when discounted at a 7-percent rate) or
$3.2 billion (when discounted at a 3-percent rate). The identified
quantified costs are related to testing to demonstrate compliance with
either the proposed Tier I alternative or Tier III standards,
inspection, testing and maintenance of brakes, and to expected trainset
modifications. The proposed Tier I standards would provide only an
option for railroads to use a different type or design of passenger
equipment in Tier I service and would not impose any cost on existing
rolling stock or new equipment qualifying under existing regulations.
The proposed Tier III standards would provide an option to FRA's
existing regulatory approach for permitting railroads to operate
equipment in new Tier III service, which is by issuing rules of
particular applicability. The proposed Tier III requirements would not
impose any cost on existing rolling stock or new equipment qualifying
under existing regulations (existing passenger rolling stock is Tier I
and II; there is no Tier III in the U.S. as of yet).

                                             Regulatory Cost Summary
                           [Quantified estimates using a future 30-year time horizon]
----------------------------------------------------------------------------------------------------------------
              Section                        Description           Undiscounted         3%              7%
----------------------------------------------------------------------------------------------------------------
                                                Equipment Related
----------------------------------------------------------------------------------------------------------------
3.2.1..............................  Trainset Tests (Tier I)....      $2,976,600      $1,993,277      $1,310,701
3.2.1..............................  Trainset Tests (Tier III)..       2,928,000       2,008,213       1,334,302
3.2.2..............................  Trainset Maintenance (Tier       36,000,000      23,520,529      14,890,849
                                      I).
3.1.4..............................  Costs Related to ITM Brake       17,150,722      10,147,114       5,548,586
                                      Requirements for Tier III.
3.2.3..............................  Trainset Modifications.....      88,111,000      66,100,340      48,147,529
                                                                 -----------------------------------------------
                                        Equipment Total.........     147,166,322     103,769,473      71,231,967
----------------------------------------------------------------------------------------------------------------
                                             Infrastructure Related
----------------------------------------------------------------------------------------------------------------
3.2.3..............................  Infrastructure Upgrade          400,000,000     253,653,516     154,394,117
                                      (Tier I).
3.2.3..............................  Infrastructure Upgrade        3,960,000,000   2,737,015,815   1,700,773,286
                                      (Tier III).
3.2.4..............................  Track Maintenance (Tier I).      14,577,720       8,082,124       4,044,953
3.2.4..............................  Track Maintenance (Tier         101,750,000      54,984,200      25,785,984
                                      III).
                                                                 -----------------------------------------------
                                        Infrastructure Total....   4,476,327,720   3,053,735,655   1,884,998,340
                                                                 -----------------------------------------------
                                        Total (Equipment and       4,623,494,042   3,157,505,130   1,956,230,309
                                         Infrastructure) \18\.
                                                                 -----------------------------------------------
                                        Annualized..............     154,116,468     161,093,573    157,645,5645
----------------------------------------------------------------------------------------------------------------

    The proposed rule would have a positive effect on society and the
safety performance of the passenger railroad system. Some of the
identified safety benefits are due to the ability to adopt safe
equivalent technology and best practices to better the current safety
environment, and to apply future technological advancements for the
improvement of rail safety. Infrastructure-related benefits dwarf other
quantified benefits (i.e., safety, equipment design and engineering,
and manufacturing benefits). Infrastructure benefits would be generated
by the ability of railroad operators to take advantage of a blended
operating environment, avoiding costly new construction and maintenance
of dedicated track and right-of-way acquisition. This benefit is
especially attractive to railroad operators that provide service in
areas with high population density because right of way acquisition and
new railroad construction is significantly more expensive and complex.
This alternative would increase the probability that new services are
introduced and reduce the need for new construction in densely
populated areas.
---------------------------------------------------------------------------

    \18\ For the purposes of demonstrating a range of costs, the
lower end of the range for total Equipment and Infrastructure is
estimated to be approximately $4.6 billion. Discounted cost
estimates are approximately $3.1 billion at the 3-percent level and
$1.9 billion at the 7-percent level.
---------------------------------------------------------------------------

    The U.S. market would benefit from the regulatory proposal because
the new safety standards would allow more manufacturers to supply
rolling stock and would allow operators to take advantage of a wider
variety of trainsets. Furthermore, the proposal would allow Tier I
alternative and Tier III operations to use service-proven platforms
with the latest technology available. These benefits would be achieved
by ensuring that foreign technology meets FRA's safety requirements and
that all equipment suppliers comply with the same safety standards.
This RIA estimated a range in total benefits that is between $8.7
billion and $16.8 billion over the next 30 years. Of the total, $1.2
billion to $2.1 billion can be allocated to equipment benefits while
the remainder is infrastructure related ($7.5 billion to $14.7
billion). Table 2 provides more detailed benefit estimates and their
discounted values at the 3- and 7-percent levels.\19\
---------------------------------------------------------------------------

    \19\ Tier III benefits are uncertain because they are based on
assumptions regarding the future growth of high-speed rail
operations and how those operations will be incorporated into the
U.S. rail network. It is possible in the extreme, benefits for Tier
III equipment, including infrastructure benefits, will be zero,
which would occur if no high-speed rail projects come to fruition
over the forecast horizon. Similarly, the estimated infrastructure
benefits hinge on the assumption of not having to build dedicated
HSR track for the whole system (i.e., they represent savings from
being able to operate HSR using shared infrastructure). If the
baseline is shared infrastructure, then these benefits will not be
realized. Tier III benefits, including infrastructure benefits, are
provided for expository purposes. Similarly, Tier I benefits from
having performance standards are challenging to quantify, as is
always the case for such benefits. However, given that they provide
an option to design standards, operators would only comply with such
standards, voluntarily making investments, if they found it
beneficial to do so.

                                        Regulatory Benefit Range Summary
                            [Quantified estimates use a future 30-year time horizon]
----------------------------------------------------------------------------------------------------------------
            Section                   Description           Undiscounted            3%                 7%
----------------------------------------------------------------------------------------------------------------
                                                   High Range
----------------------------------------------------------------------------------------------------------------
4.1.4.........................  Trainset Components           $575,000,000       $370,129,150       $229,818,248
                                 (Tier I alternative).
4.1.4.........................  Trainset Component \20\      1,023,760,569        791,314,162        591,529,134
                                 (Tier III).
4.1.5.........................  Trainset Engineering            47,250,000         30,414,961         18,885,064
                                 \21\ (Tier I
                                 alternative).
4.1.5.........................  Trainset Engineering           221,130,000        170,728,740        127,624,437
                                 (Tier III).
4.1.7.........................  Safety (Tier I                  52,597,299         33,483,989         20,553,470
                                 alternative).
4.1.8.........................  Manufacturing Certainty        114,912,792         86,204,443         62,789,786
                                 (Tier I alternative
                                 and Tier III).
4.1.9.........................  Trainset Maintenance            38,304,264         28,734,814         20,929,929
                                 (Tier I alternative
                                 and III).
                                Equipment Subtotal           2,072,704,774      1,511,010,260      1,072,130,069
4.1.6.........................  Infrastructure Subtotal     14,680,000,000      9,735,682,060      5,991,665,872
                                Total                       16,752,704,774     11,246,692,320      7,063,795,941
                                Annualized                     854,710,589        573,797,912        569,245,910
----------------------------------------------------------------------------------------------------------------
                                                    Low Range
----------------------------------------------------------------------------------------------------------------
4.1.4.........................  Trainset Components            115,000,000         74,025,830         45,963,650
                                 (Tier I alternative).
4.1.4.........................  Trainset Component             761,257,859        585,392,942        433,067,170
                                 (Tier III).
4.1.5.........................  Trainset Engineering             9,450,000          6,082,992          3,777,013
                                 (Tier I alternative).
4.1.5.........................  Trainset Engineering           164,243,990        126,300,532         93,435,725
                                 (Tier III).
4.1.7.........................  Safety (Tier I                  52,597,299         33,483,989         20,553,470
                                 alternative).
4.1.8.........................  Manufacturing Certainty         55,830,211         42,551,847         31,246,952
                                 (Tier I alternative
                                 and Tier III).
4.1.9.........................  Trainset Maintenance            17,389,930          9,336,581          4,475,199
                                 (Tier I alternative
                                 and III).
                                Equipment Subtotal           1,175,769,289        877,174,713        632,519,178
4.1.6.........................  Infrastructure Subtotal      7,480,000,000      5,169,918,763      3,212,571,763
                                Total                        8,655,769,289      6,047,093,477      3,845,090,941
                                Annualized                     288,525,643        308,518,230        309,862,050
151...........................  Net Benefits--High.....     12,129,210,732      8,089,187,192      5,107,565,634
                                   Net Benefits--Low...      4,063,300,247      2,912,179,307      1,905,057,812
----------------------------------------------------------------------------------------------------------------

    As shown on Table 2, undiscounted net regulatory benefits would be
substantial and would be between $4.1 billion and $12.1 billion.
Discounted net benefits would be between $2.9 billion (low range) and
$8.1 billion (high range) at the 3-percent level. And net benefits
would be between $1.9 billion (low range) and $5.1 billion (high range)
at the 7-percent level.
---------------------------------------------------------------------------

    \20\ Trainset components are the parts of the trainsets, e.g.
bogies for the coaches, traction motor for the power unit, etc.
    \21\ Trainset Engineering is the design and implementation of
how the trainsets will be put together and constructed.
---------------------------------------------------------------------------

Alternatives Considered
    One of the main purposes of the proposed regulation is to provide a
set of minimum Federal safety requirements to determine whether
passenger equipment platforms designed to contemporary standards
outside of the U.S. are safe for operation in the U.S. rail
environment. Traditionally, U.S. railroad safety regulations evolved as
a consequence of specific accidents scenarios, which have led to the
identification of specific risks in the operating environment. While
FRA seeks to continue ensuring the safety risks are adequately
addressed for the operating environment, the proposed rule places
special emphasis on measures to avoid those risks rather than simply
mitigating them.
    Importantly, the proposed rule does not intend to adopt or
incorporate by reference a specific international design standard.
Doing so may preclude certain equipment manufacturers from competing in
the U.S. market and FRA intends that, to the greatest extent possible,
the U.S. passenger rail market be open to global manufacturers.
    The alternatives FRA considered in establishing the proposed safety
requirements for Tier III trainsets, are the European and Japanese
industry standards. These options provide a continuum of safety
requirements for a range of aspects such as: Varying levels of
regulatory requirements; market accessibility; benefits and costs; and
operational efficiency and safety.
    FRA prepared a high-level cost comparison of those options based on
the key attributes of the alternatives and the effect of those
attributes on societal welfare and the regulatory purpose. However, it
is important to note this is not a direct comparison between comparable
requirements/standards. FRA is comparing the technical requirements of
other established high-speed rail standards to illustrate the primary
differences. FRA expects service-proven equipment produced to these
international standards can comply with the proposed regulation with no
significant changes to the underlying design platform.
European Platform
    Passenger rail equipment crashworthiness and occupant protection
design standards have been largely standardized by Euronorms (EN) 12663
and 15227. These European ``norms'' \22\ or standards were developed
and established by the European Committee for Standardization (CEN).
These ``norms'' are not only intended to serve as safety standards, but
also to ensure efficiency and performance of products and services and
improve the function of markets by removing barriers to trade.
---------------------------------------------------------------------------

    \22\ ``Standard'' means ``norme'' in French and ``norm'' in
German. https://www.cen.eu/work/ENdev/whatisEN/Pages/default.aspx.
---------------------------------------------------------------------------

    FRA estimated the costs required to modify European trainsets to
meet the proposed Tier III requirements in this rule. FRA concludes
that there are no significant differences between trains built to the
design standards contained in ENs 12663 and 15227 and trains built to
meet the crashworthiness and occupant protection requirements in the
proposed rule. FRA estimates that on average trainset prices would
increase $310,250 or 0.62 percent, per trainset. These modifications
would be justified

because they represent a nominal increase in cost while maintaining a
level of occupant protection appropriate for the U.S. passenger rail
operating environment.
Japanese Platform
    Japan introduced the Shinkansen high-speed passenger rail system
about 50 years ago. Railroad safety regulation is governed by the
Railway Bureau, Ministry of Land, Infrastructure and Transport (MLIT)
and is codified in the Technical Regulatory Standards on Railways.\23\
These technical standards are primarily performance based and railways
have the obligation to conform its operations, equipment and
infrastructure to these standards. In the case of the Shinkansen, the
railway is passenger-only and the rail line is entirely dedicated to
high-speed rail passenger service. This is the substantial difference
in the design of Shinkansen trainsets operating in Japan and passenger
rail trainsets currently operating in the U.S. The key to the Japanese
high-speed rail network's ongoing safety and reliability is the
``principle of crash avoidance.'' Unlike the typical operating
environment in the U.S., no conventional train service runs on the
Japanese system and it has full grade separation.
---------------------------------------------------------------------------

    \23\ http://www.mlit.go.jp/english/2006/h_railway_bureau/Laws_concerning/14.pdf.
---------------------------------------------------------------------------

    Although FRA believes that the proposed Tier III requirements would
allow Japanese trainsets to be modified for use in the U.S. market and
be interoperable, it is also expected that those required modifications
would be costly. Indeed, modifying advanced Japanese high-speed
trainsets would likely be cost prohibitive to be interoperable on the
U.S. system; FRA estimates $4.7 million per train set.

B. Regulatory Flexibility Act and Executive Order 13272

    FRA developed the proposed rule in accordance with Executive Order
13272 (``Proper Consideration of Small Entities in Agency Rulemaking'')
and DOT's procedures and policies to promote compliance with the
Regulatory Flexibility Act (5 U.S.C. 601 et seq.) to ensure potential
impacts of rules on small entities are properly considered.
    The Regulatory Flexibility Act requires an agency to review
regulations to assess their impact on small entities. An agency must
conduct a regulatory flexibility analysis unless it determines and
certifies that a rule is not expected to have a significant economic
impact on a substantial number of small entities.
    Existing Passenger Equipment Safety Standards in this part 238 do
not specifically address safety requirements for passenger rail
equipment at speeds above 150 mph. Furthermore, the current regulatory
framework generally sets Tier I safety compliance through equipment
design requirements, which limit the application of recent technology.
The proposed regulation would change the existing passenger rail
equipment safety regulatory framework by introducing a high-speed rail
equipment category (Tier III) and establishing alternative compliance
requirements for conventional train equipment (Tier I) that are more
performance-based. Additionally, the NPRM would increase the maximum
allowable speed for Tier II equipment to make it consistent with the
corresponding speed range in FRA's Track Safety Standards for the track
over which the equipment operates. This Initial Regulatory Flexibility
Analysis is presented to comply with Executive Order 13272 and with the
Regulatory Flexibility Act as part of the formal rulemaking process
required by law.
    FRA has initiated the proposed rulemaking using recommendations by
FRA's RSAC. The proposed regulation would amend part 238 of chapter II,
subtitle B of title 49, Code of Federal Regulations, to reflect new or
modified safety requirements for Tier I and Tier III equipment, and to
increase the authorized speed limit for Tier II equipment.
1. Description of Regulated Entities and Impacts
    The ``universe'' of the entities under consideration includes only
those small entities that can reasonably be expected to be directly
affected by the provisions of this rule as proposed. For the proposed
rule, there is only one type of small entity that would be affected:
Small passenger railroads.
    ``Small entity'' is defined in 5 U.S.C. 601(3) as having the same
meaning as ``small business concern'' under section 3 of the Small
Business Act. This includes any small business concern that is
independently owned and operated, and is not dominant in its field of
operation. 5 U.S.C. 601(5) defines ``small entities'' as governments of
cities, counties, towns, townships, villages, school districts, or
special districts with populations less than 50,000.
    The U.S. Small Business Administration (SBA) stipulates ``size
standards'' for small entities. It provides that industry sectors
relevant for the proposed rulemaking must not exceed the limits listed
below (and still classify as a ``small entity''): \24\
---------------------------------------------------------------------------

    \24\ U.S. Small Business Administration, ``Table of Small
Business Standards Matched to North American Industry Classification
System Codes,'' effective November 5, 2010.
---------------------------------------------------------------------------

     1,000 employees for railroad rolling stock manufacturing.
     1,500 employees for line haul operating railroads.
     500 employees for motor and generator manufacturing.
     500 employees for switching and terminal establishments.
    Federal agencies may adopt their own size standards for small
entities in consultation with SBA, and in conjunction with public
comment. Under the authority provided to it by SBA, FRA published a
final policy, which formally establishes small entities as railroads
that meet the line haulage revenue requirements of a Class III
railroad.\25\ Currently, the revenue requirements are $20 million or
less in annual operating revenue, adjusted annually for inflation. The
$20 million limit (adjusted annually for inflation) is based on the
Surface Transportation Board's threshold of a Class III railroad, which
is adjusted by applying the railroad revenue deflator adjustment.\26\
FRA is proposing to use this definition for this NPRM. Any comments
received pertinent to its use will be addressed in the final rule.
---------------------------------------------------------------------------

    \25\ See 68 FR 24891, May 9, 2003.
    \26\ For further information on the calculation of the specific
dollar limit, please see 49 CFR part 1201.
---------------------------------------------------------------------------

Railroads
    For purposes of this analysis, there are only two intercity
passenger railroads, Amtrak and the Alaska Railroad. Neither is
considered a small entity. Amtrak is a Class I railroad and the Alaska
Railroad is a Class II railroad. The Alaska Railroad is owned by the
State of Alaska, which has a population well in excess of 50,000. There
are currently 28 commuter or other short-haul passenger railroad
operations in the U.S., most of which are part of larger transportation
organizations that receive Federal funds and serve major metropolitan
areas with populations greater than 50,000. However, two of these
passenger railroads do not fall in this category and are considered
small entities: The Hawkeye Express and the Saratoga & North Creek
Railway. The Hawkeye Express provides service to Iowa City, Iowa, and
is owned by a Class III railroad, a small entity. The Saratoga & North
Creek Railway started operations in 2011, serving several stations
between North Creek and Saratoga Springs, New York, and meets

the criteria to be considered a small entity.
    It is important to note that the two railroads being considered in
this analysis use passenger rolling stock that is different from the
equipment covered by the proposed rulemaking. Furthermore, the Hawkeye
Express and the Saratoga & North Creek Railway would be able to find
their current trainset types in the market if they decided to acquire
new rolling stock over the next 30 years.
    This proposal does not increase costs for these small passenger
railroads. FRA expects the cost to acquire passenger rail equipment
would drop as a result of the proposed rulemaking. These two railroads
would have more variety in trainset models available for passenger
operations and options in companies supplying equipment in the U.S.
market. Additionally, small railroads would enjoy lower prices as the
U.S. passenger rail market is enlarged by the proposed rulemaking,
enhancing economies of scale and increasing predictability for
equipment orders.
Passenger Railroad Rolling Stock Manufacturing
    The passenger rail and urban rapid transit equipment manufacturing
sector in the United States has a fairly small number of firms with no
more than 15 Original Equipment Manufacturers (OEM) and a few hundred
component and subcomponent suppliers.\27\ However, for this flexibility
analysis, FRA is taking a broader approach by assessing the effect of
the regulation as proposed on the railroad rolling stock manufacturing
sector as defined by the North American Classification System (NAICS),
which includes the passenger rail and urban rapid transit equipment
manufacturing industry, but goes beyond by also covering freight and
maintenance-of-way vehicles. This approach includes firms that
currently do not manufacture passenger rail equipment, but can
potentially enter the market. Based on data from the U.S. Census
Bureau, employment on these industries is as follows:
---------------------------------------------------------------------------

    \27\ Lowe, M., Tokuoka, S., Dubay, K., and Gereffi, G., ``U.S.
Manufacture of Rail Vehicles for Intercity Passenger Rail and Urban
Transit: A Value Chain Analysis,'' Center on Globalization,
Governance & Competitiveness, June 24, 2010.
---------------------------------------------------------------------------

     NAICS code 336510, Railroad rolling stock manufacturing,
159 firms in the industry, and 137 firms with less than 500 employees.
     NAICS code 335312, Motor and generator manufacturing, 428
firms in the industry, and 384 firms with less than 500 employees.
    The main impact affecting these industries from the rule as
proposed would be the qualification costs for Tier I alternative and
Tier III trainsets. As noted in the Regulatory Impact Analysis,
companies supplying trainsets covered by the rulemaking would be
required to submit test and analysis results to demonstrate compliance
with the safety requirements. However, in the case of rolling stock
manufacturing, this cost would only be incurred by the OEM when
submitting a qualification package, which would include details
regarding the performance of the trainset model in the required tests
and analyses. Therefore, small and very small firms supplying OEMs are
not expected to be required to submit that information. Small firms
could be expected to benefit from existing requirements for minimum
domestic content as more trainsets are purchased by U.S. railroad
operators. Small business would have the opportunity to supply OEMs
with domestic inputs and to partner with larger firms to allow small
domestic producers to meet the needs of the market being created by the
regulatory proposal. This means that FRA expects the proposed
rulemaking to have only a positive impact on these small entities as
more of them are provided with the opportunity to enter the passenger
railroad equipment manufacturing industry.
Significant Economic Impact Criteria
    Previously, FRA sampled small railroads and found that revenue
averaged approximately $4.7 million (not discounted) in 2006. One
percent of average annual revenue per small railroad would be $47,000.
FRA realizes that some railroads will have revenue than lower $4.7
million. However, FRA estimates that small railroads would not have any
additional expenses over the next ten years to comply with the
requirements as proposed in this NPRM. Based on this, FRA concludes
that the expected burden of this rule as proposed would not have a
significant impact on the competitive position of small entities, or on
the small entity segment of the railroad industry as a whole.
Substantial Number Criteria
    This final rule would likely burden all small railroads that are
not exempt from its scope or application (See 49 CFR 238.3). Thus, as
noted above this proposed rule would impact a substantial number of
small railroads.
2. Certification
    Pursuant to the Regulatory Flexibility Act (5 U.S.C. 605(b)), FRA
certifies that this proposed rule would not have a significant economic
impact on a substantial number of small entities. FRA invites all
interested parties to submit data and information regarding the
potential economic impact that would result from adoption of the
proposals in this NPRM. FRA will consider all comments received in the
public comment process when making a final determination for
certification of the final rule.

C. Paperwork Reduction Act

    The information collection requirements in this proposed rule are
being submitted to the Office of Management and Budget (OMB) for review
and approval in accordance with the Paperwork Reduction Act of 1995 (44
U.S.C. 3501 et seq.). The sections that contain the new, revised, and
current information collection requirements and the estimated time to
fulfill each requirement are as follows:

----------------------------------------------------------------------------------------------------------------
                                      Respondent         Total annual      Average time per      Total annual
           CFR section                 universe            responses           response          burden hours
----------------------------------------------------------------------------------------------------------------
229.47--Emergency Brake Valve--   30 railroads......  30 markings.......  1 minute..........  1
 Marking Brake Pipe Valve as      30 railroads......  5 markings........  1 minute..........  .08
 such.
 --DMU, MU, Control Cab
 Locomotives--Marking Emergency
 Brake Valve as such.
238.7--Waivers..................  30 railroads......  5 waivers.........  2 hours...........  10
238.15--Movement of passenger     30 railroads......  1,000 tags........  3 minutes.........  50
 equipment with power brake       30 railroads......  288 tags..........  3 minutes.........  14
 defect.                          30 railroads......  144 notices.......  3 minutes.........  7
 --Movement of passenger
 equipment--defective en route.
Conditional requirement--Notice.

238.17--Limitations on movement   30 railroads......  200 tags..........  3 minutes.........  10
 of passenger equipment--defects  30 railroads......  76 tags...........  3 minutes.........  4
 found at calendar day insp. &    30 railroads......  38 radio            30 seconds........  .32
 on movement of passenger                              notifications.
 equipment--develops defects en
 route.
 --Special requisites--movement--
 passenger equip.--saf. appl.
 defect.
 --Crew member notifications....
238.21--Petitions for special     30 railroads......  1 petition........  16 hours..........  16
 approval of alternative          30 railroads......  1 petition........  120 hours.........  120
 standards.                       30 railroads......  10 petitions......  40 hours..........  400
 --Petitions for special          Public/RR Industry  4 comments........  1 hour............  4
 approval of alternative
 compliance.
 --Petitions for special
 approval of pre-revenue service
 acceptance testing plan.
 --Comments on petitions........
238.103--Fire Safety............  2 new railroads...  2 analyses........  150 hours.........  300
 --Procuring New Pass.            30 railroads......  1 analysis........  40 hours..........  40
 Equipment--Fire Safety Analysis. 30 railroads/.....  3 analyses........  20 hours..........  60
 --Existing Equipment--Final      APTA..............
 Fire Safety Analysis.
 --Transferring existing
 equipment--.
Revised Fire Safety Analysis....
238.107--Inspection/testing/      30 railroads......  30 reviews........  60 hours..........  1,800
 maintenance plans--Review by
 railroads.
238.109--Employee/Contractor Tr.  7,500 employees/..  2,500 empl./......  1.33 hours........  3,458
 --Training employees--Mech.      100 trainers......  100 trainers......  3 minutes.........  125
 Insp.                            30 railroads......  2,500 record......
 --Recordkeeping--Employee/.....
Contractor Current
 Qualifications.
238.111--Pre-revenue service      9 equipment         2 plans...........  16 hours..........  32
 acceptance testing plan:          manufacturers.     2 plans...........  192 hours.........  384
 Passenger equipment that has     9 equipment         2 plans...........  60 hours..........  120
 previously been used in service   manufacturers.     1 report..........  60 hours..........  60
 in the U.S..                     9 equipment         1 plan............  20 hours..........  20
 --Passenger equipment that has    manufacturers.
 not been previously used in      30 railroads......
 revenue service in the U.S..     30 railroads......
 --Subsequent Equipment Orders..
 --Tier II & Tier III Passenger
 Equipment: Report of Test
 Results to FRA (revised
 requirement).
 --Plan submitted to FRA for
 Tier II or Tier III equipment
 before being placed in service
 (revised requirement).
238.201--New Requirements.......  30 railroads......  1 plan............  40 hours..........  40
Alternative Compliance: Tier I    30 railroads......  1 notice..........  30 minutes........  1
 Passenger equipment--Test plans
 + supporting documentation
 demonstrating compliance.
 --Notice of Tests sent to FRA
 30 days prior to commencement
 of operations.
238.213--Corner Posts--Plan to    30 railroads......  10 plans..........  40 hours..........  400
 meet section's corner post
 requirements for cab car or MU
 locomotives.
238.229--Safety Appliances......  30 railroads......  30 lists..........  1 hour............  30
 --Welded safety appliances       30 railroads......  30 lists..........  1 hour............  30
 considered defective: lists.     30 railroads......  4 tags............  3 minutes.........  .20
 --Lists Identifying Equip. w/    30 railroads......  2 notices.........  1 minute..........  .0333
 Welded Saf. App.                 30 railroads......  30 plans..........  16 hours..........  480
 --Defective Welded Saf.          30 railroads......  60 workers........  4 hours...........  240
 Appliance--Tags.                 30 railroads......  1 record..........  2.25 hours........  2
 --Notification to Crewmembers    30 railroads......  15 petitions......  4 hours...........  60
 about Non- Compliant Equipment.  30 railroads......  3,060 records.....  12 minutes........  612
 --Inspection plans.............
 --Inspection Personnel--
 Training.
 --Remedial action: Defect/crack
 in weld--record.
 --Petitions for special
 approval of alternative
 compliance--impractical
 equipment design.
 --Records of inspection/repair
 of welded safety appliance
 brackets/supports/Training.

238.230--Safety Appliances--New   30 railroads......  100 records.......  6 minutes.........  10
 Equipment--Inspection Record of  30 railroads......  15 document.......  4 hours...........  60
 Welded Equipment by Qualified
 Employee.
 --Welded safety appliances:
 Documentation for equipment
 impractically designed to
 mechanically fasten safety
 appliance support.
238.231--Brake System--           30 railroads......  2,500 forms.......  21 minutes........  875
 Inspection and repair of hand/   30 railroads......  30 procedures.....  2 hours...........  60
 parking brake: Records.
 --Procedures Verifying Hold of
 Hand/Parking Brakes.
238.237--Automated monitoring...  30 railroads......  3 documents.......  2 hours...........  6
 --Documentation for alerter/     30 railroads......  25 tags...........  3 minutes.........  1
 deadman control timing.
 --Defective alerter/deadman
 control: Tagging.
238.303--Exterior calendar day    30 railroads......  30 notices........  1 minute..........  1
 mechanical inspection of         30 railroads......  50 tags...........  3 minutes.........  3
 passenger equipment: Notice of   30 railroads......  50 tags...........  3 minutes.........  3
 previous inspection.             30 railroads......  4 documents.......  2 hours...........  8
 --Dynamic brakes not in          30 railroads......  100 notices.......  3 minutes.........  5
 operating mode: Tag.             30 railroads......  100 records.......  2 minutes.........  3
 --Conventional locomotives       30 railroads......  1,959,620.........  10 minutes + 1      359,264
 equipped with inoperative                            records...........   minute.
 dynamic brakes: Tagging.
 --MU passenger equipment found
 with inoperative/ineffective
 air compressors at exterior
 calendar day inspection:
 Documents.
 --Written notice to train crew
 about inoperative/ineffective
 air compressors.
 --Records of inoperative air
 compressors.
 --Record of exterior calendar
 day mechanical inspection.
238.305--Interior calendar day    30 railroads......  540 tags..........  1 minute..........  9
 mechanical inspection of         30 railroads......  1,959,620 records.  5 minutes + 1       359,264
 passenger cars--Tagging of                                                minute.
 defective end/side doors.
 --Records of interior calendar
 day inspection.
238.307--Periodic mechanical      30 railroads......  2 notices/          5 hours...........  10
 inspection of passenger cars     30 railroads......   notifications.     2 minutes.........  7
 and unpowered vehicles--         30 railroads......  200 notices.......  200 hours/........  3,857,443
 Alternative inspection           30 railroads......  19,284 records....  2 minutes.........  500
 intervals: Notifications.                            5 documents.......  100 hours.........
 --Notice of seats/seat
 attachments broken or loose.
 --Records of each periodic
 mechanical inspection.
 --Detailed documentation of
 reliability assessments as
 basis for alternative
 inspection interval.
238.311--Single car test........  30 railroads......  50 tags...........  3 minutes.........  3 hours
 --Tagging to indicate need for
 single car test.
238.313--Class I Brake Test.....  30 railroads......  15,600 records....  30 minutes........  7,800
 --Record for additional
 inspection for passenger
 equipment that does not comply
 with Sec.   238.231(b)(1).
238.315--Class IA brake test....  30 railroads......  18,250 notices....  5 seconds.........  25
 --Notice to train crew that      30 railroads......  365,000 test......  15 seconds........  1,521
 test has been performed (verbal
 notice).
 --Communicating Signal Tested
 and Operating.
238.317--Class II brake test....  30 railroads......  365,000 test......  15 seconds........  1,521
 --Communicating Signal Tested
 and Operating.
238.321--Out-of-service credit--  30 railroads......  1,250 notes.......  2 minutes.........  42
 Passenger Car: Out-of-use
 notation.
238.445--Automated Monitoring...  1 railroad........  10,000 alerts.....  10 seconds........  28
 --Performance monitoring:        1 railroad........  21,900 notices....  20 seconds........  122
 alerters/alarms.
 --Monitoring system: Self-test
 feature: Notifications.
238.503--Inspection, testing,     1 railroad........  1 plan............  1,200 hours.......  1,200
 and maintenance requirements--
 Plans.

238.505--Program approval         Rail Industry.....  3 comments........  3 hours...........  9
 procedures--Submission of
 program/plans and Comments on
 programs.
238.703--Quasi-static Load        2 railroads.......  1 analysis........  40 hours..........  40
 Requirements--Document/analysis
 Tier III Trainsets showing
 compliance with this section
 (new requirement).
238.705--Dynamic Collision        2 railroads.......  1 analysis........  40 hours..........  40
 Scenario--Demonstration of
 Occupied Volume Integrity Tier
 III Trainsets--Model Validation
 document (new requirement).
238.707--Override Protection--    2 railroads.......  1 analysis........  40 hours..........  40
 Anti-climbing Performance Tests/
 .
Analyses Tier III Trainsets--
 (new requirement).
238.709--Fluid Entry Inhibition-- 2 railroads.......  1 analysis........  20 hours..........  20
 Information to demonstrate
 compliance with this section
 Tier III Trainsets--(new
 requirement).
238.721--New Requirements--Safe   2 railroads.......  1 analysis........  480 hours.........  480
 Operation Plans Tier III         5 Glass             1 analysis........  60 hours..........  60
 Trainsets--Addressing Glazing     Manufacturers.     1 written notice..  30 minutes........  1
 Safety and Other Subpart G       5 Glass             1 recert..........  1 second..........  0
 Issues:--End-Facing Document/     Manufacturers.     120 markings......  2 minutes.........  6
 Analysis for Exterior Windows    5 Glass             1 analysis........  10 hours..........  10
 of Tier III Trainsets.            Manufacturers.     240 markings......  2 minutes.........  8
 --30-Day Advance Notice to FRA   5 Glass             1 analysis........  20 hours..........  20
 by glazing manufacturer           Manufacturers.     1, 200 markings...  2 minutes.........  40
 inviting agency representatives  5 Glass             1 alternative       5 hours...........  5
 to witness all tests Tier III     Manufacturers.      standard.
 Passenger Equipment.             5 Glass
 --Glazing Material                Manufacturers.
 Recertification.                 5 Glass
 --Marking of End-facing           Manufacturers.
 exterior windows Tier III        5 Glass
 Trainsets.                        Manufacturers.
 --Cab Glazing; Side Facing       2 railroads.......
 Exterior Window in Tier III
 Cab--document showing
 compliance Type II glaze.
 --Marking of Side-facing
 exterior windows Tier III
 Trainsets.
 --Non-Cab Glazing; Side Facing
 Exterior Window Tier III--
 compliance document Type II
 glaze.
 --Marking of Side-facing
 exterior windows Tier III
 Trainsets Non-cab cars.
 --Alternative standard to FRA
 for side-facing exterior window
 intended to be breakable and
 serve as an emergency window
 exit in accordance with
 railroad's Tier III Safe
 Operation Plan.
238.731--New Requirements--Brake  2 railroads.......  1 analysis/testing  480 hours.........  480
 Systems--RR Analysis and         2 railroads.......  40 stencils/        20 minutes........  13
 testing Tier III trainsets       2 railroads.......   markings.          480 hours.........  480
 maximum safe operating speed.                        1 ITM plan........
 --Tier III trainsets passenger
 brake alarm--legible stenciling/
 marking of devices with words
 ``Passenger Brake Alarm''.
 --Inspection, testing and
 maintenance plan (ITM)--
 Periodic inspection for main
 reservoirs.
238.741--New Requirement -        2 railroads.......  1 plan............  60 hours..........  60
 Emergency window egress and
 rescue plan to FRA for
 passenger cars in Tier III
 trainsets not in compliance
 with sections 238.113 or
 238.114.
238.743--New Requirements--       2 railroads.......  1 analysis/testing  60 hours..........  60
 Emergency Lighting--Tier III
 trainsets--Testing/Analysis.
238.751--New Requirements--       2 railroads.......  1 analysis/testing  200 hours.........  200
 Alerters--Tier III trainsets--
 Testing/Analysis.
----------------------------------------------------------------------------------------------------------------

    All estimates include the time for reviewing instructions,
searching existing data sources, gathering or maintaining the needed
data, and reviewing the information. Under 44 U.S.C. 3506(c)(2)(B), FRA
solicits comments concerning: (1) Whether these information collection
requirements are necessary for the proper performance of the functions
of FRA, including whether the information has practical utility; (2)
the accuracy of FRA's estimates of the burden of the information
collection requirements; (3) the quality, utility, and clarity of the

information to be collected; and (4) whether the burden of collection
of information on those who are to respond, including through the use
of automated collection techniques or other forms of information
technology, may be minimized. For information or a copy of the
paperwork package submitted to OMB, contact Mr. Robert Brogan,
Information Clearance Officer, Federal Railroad Administration, at 202-
493-6292, or Ms. Kimberly Toone, Records Management Officer, Federal
Railroad Administration, at<PHONE_NUMBER>.
    Organizations and individuals desiring to submit comments on the
collection of information requirements should direct them to Mr. Robert
Brogan or Ms. Kimberly Toone, Federal Railroad Administration, 1200 New
Jersey Avenue SE, 3rd Floor, Washington, DC 20590. Comments may also be
submitted via email to Mr. Brogan at<EMAIL_ADDRESS>or to Ms.
Toone at<EMAIL_ADDRESS>    OMB is required to make a decision concerning the collection of
information requirements contained in this proposed rule between 30 and
60 days after publication of this document in the Federal Register.
Therefore, a comment to OMB is best assured of having its full effect
if OMB receives it within 30 days of publication. The final rule will
respond to any OMB or public comments on the information collection
requirements contained in this proposal.
    FRA is not authorized to impose a penalty on persons for violating
information collection requirements which do not display a current OMB
control number, if required. FRA intends to obtain current OMB control
numbers for any new information collection requirements resulting from
this rulemaking action prior to the effective date of the final rule.
The OMB control number, when assigned, will be announced by separate
notice in the Federal Register.

D. Federalism Implications

    Executive Order 13132, ``Federalism'' (64 FR 43255, Aug. 10, 1999),
requires FRA to develop an accountable process to ensure ``meaningful
and timely input by State and local officials in the development of
regulatory policies that have federalism implications.'' ``Policies
that have federalism implications'' are defined in the Executive Order
to include regulations that have ``substantial direct effects on the
States, on the relationship between the national government and the
States, or on the distribution of power and responsibilities among the
various levels of government.'' Under Executive Order 13132, the agency
may not issue a regulation with federalism implications that imposes
substantial direct compliance costs and that is not required by
statute, unless the Federal government provides the funds necessary to
pay the direct compliance costs incurred by State and local
governments, or the agency consults with State and local government
officials early in the process of developing the regulation. Where a
regulation has federalism implications and preempts State law, the
agency seeks to consult with State and local officials in the process
of developing the regulation.
    This proposed rule has been analyzed under the principles and
criteria contained in Executive Order 13132. This proposed rule will
not have a substantial effect on the States or their political
subdivisions, and it will not affect the relationships between the
Federal government and the States or their political subdivisions, or
the distribution of power and responsibilities among the various levels
of government. In addition, FRA has determined that this regulatory
action will not impose substantial direct compliance costs on the
States or their political subdivisions. Therefore, the consultation and
funding requirements of Executive Order 13132 do not apply.
    However, the final rule arising from this rulemaking could have
preemptive effect by operation of law under certain provisions of the
Federal railroad safety statutes, specifically the former Federal
Railroad Safety Act of 1970, repealed and recodified at 49 U.S.C.
20106, and the former Locomotive Boiler Inspection Act (LIA) at 45
U.S.C. 22-34, repealed and re-codified at 49 U.S.C. 20701-20703.
Section 20106 provides that States may not adopt or continue in effect
any law, regulation, or order related to railroad safety or security
that covers the subject matter of a regulation prescribed or order
issued by the Secretary of Transportation (with respect to railroad
safety matters) or the Secretary of Homeland Security (with respect to
railroad security matters), except when the State law, regulation, or
order qualifies under the ``essentially local safety or security
hazard'' exception to section 20106. Moreover, the former LIA has been
interpreted by the Supreme Court as preempting the field concerning
locomotive safety. See Napier v. Atlantic Coast Line R.R., 272 U.S. 605
(1926).

E. International Trade Impact Assessment

    The Trade Agreements Act of 1979 (Public Law 96-39, 19 U.S.C. 2501
et seq.) prohibits Federal agencies from engaging in any standards or
related activities that create unnecessary obstacles to the foreign
commerce of the United States. Legitimate domestic objectives, such as
safety, are not considered unnecessary obstacles. The statute also
requires consideration of international standards and, where
appropriate, that they be the basis for U.S. standards.
    FRA has assessed the potential effect of this rulemaking on foreign
commerce and believes that its proposed requirements are consistent
with the Trade Agreements Act. The proposed requirements are safety
standards, which, as noted, are not considered unnecessary obstacles to
trade. Moreover, FRA has sought, to the extent practicable, to state
the proposed requirements in terms of the performance desired, rather
than in more narrow terms restricted to a particular design or system.

F. Environmental Impact

    FRA has evaluated this NPRM in accordance with the National
Environmental Policy Act (NEPA; 42 U.S.C. 4321 et seq.), other
environmental statutes, related regulatory requirements, and its
``Procedures for Considering Environmental Impacts'' (FRA's Procedures)
(64 FR 28545, May 26, 1999). FRA has determined that this NPRM is
categorically excluded from detailed environmental review pursuant to
section 4(c)(20) of FRA's Procedures, which concerns the promulgation
of railroad safety rules and policy statements that do not result in
significantly increased emissions of air or water pollutants or noise
or increased traffic congestion in any mode of transportation. See 64
FR 28547, May 26, 1999. Categorical exclusions (CEs) are actions
identified in an agency's NEPA implementing procedures that do not
normally have a significant impact on the environment and therefore do
not require either an environmental assessment (EA) or environmental
impact statement (EIS). See 40 CFR 1508.4.
    In analyzing the applicability of a CE, the agency must also
consider whether extraordinary circumstances are present that would
warrant a more detailed environmental review through the preparation of
an EA or EIS. Id. In accordance with section 4(c) and (e) of FRA's
Procedures, the agency has further concluded that no extraordinary
circumstances exist with respect to this proposed regulation that might
trigger the need for a more detailed environmental review. The purpose
of

this rulemaking is to propose amendments to FRA's Passenger Equipment
Safety Standards. This proposed rulemaking would add safety standards
to facilitate the safe implementation of high-speed rail at speeds up
to 220 mph (Tier III). The proposal also would establish
crashworthiness and occupant protection performance requirements in the
alternative to those currently specified for passenger trainsets
operated at speeds up to 125 mph (Tier I). In addition, the proposal
would increase from 150 mph to 160 mph the maximum speed allowable for
the tier of railroad passenger equipment currently operated at the
Nation's highest train speeds (Tier II). FRA does not anticipate any
environmental impacts from the proposed requirements and finds that
there are no extraordinary circumstances present in connection with
this NPRM.

G. Executive Order 12898 (Environmental Justice)

    Executive Order 12898, Federal Actions to Address Environmental
Justice in Minority Populations and Low-Income Populations, and DOT
Order 5610.2(a) (91 FR 27534, May 10, 2012) require DOT agencies to
achieve environmental justice as part of their mission by identifying
and addressing, as appropriate, disproportionately high and adverse
human health or environmental effects, including interrelated social
and economic effects, of their programs, policies, and activities on
minority populations and low-income populations. The DOT Order
instructs DOT agencies to address compliance with Executive Order 12898
and requirements within the DOT Order in rulemaking activities, as
appropriate. FRA has evaluated this proposed rule under Executive Order
12898 and the DOT Order and has determined that it would not cause
disproportionately high and adverse human health and environmental
effects on minority populations or low-income populations.

H. Executive Order 13175 (Tribal Consultation)

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

I. Unfunded Mandates Reform Act of 1995

    Under section 201 of the Unfunded Mandates Reform Act of 1995 (Pub.
L. 104-4, 2 U.S.C. 1531), each Federal agency ``shall, unless otherwise
prohibited by law, assess the effects of Federal regulatory actions on
State, local, and tribal governments, and the private sector (other
than to the extent that such regulations incorporate requirements
specifically set forth in law).'' Section 202 of the Act (2 U.S.C.
1532) further requires that ``before promulgating any general notice of
proposed rulemaking that is likely to result in the promulgation of any
rule that includes any Federal mandate that may result in expenditure
by State, local, and tribal governments, in the aggregate, or by the
private sector, of $100,000,000 or more (adjusted annually for
inflation) in any 1 year, and before promulgating any final rule for
which a general notice of proposed rulemaking was published, the agency
shall prepare a written statement'' detailing the effect on State,
local, and tribal governments and the private sector. This proposed
rule will not result in the expenditure, in the aggregate, of
$100,000,000 or more (as adjusted annually for inflation) in any one
year, and thus preparation of such a statement is not required.

J. Energy Impact

    Executive Order 13211 requires Federal agencies to prepare a
Statement of Energy Effects for any ``significant energy action.'' See
66 FR 28355, May 22, 2001. Under the Executive Order, a ``significant
energy action'' is defined as any action by an agency (normally
published in the Federal Register) that promulgates or is expected to
lead to the promulgation of a final rule or regulation, including
notices of inquiry, advance notices of proposed rulemaking, and notices
of proposed rulemaking: (1)(i) That is a significant regulatory action
under Executive Order 12866 or any successor order, and (ii) is likely
to have a significant adverse effect on the supply, distribution, or
use of energy; or (2) that is designated by the Administrator of the
Office of Information and Regulatory Affairs as a significant energy
action.
    FRA has evaluated this proposed rule in accordance with Executive
Order 13211. FRA has determined that this proposed rule is not likely
to have a significant adverse effect on the supply, distribution, or
use of energy. Consequently, FRA has determined that this regulatory
action is not a ``significant energy action'' within the meaning of the
Executive Order.

K. Privacy Act

    In accordance with 5 U.S.C. 553(c), DOT solicits comments from the
public to better inform its rulemaking process. DOT posts these
comments, without edit, including any personal information the
commenter provides, to www.regulations.gov, as described in the system
of records notice (DOT/ALL-14 FDMS), which can be reviewed at
www.dot.gov/privacy.

L. Analysis Under 1 CFR Part 51

    As required by 1 CFR 51.5, FRA has summarized the standards it is
proposing to incorporate by reference and shown the reasonable
availability of those standards in the section-by-section analysis of
this rulemaking document.

List of Subjects

49 CFR Part 236

    Railroad safety.

49 CFR Part 238

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

The Proposed Rule

    For the reasons discussed in the preamble, FRA proposes to amend
parts 236 and 238 of chapter II, subtitle B of title 49, Code of
Federal Regulations as follows:

PART 236--[AMENDED]

0
1. The authority citation for part 236 continues to read as follows:

    Authority:  49 U.S.C. 20102-20103, 20107, 20133, 20141, 20157,
20301-20303, 20306, 20701-20703, 21301-21302, 21304; 28 U.S.C. 2461,
note; and 49 CFR 1.89.

Subpart I--Positive Train Control Systems

Sec.  236.1007   [Amended]

0
2. In Sec.  236.1007, remove paragraph (d), and redesignate paragraph
(e) as paragraph (d).

PART 238--[AMENDED]

Subpart A--General

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

    Authority:  49 U.S.C. 20103, 20107, 20133, 20141, 20302-20303,
20306, 20701-20702, 21301-21302, 21304; 28 U.S.C. 2461, note; and 49
CFR 1.89.

0
4. Section 238.5 is amended by revising the definitions of ``glazing,
end-

facing'', ``glazing, side-facing'', ``Tier II'', and ``Train, Tier II
passenger'', and adding in alphabetical order definitions of
``Associate Administrator'', ``Cab'', ``Tier III'', ``Trainset, Tier I
alternative passenger'', ``Trainset, Tier III'', and ``Trainset unit''
to read as follows:

Sec.  238.5  Definitions.

* * * * *
    Associate Administrator means Associate Administrator for Railroad
Safety and Chief Safety Officer, Associate Administrator for Railroad
Safety, Associate Administrator for Safety.
* * * * *
    Cab means, for the purposes of subpart H of this part, a
compartment or space in a trainset designed to be occupied by the
engineer and contain an operating console from which the engineer
exercises control over the trainset. This term includes a locomotive
cab.
* * * * *
    Glazing, end-facing means any exterior glazing located where a line
perpendicular to the plane of the glazing material makes a horizontal
angle of 50 degrees or less with the centerline of the vehicle in which
the glazing material is installed, except for: The coupled ends of
multiple-unit (MU) locomotives or other equipment semi-permanently
connected to each other in a train consist; and end doors of passenger
cars at locations other than the cab end of a cab car or MU locomotive.
Any location which, due to curvature of the glazing material, can meet
the criteria for either an end-facing glazing location or a side-facing
glazing location shall be considered an end-facing glazing location.
* * * * *
    Glazing, side-facing means any glazing located where a line
perpendicular to the plane of the glazing material makes a horizontal
angle of more than 50 degrees with the centerline of the vehicle in
which the glazing material is installed. Side-facing glazing also means
glazing located at the coupled ends of MU locomotives or other
equipment semi-permanently connected to each other in a train consist
and glazing located at end doors other than at the cab end of a cab car
or MU locomotive.
* * * * *
    Tier II means operating at speeds exceeding 125 mph but not
exceeding 160 mph.
    Tier III means 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.
* * * * *
    Train, Tier II passenger means a short-distance or long-distance
intercity passenger train providing service at speeds exceeding 125 mph
but not exceeding 160 mph.
* * * * *
    Trainset, Tier I alternative passenger means a trainset consisting
of Tier I passenger equipment designed under the requirements of
appendix G to this part.
    Trainset, Tier III means an intercity passenger train that provides
service 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.
    Trainset unit means a trainset segment located between connecting
arrangements (articulations).
* * * * *
0
5. In Sec.  238.21 revise paragraphs (c)(2) and (d)(2) to read as
follows:

Sec.  238.21  Special approval procedure.

* * * * *
    (c) * * *
    (2) The elements prescribed in Sec. Sec.  238.201(b)(1),
238.229(j)(2), and 238.230(d); and
* * * * *
    (d) * * *
    (2) Each petition for special approval of the pre-revenue service
acceptance testing plan shall be submitted to the Associate
Administrator, Federal Railroad Administration, 1200 New Jersey Avenue
SE., Mail Stop 25, Washington, DC 20590.

Subpart B--Safety Planning and General Requirements

0
6. In Sec.  238.111 revise paragraphs (b)(2), (4), (5), and (7), and
(c) to read as follows:

Sec.  238.111  Pre-revenue service acceptance testing plan.

* * * * *
    (b) * * *
    (2) Submit a copy of the plan to FRA at least 30 days before
testing the equipment and include with that submission notification of
the times and places of the pre-revenue service tests to permit FRA
observation of such tests. For Tier II and Tier III passenger
equipment, the railroad shall obtain FRA approval of the plan under the
procedures specified in Sec.  238.21.
* * * * *
    (4) Document in writing the results of the tests. For Tier II and
Tier III passenger equipment, the railroad shall report the results of
the tests to the Associate Administrator at least 90 days prior to its
intended operation of the equipment in revenue service.
    (5) Correct any safety deficiencies identified in the design of the
equipment or in the ITM procedures uncovered during testing. If safety
deficiencies cannot be corrected by design changes, the railroad shall
impose operational limitations on the revenue service operation of the
equipment designed to ensure the equipment can operate safely. For Tier
II and Tier III passenger equipment, the railroad shall comply with any
operational limitations the Associate Administrator imposes on the
revenue service operation of the equipment for cause stated following
FRA review of the results of the test program. This section does not
restrict a railroad from petitioning FRA for a waiver of a safety
regulation under the procedures specified in part 211 of this chapter.
* * * * *
    (7) For Tier II or Tier III passenger equipment, obtain approval
from the Associate Administrator before placing the equipment in
revenue service. The Associate Administrator will grant such approval
if the railroad demonstrates compliance with the applicable
requirements of this part.
    (c) If a railroad plans a major upgrade or introduction of new
technology to Tier II or Tier III passenger equipment that has been
used in revenue service in the United States and that affects a safety
system on such equipment, the railroad shall follow the procedures in
paragraph (b) of this section before placing the equipment in revenue
service with the major upgrade or introduction of new technology.
* * * * *

Subpart C--Specific Requirements for Tier I Passenger Equipment

0
7. In Sec.  238.201, redesignate paragraph (b) as (b)(1), revise the
first sentence of newly redesignated (b)(1), and add paragraph (b)(2)
to read as follows:

Sec.  238.201  Scope/alternative compliance.

* * * * *
    (b)(1) Passenger equipment of special design shall be deemed to
comply with this subpart, other than Sec.  238.203, for the service
environment the petitioner proposes to operate the equipment in if the
Associate Administrator determines under paragraph (c) of this section
that the equipment provides at least an equivalent level of safety in
such environment for the protection of its occupants from serious
injury in the case of a derailment or collision. * * *

    (2)(i) Tier I passenger trainsets may comply with the alternative
crashworthiness and occupant protection requirements in appendix G to
this part instead of the requirements in Sec. Sec.  238.203, 238.205,
238.207, 238.209(a), 238.211, 238.213, and 238.219.
    (ii) To assess compliance with the alternative requirements, the
railroad shall submit the following documents to the Associate
Administrator, for review:
    (A) Test plans, and supporting documentation for all tests intended
to demonstrate compliance with the alternative requirements and to
validate any computer modeling and analysis used, including notice of
such tests, 30 days before commencing the tests; and
    (B) A carbody crashworthiness and occupant protection compliance
report based on the analysis, calculations, and test data necessary to
demonstrate compliance.
    (iii) The carbody crashworthiness and occupant protection
compliance report shall be deemed acceptable unless the Associate
Administrator stays action by written notice to the railroad within 60
days after receipt of those submissions.
    (A) If the Associate Administrator stays action, the railroad shall
correct any deficiencies FRA identified and notify FRA it has corrected
the deficiencies before placing the subject equipment into service.
    (B) FRA may also impose written conditions necessary for safely
operating the equipment, for cause stated.
* * * * *
0
8. Revise Sec.  238.203(a)(1) to read as follows:

Sec.  238.203  Static end strength.

    (a)(1) Except as further specified in this paragraph, paragraph (d)
of this section, and Sec.  238.201(b)(2), on or after November 8, 1999,
all passenger equipment shall resist a minimum static end load of
800,000 pounds applied on the line of draft without permanent
deformation of the body structure.
* * * * *
0
9. Revise the first sentence of Sec.  238.205(a) to read as follows:

Sec.  238.205  Anti-climbing mechanism.

    (a) Except as provided in paragraph (b) of this section, and Sec.
238.201(b), all passenger equipment placed in service for the first
time on or after September 8, 2000, and prior to March 9, 2010, shall
have at both the forward and rear ends an anti-climbing mechanism
capable of resisting an upward or downward vertical force of 100,000
pounds without failure. * * *
* * * * *
0
10. Revise Sec.  238.207 to read as follows:

Sec.  238.207   Link between coupling mechanism and carbody.

    Except as specified in Sec.  238.201(b), all passenger equipment
placed in service for the first time on or after September 8, 2000,
shall have a coupler carrier at each end designed to resist a vertical
downward thrust from the coupler shank of 100,000 pounds for any normal
horizontal position of the coupler, without permanent deformation.
Passenger equipment connected by articulated joints that complies with
the requirements of Sec.  238.205(a) also complies with the
requirements of this section.
0
11. Amend Sec.  238.209 by adding paragraph (a) introductory text to
read as follows:

Sec.  238.209   Forward end structure of locomotives, including cab
cars and MU locomotives.

    (a) Except as specified in Sec.  238.201(b)--
* * * * *
0
12. Revise Sec.  238.211(a) introductory text to read as follows:

Sec.  238.211   Collision posts.

    (a) Except as further specified in this paragraph, paragraphs (b)
through (d) of this section, Sec.  238.201(b), and Sec.  238.209(b)--
* * * * *
0
13. Revise Sec.  238.213(a)(1) to read as follows:

Sec.  238.213   Corner posts.

    (a)(1) Except as further specified in paragraphs (b) and (c) of
this section, Sec.  238.201(b), and Sec.  238.209(b), each passenger
car shall have at each end of the car, placed ahead of the occupied
volume, two full-height corner posts, each capable of resisting
together with its supporting car body structure:
* * * * *
0
14. Revise the first sentence of Sec.  238.219 to read as follows:

Sec.  238.219   Truck-to-car-body attachment.

    Except as provided in Sec.  238.201(b), passenger equipment shall
have a truck-to-carbody attachment with an ultimate strength sufficient
to resist without failure the following individually applied loads: 2g
vertically on the mass of the truck; and 250,000 pounds in any
horizontal direction on the truck, along with the resulting vertical
reaction to this load. * * *

Subpart E--Specific Requirements for Tier II Passenger Equipment

0
15. Revise the first sentence of Sec.  238.401 to read as follows:

Sec.  238.401   Scope.

    This subpart contains specific requirements for railroad passenger
equipment operating at speeds exceeding 125 mph but not exceeding 160
mph. * * *

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

0
16. Revise Sec.  238.501 to read as follows:

Sec.  238.501   Scope.

    This subpart contains inspection, testing, and maintenance
requirements for railroad passenger equipment that operates at speeds
exceeding 125 mph but not exceeding 160 mph.
0
17. Add subpart H to part 238 to read as follows:

Subpart H--Specific Requirements for Tier III Passenger Equipment

Sec.
238.701 Scope.

Trainset Structure

238.703 Quasi-static compression load requirements.
238.705 Dynamic collision scenario.
238.707 Override protection.
238.709 Fluid entry inhibition.
238.711 End structure integrity of cab end.
238.713 End structure integrity of non-cab end.
238.715 Roof and side structure integrity.
238.717 Truck-to-carbody attachment.

Glazing

238.721 Glazing.

Brake System

238.731 Brake system.

Interior Fittings and Surfaces

238.733 Interior fixture attachment.
238.735 Seat crashworthiness (passenger and cab crew).
238.737 Luggage racks.

Emergency Systems

238.741 Emergency window egress and rescue access.
238.743 Emergency lighting.

Cab Equipment

238.751 Alerters.
238.753 Sanders.

Figure 1 to Subpart H of Part 238--Cylindrical Projectile for Use in
Sec.  238.721 End-Facing Cab-Glazing Testing

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 safety issues
associated with passengers occupying the leading unit are addressed and
mitigated through a comprehensive Safe Operation Plan for Tier III
Passenger Equipment. Demonstration of compliance with the requirements
of this subpart is subject to FRA review and approval under Sec.
238.111.

Trainset Structure

Sec.  238.703   Quasi-static compression load requirements.

    (a) General. To demonstrate resistance to loss of occupied volume,
Tier III trainsets shall comply with both the quasi-static compression
load requirements in paragraph (b) of this section and the dynamic
collision requirements in Sec.  238.705.
    (b) Quasi-static compression load requirements. (1) Each individual
vehicle in a Tier III trainset shall resist a minimum quasi-static end
load applied on the collision load path of:
    (i) 800,000 pounds without permanent deformation of the occupied
volume; or
    (ii) 1,000,000 pounds without exceeding either of the following two
conditions:
    (A) Local plastic strains no greater than 5 percent; and
    (B) Vehicle shortening no greater than 1 percent over any 15-foot
length of the occupied volume; or
    (iii) 1,200,000 pounds without crippling the body structure.
Crippling of the body structure is defined as reaching the maximum
point on the load-versus-displacement characteristic.
    (2) To demonstrate compliance with this section, each type of
vehicle shall be subjected to an end compression load (buff) test with
an end load magnitude no less than 337,000 lbf (1500 kN).
    (3) Compliance with the requirements of paragraph (b) of this
section shall be documented and submitted to FRA for review and
approval.

Sec.  238.705   Dynamic collision scenario.

    (a) General. In addition to the requirements of Sec.  238.703,
occupied volume integrity (OVI) shall also be demonstrated for each
individual vehicle in a Tier III trainset through an evaluation of a
dynamic collision scenario in which a moving train impacts a standing
train under the following conditions:
    (1) The initially-moving train is made up of the equipment
undergoing evaluation at its AW0 ready-to-run weight;
    (2) If trains of varying consist lengths are intended for use in
service, then the shortest and longest consist lengths shall be
evaluated;
    (3) If the initially-moving train is intended for use in push-pull
service, then, as applicable, both the configurations as led by a
locomotive and as led by a cab car shall be evaluated separately;
    (4) The initially-standing train is led by a rigid (conventional)
locomotive and also made up of five identical passenger coaches having
the following characteristics:
    (i) The locomotive weighs 260,000 pounds and each coach weighs
95,000 pounds;
    (ii) The locomotive and each passenger coach crush in response to
applied force as specified in Table 1 to this section; and
    (iii) The locomotive shall be modeled using the data inputs listed
in appendix H to this part so that it has a geometric design as
depicted in Figure 1 to appendix H to this part;
    (5) The scenario shall be evaluated on tangent, level track;
    (6) The initially-moving train shall have an initial velocity of 20
mph if the consist is led by a cab car or MU locomotive, or an initial
velocity of 25 mph if the consist is led by a conventional locomotive;
    (7) The coupler knuckles on the colliding equipment shall be closed
and centered;
    (8) The initially-moving and initially-standing train consists are
not braked;
    (9) The initially-standing train has only one degree-of-freedom
(longitudinal displacement); and
    (10) The model used to demonstrate compliance with the dynamic
collision requirements must be validated. Model validation shall be
documented and submitted to FRA for review and approval.
    (b) Dynamic collision requirements. As a result of the impact
described in paragraph (a) of this section--
    (1) One of the following two conditions must be met for the
occupied volume of the initially-moving train:
    (i) There shall be no more than 10 inches of longitudinal permanent
deformation; or
    (ii) Global vehicle shortening shall not exceed 1 percent over any
15-foot length of occupied volume.
    (2) If Railway Group Standard GM/RT2100, Issue Four, ``Requirements
for Rail Vehicle Structures,'' Rail Safety and Standards Board Ltd.,
December 2010, is used to demonstrate compliance with any of the
requirements in Sec. Sec.  238.733, 238.735, 238.737, or 238.743, then
the average longitudinal deceleration of the center of gravity (CG) of
each vehicle in the initially-moving train during the dynamic collision
scenario shall not exceed 5g during any 100-millisecond (ms) time
period.
    (3) Compliance with each of the following conditions shall also be
demonstrated for the cab of the initially-moving train after the
impact:
    (i) For each seat provided for an employee in the cab, and any
floor-mounted seat in the cab, a survival space shall be maintained
where there is no intrusion for a minimum of 12 inches from each edge
of the seat. Walls or other items originally within this defined space,
not including the operating console, shall not further intrude more
than 1.5 inches towards the seat under evaluation;
    (ii) There shall be a clear exit path for the occupants of the cab;
    (iii) The vertical height of the cab (floor to ceiling) shall not
be reduced by more than 20 percent; and
    (iv) The operating console shall not have moved closer to the
engineer's seat by more than 2 inches; if the engineer's seat is part
of a set of adjacent seats, the requirements of this paragraph apply to
both seats.

    Table 1--Force-Versus-Crush Relationships for Passenger Coach and
                         Conventional Locomotive
------------------------------------------------------------------------
                                                      Crush      Force
                      Vehicle                         (in)       (lbf)
------------------------------------------------------------------------
Passenger Coach...................................       0             0
                                                         3        80,000
                                                         6     2,500,000
Conventional Locomotive...........................       0             0
                                                         2.5     100,000
                                                         5     2,500,000
------------------------------------------------------------------------

Sec.  238.707   Override protection.

    (a) Colliding equipment. (1) Using the dynamic collision scenario
described in Sec.  238.705(a), anti-climbing performance shall be
evaluated for each of the following sets of initial conditions:
    (i) All vehicles in the initially-moving and initially-standing
train consists are positioned at their nominal running heights; and
    (ii) The lead vehicle of the initially-moving train shall be
perturbed laterally and vertically by 3 inches at the colliding
interface.
    (2) For each set of initial conditions specified in paragraph
(a)(1) of this section, compliance with the following conditions shall
be demonstrated after a dynamic impact:

    (i) The relative difference in elevation between the underframes of
the colliding equipment in the initially-moving and initially-standing
train consists shall not change by more than 4 inches; and
    (ii) The tread of any wheel of the first vehicle of the initially-
moving train shall not rise above the top of the rail by more than 4
inches
    (b) Connected equipment override. (1) Using the dynamic collision
scenario described in Sec.  238.705(a), anti-climbing performance shall
be evaluated for each of the following sets of initial conditions:
    (i) All vehicles in the initially-moving and initially-standing
train consists are positioned at their nominal running heights; and
    (ii) One vehicle is perturbed laterally and vertically by 2 inches,
relative to the adjacent vehicle, at the first vehicle-to-vehicle
interface in the initially-moving train.
    (2) For each set of initial conditions specified in paragraph
(b)(1) of this section, compliance with the following conditions shall
be demonstrated after a dynamic impact:
    (i) The relative difference in elevation between the underframes of
the connected equipment in the initially-moving train shall not change
by more than 4 inches; and
    (ii) The tread of any wheel of the initially-moving train shall not
rise above the top of rail by more than 4 inches.

Sec.  238.709   Fluid entry inhibition.

    (a) The skin covering the forward-facing end of a Tier III trainset
shall be--
    (1) Equivalent to a \1/2\-inch steel plate with yield strength of
25,000 pounds per square inch. Material of higher yield strength may be
used to decrease the required thickness of the material provided at
least an equivalent level of strength is maintained. The sum of the
thicknesses of elements (e.g., skin and structural elements) from the
structural leading edge of the trainset to a point, when projected onto
a vertical plane, just forward of the engineer's normal operating
position, may also be used to satisfy this requirement;
    (2) Designed to inhibit the entry of fluids into the cab; and
    (3) Affixed to the collision posts or other main structural members
of the forward end structure so as to add to the strength of the end
structure.
    (b) Information used to demonstrate compliance with the
requirements of this section shall at a minimum include a list and
drawings of the structural elements considered in satisfying the
requirement of this section, and calculations showing that the
thickness-strength requirement is satisfied.

Sec.  238.711   End structure integrity of cab end.

    The cab ends of Tier III trainsets shall comply with the
requirements of appendix F to this part to demonstrate the integrity of
the end structure. For those units of Tier III trainsets without
identifiable corner or collision posts, the requirements of appendix F
apply to the end structure at each location specified, regardless of
whether the structure is a post.

Sec.  238.713   End structure integrity of non-cab end.

    (a) General. Tier III trainsets shall comply with the requirements
in paragraphs (b) and (c) of this section to demonstrate the integrity
of the end structure for other than the cab ends.
    (b) Collision post requirements. (1) Each unit of a Tier III
trainset shall have at each non-cab end of the unit either:
    (i) Two full-height collision posts, located at approximately the
one-third points laterally. Each collision post shall have an ultimate
longitudinal shear strength of not less than 300,000 pounds at a point
even with the top of the underframe member to which it is attached. If
reinforcement is used to provide the shear value, the reinforcement
shall have full value for a distance of 18 inches up from the
underframe connection and then taper to a point approximately 30 inches
above the underframe connection; or
    (ii) An equivalent end structure that can withstand the sum of
forces that each collision post in paragraph (b)(1)(i) of this section
is required to withstand. For analysis purposes, the required forces
may be assumed to be evenly distributed at the locations where the
equivalent structure attaches to the underframe.
    (2) Collision posts are not required for the non-cab ends of any
unit with push-back couplers and interlocking anti-climbing mechanisms
in a Tier III trainset, or the non-cab ends of a semi-permanently
coupled consist of trainset units, if the inter-car connection is
capable of preventing disengagement and telescoping to the same extent
as equipment satisfying the anti-climbing and collision post
requirements in subpart C of this part. For demonstrating that the
inter-car connection is capable of preventing such disengagement (and
telescoping), the criteria in Sec.  238.707(b) apply.
    (c) Corner post requirements. (1) Each passenger car in a Tier III
trainset shall have at each non-cab end of the car, placed ahead of the
occupied volume, two side structures capable of resisting a:
    (i) 150,000-pound horizontal force applied at floor height without
failure;
    (ii) 20,000-pound horizontal force applied at roof height without
failure; and
    (iii) 30,000-pound horizontal force applied at a point 18 inches
above the top of the floor without permanent deformation.
    (2) For purposes of this paragraph, the orientation of the applied
horizontal forces shall range from longitudinal inward to transverse
inward.
    (3) For each evaluation load, the load shall be applied to an area
of the structure sufficient to not locally cripple or punch through the
material.
    (4) The load area shall be chosen to be appropriate for the
particular car design and shall not exceed 10 inches by 10 inches.

Sec.  238.715   Roof and side structure integrity.

    To demonstrate roof and side structure integrity, Tier III
trainsets shall comply with the requirements in Sec. Sec.  238.215 and
238.217.

Sec.  238.717   Truck-to-carbody attachment.

    To demonstrate the integrity of truck-to-carbody attachments, each
unit in a Tier III trainset shall:
    (a) Comply with the requirements of Sec.  238.219; or
    (b) Have a truck-to-carbody attachment with strength sufficient to
resist, without yielding, the following individually applied, quasi-
static loads on the mass of the truck at its CG:
    (1) 3g vertically downward;
    (2) 1g laterally, along with the resulting vertical reaction to
this load; and
    (3) Except as provided in paragraph (c) of this section, 5g
longitudinally, along with the resulting vertical reaction to this
load, provided that for the conditions in the dynamic collision
scenario described in Sec.  238.705(a):
    (i) The average longitudinal deceleration at the CG of the
equipment during the impact does not exceed 5g; and
    (ii) The peak longitudinal deceleration of the truck during the
impact does not exceed 10g.
    (c) As an alternative to demonstrating compliance with paragraph
(b)(3) of this section, the truck shall be shown to remain attached
after a dynamic impact under the conditions in the collision scenario
described in Sec.  238.705(a).
    (d) For purposes of paragraph (b) of this section, the mass of the
truck includes axles, wheels, bearings, truck-

mounted brake system, suspension system components, and any other
component attached to the truck by design.
    (e) Truck attachment shall be demonstrated using a validated model.

Glazing

Sec.  238.721   Glazing.

    (a) General. Glazing safety issues associated with operating in a
Tier III environment shall be identified and addressed through a
comprehensive analysis in the railroad's Safe Operation Plan for Tier
III Passenger Equipment that considers right-of-way access control,
intrusion detection, and safety devices to contain thrown or dropped
objects.
    (b) Cab glazing; end-facing. (1) Each end-facing exterior window in
a cab of a Tier III trainset shall comply with the requirements for
Type I glazing in appendix A to part 223 of this chapter, except as
provided in paragraphs (b)(2) through (4) of this section.
    (2) Instead of the large object impact test specified in appendix A
to part 223, each end-facing exterior window in a cab shall demonstrate
compliance with the following requirements of this paragraph:
    (i) The glazing article shall be impacted with a cylindrical
projectile that complies with the following design specifications as
depicted in Figure 1 to this subpart:
    (A) The projectile shall be constructed of aluminum alloy such as
ISO 6362-2:1990, grade 2017A, or its demonstrated equivalent;
    (B) The projectile end cap shall be made of steel;
    (C) The projectile assembly shall weigh 2.2 lbs (-0, +0.044 lbs) or
1 kilogram (kg) (-0, +0.020 kg) and shall have a hemispherical tip.
Material may be removed from the interior of the aluminum portion to
adjust the projectile mass according to the prescribed tolerance. The
hemispherical tip shall have a milled surface with 0.04 inch (1 mm)
grooves; and
    (D) The projectile shall have an overall diameter of 3.7 inches (94
mm) with a nominal internal diameter of 2.76 inches (70 mm).
    (ii) The test of the glazing article shall be deemed satisfactory
if the test projectile does not penetrate the windscreen, the
windscreen remains in its frame, and the witness plate is not marked by
spall.
    (iii) A new projectile shall be used for each test.
    (iv) The glazing article to be tested shall be that which has the
smallest area for each design type. For the test, the glazing article
shall be fixed in a frame of the same construction as that mounted on
the vehicle.
    (v) A minimum of four tests shall be conducted and all must be
deemed satisfactory. Two tests shall be conducted with the complete
glazing article at 32 [deg]F; 9 [deg]F (0 [deg]C  5 [deg]C) and two tests shall be conducted with the complete
glazing article at 68 [deg]F  9 [deg]F (20 [deg]C  5 [deg]C). For the tests to be valid they shall demonstrate that
the core temperature of the complete glazing article during each test
is within the required temperature range.
    (vi) The test glazing article shall be mounted at the same angle
relative to the projectile path as it will be to the direction of
travel when mounted on the vehicle.
    (vii) The projectile's impact velocity shall equal the maximum
operating speed of the Tier III trainset plus 100 mph (160 km/h). The
projectile velocity shall be measured within 13 feet (4 m) of the point
of impact.
    (viii) The point of impact shall be at the geometrical center of
the glazing article.
    (3) Representative samples for large object impact testing of large
Tier III end-facing cab glazing articles may be used instead of the
actual design size provided that the following conditions are met:
    (i) Testing of glazing articles having dimensions greater than 39.4
by 27.6 inches (1,000 mm by 700 mm), excluding framing, may be
performed using a flat sample having the same composition as the
glazing article for which compliance is to be demonstrated. The glazing
manufacturer shall provide documentation containing its technical
justification that testing a flat sample is sufficient to verify
compliance of the glazing article with the requirements of this
paragraph.
    (ii) Flat sample testing is permitted only when no surface of the
full size glazing article contains curvature with a radius less than 98
inches (2,500 mm), and when a complete, finished glazing article is
laid (convex side uppermost) on a flat horizontal surface, the
distance, (measured perpendicularly to the flat surface) between the
flat surface and the inside face of the glazing article is not greater
than 8 inches (200 mm).
    (4) End-facing glazing shall demonstrate sufficient resistance to
spalling, as verified by the large impact projectile test under the
following conditions:
    (i) An annealed aluminum witness plate of maximum thickness 0.006
inches (0.15 mm) and of dimension 19.7 by 19.7 inches (500 mm by 500
mm) is placed vertically behind the sample under test, at a horizontal
distance of 500 mm from the point of impact in the direction of travel
of the projectile or the distance between the point of impact of the
projectile and the location of the engineer's eyes in the engineer's
normal operating position, whichever is less. The center of the witness
plate is aligned with the point of impact.
    (ii) Spalling performance shall be deemed satisfactory if the
aluminum witness plate is not marked.
    (iii) For the purposes of this part, materials used specifically to
protect the cab occupants from spall (i.e., spall shields) shall not be
required to meet the flammability and smoke emission performance
requirements of appendix B to this part.
    (5) Each end-facing exterior window in a cab shall provide
ballistic penetration resistance sufficient to protect cab occupants
from risks and hazards identified by the railroad as part of its Safe
Operation Plan for Tier III Equipment. This protection shall, at a
minimum, meet the requirements of part 223, appendix A.
    (6) Tests performed on glazing materials for demonstration of
compliance with this section shall be certified by either:
    (i) An independent third-party (laboratory, facility, underwriter);
or
    (ii) The glazing manufacturer, by providing FRA the opportunity to
witness all tests by written notice at least 30 days prior to testing.
    (7) Any glazing material certified to meet the requirements of this
section shall be re-certified by the same means (as originally
certified) if any changes are made to the glazing that may affect its
mechanical properties or its mounting arrangement on the vehicle.
    (8) All certification/re-certification documentation shall be made
available to FRA upon request.
    (9) Each end-facing exterior window in a cab shall be permanently
marked, before installation, in such a manner that the marking is
clearly visible after the material has been installed. The marking
shall include:
    (i) The words ``FRA TYPE IHS'' to indicate that the material has
successfully passed the testing requirements specified in this
paragraph (b);
    (ii) The name of the manufacturer; and
    (iii) The type or brand identification of the material.
    (c) Cab glazing; side-facing. Each side-facing exterior window in a
cab of a Tier III trainset shall--
    (1) Comply with the requirements for Type II glazing contained in
appendix A

to part 223 of this chapter, for large-object impact; and
    (2) Maintain the minimum ballistics penetration resistance as
required for end-facing glazing in paragraph (b)(5) of this section.
    (d) Non-cab glazing; side-facing.
    (1) Except as provided in paragraph (d)(2) of this section, each
side-facing exterior window in other than a cab shall comply with the
requirements for Type II glazing contained in appendix A to part 223 of
this chapter.
    (2) Instead of the requirements specified in paragraph (d)(1) of
this section, a side-facing exterior window intended to be breakable
and serve as an emergency window exit under the railroad's Tier III
Safe Operation Plan may comply with an alternative standard that
provides an equivalent level of safety and is approved for use by FRA.
    (e) Glazing securement. Each exterior window shall remain in place
when subjected to:
    (1) The forces due to air pressure differences caused when two
trains pass at the minimum separation for two adjacent tracks, while
traveling in opposite directions, each train traveling at the maximum
authorized speed; and
    (2) The impact forces that the exterior window is required to
resist as specified in this section.

Brake System

Sec.  238.731   Brake system.

    (a) General. Each railroad shall demonstrate through analysis and
testing the maximum safe operating speed for its Tier III trainsets
that results in no thermal damage to equipment or infrastructure during
normal operation of the brake system.
    (b) Minimum performance requirement for brake system. Each Tier III
trainset's brake system shall be capable of stopping the trainset from
its maximum operating speed within the signal spacing existing on the
track over which the trainset is operating under the worst-case
adhesion conditions defined in the railroad's Safe Operation Plan for
Tier III Passenger Equipment.
    (c) Emergency brake system. A Tier III trainset shall be provided
with an emergency brake application feature that produces an
irretrievable stop. An emergency brake application shall be available
at any time, and shall be initiated by either of the following:
    (1) An unintentional parting of the trainset; or
    (2) The train crew at locations specified in the railroad's Safe
Operation Plan for Tier III Passenger Equipment.
    (d) Passenger brake alarm. (1) A means to initiate a passenger
brake alarm shall be provided at two locations in each unit of a Tier
III trainset that is over 45 feet in length. When a unit of the
trainset is 45 feet or less in length, a means to initiate a passenger
brake alarm need only be provided at one location in the unit. These
locations shall be identified in the railroad's Safe Operation Plan for
Tier III Passenger Equipment. The words ``Passenger Brake Alarm'' shall
be legibly stenciled or marked on each device or on an adjacent badge
plate.
    (2) All passenger brake alarms shall be installed so as to prevent
accidental activation.
    (3) During departure from the boarding platform, activation of the
passenger brake alarm shall result in an emergency brake application.
    (4) A passenger brake alarm activation that occurs after the
trainset has safely cleared the boarding platform shall be acknowledged
by the engineer within the time period specified in the railroad's Safe
Operation Plan for Tier III Passenger Equipment for train operation to
remain under the full control of the engineer. The method used to
confirm that the trainset has safely cleared the boarding platform
shall be defined in the railroad's Safe Operation Plan for Tier III
Passenger Equipment.
    (5) If the engineer does not acknowledge the passenger brake alarm
as specified in paragraph (d)(4) of this section, at a minimum, a
retrievable full service brake application shall be automatically
initiated until the trainset has stopped unless the engineer intervenes
as described in paragraph (d)(6) of this section.
    (6) To retrieve the full service brake application described in
paragraph (d)(5) of this section, the engineer must acknowledge the
passenger brake alarm and activate appropriate controls to issue a
command for brake application as specified in the railroad's Safe
Operation Plan for Tier III Passenger Equipment.
    (e) Degraded performance of blended brake system. The following
requirements of this paragraph (e) apply to operation of Tier III
trainsets with blended braking systems to address degraded brake system
performance:
    (1) Loss of power or failure of the dynamic or regenerative brake
shall not result in exceeding the allowable stopping distance defined
in the railroad's Safe Operation Plan for Tier III Passenger Equipment;
    (2) The available friction braking shall be adequate to stop the
trainset safely under the operating conditions defined in the
railroad's Safe Operation Plan for Tier III Passenger Equipment;
    (3) The operational status of the trainset brake system shall be
displayed for the engineer in the operating cab; and
    (4) The railroad shall demonstrate through analysis and testing the
maximum speed for safely operating its Tier III trainsets using only
the friction brake portion of the blended brake with no thermal damage
to equipment or infrastructure.
    (f) Main reservoir system. (1) The main reservoirs in a Tier III
trainset shall be designed and tested to meet the requirements of a
recognized standard specified in the railroad's Safe Operation Plan for
Tier III Passenger Equipment, such as the American Society of
Mechanical Engineers (ASME) Boiler and Pressure Vessel Code for Unfired
Pressure Vessel Section VIII, Division I (ASME Code). The working
pressure shall be 150 psig (10.3 bar) and the corresponding rated
temperature shall be 150[emsp14][deg]F (65 [deg]C) unless otherwise
defined in the railroad's Safe Operation Plan for Tier III Passenger
Equipment. Reservoirs shall be certified based on their size and volume
requirements.
    (2) Each welded steel main reservoir shall be drilled in accordance
with the requirements of a recognized standard specified in the
railroad's Safe Operation Plan for Tier III Passenger Equipment, such
as paragraph UG-25(e) of Section VIII of the ASME Boiler and Pressure
Vessel Code. With the drain opening located at the low point of the
reservoir, one row of holes shall be drilled lengthwise on the
reservoir on a line intersecting the drain opening and sloped to the
drain opening.
    (3) A breach of a welded steel main reservoir at any of the drilled
holes described in paragraph (f)(2) of this section shall be cause for
the reservoir to be condemned and withdrawn from service. Any type of
welded repair to a steel main reservoir is prohibited.
    (g) Aluminum main reservoirs. (1) Aluminum main reservoirs used in
a Tier III trainset shall conform to the requirements of Sec.  229.51
of this chapter.
    (2) Any type of welded repair to an aluminum main reservoir is
prohibited.
    (h) Main reservoir tests. Prior to initial installation, each main
reservoir shall be subjected to a pneumatic or hydrostatic pressure
test based on the maximum working pressure defined in paragraph (f) or
(g) of this section, as appropriate, unless otherwise established by
the railroad's inspection, testing, and maintenance (ITM) plan. Records
of the test date, location, and pressure shall be maintained by the
railroad for the life of the equipment. Periodic inspection

requirements for main reservoirs shall be defined in the railroad's ITM
plan.
    (i) Brake gauges. All mechanical gauges and all devices providing
electronic indication of air pressure that are used by the engineer to
aid in the control or braking of a Tier III trainset shall be located
so they may be conveniently read from the engineer's normal position
during operation of the trainset.
    (j) Brake application/release. (1) Brake actuators shall be
designed to provide brake pad and shoe clearance when the brakes are
released.
    (2) The minimum brake cylinder pressure shall be established to
provide adequate adjustment from minimum service to full service for
proper train operation. The brake cylinder pressure shall be approved
as part of the design review process described in the railroad's Safe
Operation Plan for Tier III Passenger Equipment.
    (k) Foundation brake gear. The railroad shall specify requirements
in its ITM plan for the inspection, testing, and maintenance of the
foundation brake gear.
    (l) Leakage. (1) If a Tier III trainset is equipped with a brake
pipe, the leakage rates shall not exceed the limits defined in either
paragraph (l)(2) of this section, or those defined in the Air
Consumption Analysis included in the railroad's Safe Operation Plan for
Tier III Passenger Equipment, whichever is more restrictive. The method
of inspection for main reservoir pipe leakage shall be prescribed in
the railroad's ITM plan.
    (2) Brake pipe leakage may not exceed 5 p.s.i. per minute; and with
a full service application at maximum brake pipe pressure and with
communication to the brake cylinders closed, the brakes shall remain
applied for at least 5 minutes.
    (m) Slide protection and alarm. (1) A Tier III trainset shall be
equipped with an adhesion control system designed to automatically
adjust the braking force on each wheel to prevent sliding during
braking.
    (2) A wheel-slide alarm that is visual or audible, or both, shall
alert the engineer in the operating cab to wheel-slide conditions on
any axle of the trainset.
    (3) If this system fails to prevent wheel slide within preset
parameters specified in the railroad's Safe Operation Plan for Tier III
Passenger Equipment, then operating restrictions for a trainset with
slide protection devices that are not functioning as intended shall be
specified in the railroad's Safe Operation Plan for Tier III Passenger
Equipment.
    (n) Monitoring and diagnostics. Each Tier III trainset shall be
equipped with a monitoring and diagnostic system that is designed to
automatically assess the functionality of the brake system for the
entire trainset. Details of the system operation and the method of
communication of brake system functionality prior to the departure of
the trainset and while en route shall be described in detail in the
railroad's Safe Operation Plan for Tier III Passenger Equipment.
    (o) Train securement. Independent of the pneumatic brakes, Tier III
equipment shall be equipped with a means of securing the equipment
against unintentional movement when unattended (as defined in Sec.
238.231(h)(4)). The railroad shall specify in its Safe Operation Plan
for Tier III Passenger Equipment the procedures used to secure the
equipment and shall also demonstrate that those procedures effectively
secure the equipment on all grade conditions identified by the
railroad.
    (p) Rescue operation; brake system. A Tier III trainset's brake
system shall be designed to allow a rescue vehicle or trainset to
control its brakes when the trainset is disabled.

Interior Fittings and Surfaces

Sec.  238.733   Interior fixture attachment.

    (a) Tier III trainsets shall comply with the interior fixture
attachment requirements referenced in either of the following
paragraphs:
    (1) Section 238.233 and APTA PR-CS-S-006-98.
    (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) Interior fixture attachment strength is based on a minimum of
5g longitudinal, 3g lateral, and 3g vertical acceleration resistance;
and
    (iii) Use of the standard is carried out in accordance with any
conditions identified in the railroad's Safe Operation Plan for Tier
III Passenger Equipment, as approved by FRA.
    (b) The standards required in this section are 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 Federal Railroad
Administration, Docket Clerk, 1200 New Jersey Avenue SE., Washington,
DC and is available from the sources indicated below. It is also
available for inspection at the National Archives and Records
Administration (NARA). For information on the availability of this
material at NARA, call<PHONE_NUMBER> or go to http://www.archives.gov/federal_register/code_of_federal_regulations/ibr_locations.html.
    (1) American Public Transportation Association, 1666 K Street NW.,
Washington, DC 20006, www.aptastandards.com.
    (i) APTA PR-CS-S-006-98 Rev. 1, ``Standard for Attachment Strength
of Interior Fittings for Passenger Railroad Equipment,'' Authorized
September 2005.
    (ii) [Reserved.]
    (2) Communications, RSSB, Block 2 Angel Square, 1 Torrens Street,
London, England EC1V 1NY, www.rgsonline.co.uk.
    (i) Railway Group Standard GM/RT2100, Issue Four, ``Requirements
for Rail Vehicle Structures,'' Rail Safety and Standards Board Ltd.,
December 2010.
    (ii) [Reserved.]

Sec.  238.735   Seat crashworthiness (passenger and cab crew).

    (a) Passenger seating in Tier III trainsets shall comply with the
requirements referenced in either of the following paragraphs:
    (1) Section 238.233 and APTA PR-CS-S-016-99 excluding Section 6.0,
``Seat durability testing;'' or
    (2) Section 6.2, ``Seats for passengers, personnel, or train
crew,'' of Railway Group Standard GM/RT2100, provided that--
    (i) The conditions of 238.705(b)(2) are met;
    (ii) Seat attachment strength is based on a minimum of 5g
longitudinal, 3g lateral, and 3g vertical acceleration resistance; and
    (iii) Use of the standard is carried out under any conditions
identified in the railroad's Safe Operation Plan for Tier III Passenger
Equipment, as approved by FRA.
    (b) Each seat provided for an employee in the cab of a Tier III
trainset, and any floor-mounted seat in the cab, shall comply with the
requirements in both of the following paragraphs:
    (1) Sections 238.233 (e), (f), and (g), including the loading
requirements of 8g longitudinally, 4g laterally, and 4g vertically; and
    (2) The performance, design, and test criteria of AAR-RP-5104.
    (c) The standards required in this section are 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 Federal Railroad
Administration, Docket Clerk, 1200 New Jersey Avenue SE., Washington,
DC and

are available from the sources indicated below. They are also available
for inspection at NARA. For information on the availability of this
material at NARA, call<PHONE_NUMBER> or go to http://www.archives.gov/federal_register/code_of_federal_regulations/ibr_locations.html.
    (1) American Public Transportation Association, 1666 K Street NW.,
Washington, DC 20006, www.aptastandards.com.
    (i) APTA PR-CS-S-016-99, Rev. 2, ``Standard for Passenger Seats in
Passenger Rail Cars,'' Authorized October 2010.
    (ii) [Reserved.]
    (2) Communications, RSSB, Block 2 Angel Square, 1 Torrens Street,
London, England EC1V 1NY, www.rgsonline.co.uk.
    (i) Railway Group Standard GM/RT2100, Issue Four, ``Requirements
for Rail Vehicle Structures,'' Rail Safety and Standards Board Ltd.,
December 2010.
    (ii) [Reserved.]
    (3) AAR-RP-5104, ``Locomotive Cab Seats,'' April 2008.
    (i) Association of American Railroads, 425 3rd Street SW.,
Washington, DC 20024, aarpublications.com.
    (ii) [Reserved.]

Sec.  238.737   Luggage racks.

    (a) Overhead storage racks shall provide longitudinal and lateral
restraint for stowed articles. These racks shall incorporate transverse
dividers at a maximum spacing of 10 ft. (3 m) to restrain the
longitudinal movement of luggage. To restrain the lateral movement of
luggage, these racks shall also slope downward in the outboard
direction at a minimum ratio of 1:8 with respect to a horizontal plane.
    (b) Luggage racks shall comply with the requirements in either of
the following paragraphs:
    (1) Section 238.233; or
    (2) Section 6.8, ``Luggage stowage,'' of Railway Group Standard GM/
RT2100, provided that--
    (i) The conditions of 238.705(b)(2) are met;
    (ii) Attachment strength is based on a minimum of 5g longitudinal,
3g lateral, and 3g vertical acceleration resistance; and
    (iii) Use of the standard is carried out under any conditions
identified in the railroad's Safe Operation Plan for Tier III Passenger
Equipment, as approved by FRA. In particular, the railroad shall
determine the maximum allowable weight of the luggage stowed for
purposes of evaluating luggage rack attachment strength.
    (c) Railway Group Standard GM/RT2100, Issue Four, ``Requirements
for Rail Vehicle Structures,'' Rail Safety and Standards Board Ltd.,
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
Federal Railroad Administration, Docket Clerk, 1200 New Jersey Avenue
SE., Washington, DC and is available from Communications, RSSB, Block 2
Angel Square, 1 Torrens Street, London, England EC1V 1NY,
www.rgsonline.co.uk. It is also available for inspection at NARA. For
information on the availability of this material at NARA, call 202-741-
6030 or go to http://www.archives.gov/federal_register/code_of_federal_regulations/ibr_locations.html

Emergency Systems

Sec.  238.741   Emergency window egress and rescue access.

    (a) Emergency window egress and rescue access plan. If a passenger
car in a Tier III trainset is not designed to comply with the
requirements in Sec. Sec.  238.113 or 238.114, the railroad shall
submit to FRA for approval an emergency window egress and rescue access
plan during the design review stage. The plan must include, but is not
limited to, the elements in this section.
    (b) Ease of operability. If an emergency window exit in a passenger
car requires the use of a tool, other implement (e.g., hammer), or a
mechanism to permit removal of the window panel from the inside of the
car during an emergency situation, then the plan must demonstrate the
use of the device provides a level of safety equivalent to that
provided by Sec.  238.113(b). In particular, the plan must address the
location, design, and signage and instructions for the device. The
railroad shall also include a provision in its Tier III ITM plan to
inspect for the presence of the device at least each day the car is in
service.
    (c) Dimensions. If the dimensions of a window opening in a
passenger car do not comply with the requirements in Sec. Sec.  238.113
or 238.114, then the plan must demonstrate that at least an equivalent
level of safety is provided.
    (d) Alternative emergency evacuation openings. If a passenger car
employs the use of emergency egress panels or additional door exits
instead of emergency window exits or rescue access windows, then the
plan must demonstrate that such alternative emergency evacuation
openings provide a level of safety at least equivalent to that required
by Sec.  238.113 or Sec.  238.114, or both. The plan must address the
location, design, and signage and instructions for the alternative
emergency evacuation openings.

Sec.  238.743   Emergency lighting.

    (a) Except as provided in paragraph (b) of this section, Tier III
trainsets shall comply with the emergency lighting requirements
specified in Sec.  238.115.
    (b) Emergency lighting 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) Sec.  238.115(b)(4)(ii); or
    (2) Section 6.1.4, ``Security of furniture, equipment and
features,'' of Railway Group Standard GM/RT2100, provided that--
    (i) The conditions of Sec.  238.705(b)(2) are met;
    (ii) Attachment strength is based on a minimum of 5g longitudinal,
3g lateral, and 3g vertical acceleration resistance; and
    (iii) Use of the standard is carried out under any conditions
identified in the railroad's Safe Operation Plan for Tier III Passenger
Equipment, as approved by FRA.(c) Railway Group Standard GM/RT2100,
Issue Four, ``Requirements for Rail Vehicle Structures,'' Rail Safety
and Standards Board Ltd., 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 Federal Railroad Administration, Docket
Clerk, 1200 New Jersey Avenue SE., Washington, DC and is available from
Communications, RSSB, Block 2 Angel Square, 1 Torrens Street, London,
England EC1V 1NY, www.rgsonline.co.uk. It is also available for