[Federal Register Volume 79, Number 58 (Wednesday, March 26, 2014)]
[Proposed Rules]
[Pages 16977-17007]
[FR Doc No: 2014-06482]

Vol. 79

Wednesday,

No. 58

March 26, 2014

Part III

Department of Transportation

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Federal Railroad Administration

49 CFR Part 238

Passenger Train Exterior Side Door Safety; Proposed Rule

Federal Register / Vol. 79 , No. 58 / Wednesday, March 26, 2014 /
Proposed Rules

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DEPARTMENT OF TRANSPORTATION

Federal Railroad Administration

49 CFR Part 238

[Docket No. FRA-2011-0063, Notice No. 1]
RIN 2130-AC34

Passenger Train Exterior Side Door Safety

AGENCY: Federal Railroad Administration (FRA), Department of
Transportation (DOT).

ACTION: Notice of proposed rulemaking (NPRM).

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SUMMARY: FRA is proposing to improve the integrity of passenger train
exterior side door safety systems and promote passenger train safety
overall through new safety standards relating to the safe operation and
use of passenger train exterior side doors. This proposed rule is
intended to limit the number and severity of injuries involving
passenger train exterior side doors and enhance the level of safety for
passengers and train crewmembers.

DATES: Written comments must be received by May 27, 2014. Comments
received after that date will be considered to the extent possible
without incurring additional expense or delay.
    FRA anticipates being able to resolve this rulemaking without a
public, oral hearing. However, if FRA receives a specific request for a
public, oral hearing prior to April 25, 2014, one will be scheduled and
FRA will publish a supplemental notice in the Federal Register to
inform interested parties of the date, time, and location of any such
hearing.

ADDRESSES: Comments: Comments related to Docket No. FRA-2011-0063,
Notice No. 1, may be submitted by any of the following methods:
     Web site: The Federal eRulemaking Portal,
www.regulations.gov. Follow the Web site's online instructions for
submitting comments.
     Fax:<PHONE_NUMBER>.
     Mail: Docket Management Facility, U.S. Department of
Transportation, 1200 New Jersey Avenue SE., Room W12-140, Washington,
DC 20590.
     Hand Delivery: Docket Management Facility, U.S. Department
of Transportation, 1200 New Jersey Avenue SE., Room W12-140 on the
Ground level of the West Building, between 9 a.m. and 5 p.m., Monday
through Friday, except Federal holidays.
    Instructions: All submissions must include the agency name, docket
name, and docket number or Regulatory Identification Number (RIN) for
this rulemaking (2130-AC34). Note that all comments received will be
posted without change to http://www.regulations.gov, including any
personal information provided. Please see the Privacy Act heading in
the SUPPLEMENTARY INFORMATION section of this document for Privacy Act
information related to any submitted comments or materials.
    Docket: For access to the docket to read background documents or
comments received, go to http://www.regulations.gov at any time or
visit the Docket Management Facility, U.S. Department of
Transportation, 1200 New Jersey Avenue SE., Room W12-140 on the Ground
level of the West Building, between 9 a.m. and 5 p.m., Monday through
Friday, except Federal holidays.

FOR FURTHER INFORMATION CONTACT: Daniel Knote, Staff Director,
Passenger Rail Division, U.S. Department of Transportation, Federal
Railroad Administration, Office of Railroad Safety, Mail Stop 25, West
Building 3rd Floor, 1200 New Jersey Avenue SE., Washington, DC 20590
(telephone:<PHONE_NUMBER>); or Brian Roberts, Trial Attorney, U.S.
Department of Transportation, Federal Railroad Administration, Office
of Chief Counsel, Mail Stop 10, West Building 3rd Floor, 1200 New
Jersey Avenue SE., Washington, DC 20590 (telephone:<PHONE_NUMBER>).

SUPPLEMENTARY INFORMATION:

Table of Contents for Supplementary Information

I. Executive Summary
II. Statutory and Regulatory Background
    A. Passenger Equipment Safety Standards Background
    B. The Need for New Design Standards and Operating Practices
Relating to Exterior Side Doors on Passenger Train Equipment
    C. RSAC Overview
    D. Passenger Safety Working Group and General Passenger Safety
Task Force
III. Technical Background
    A. Overview
    B. Scope of FRA Safety Assessment of Passenger Railroads
    C. Uses of Passenger Car Exterior Side Doors
    D. Types of Passenger Car Exterior Side Doors
    E. Exterior Side Door Configurations and Operation
    F. Assessment Findings
    1. Door Position
    2. Door Control Panels
    3. FMECA
    4. Power Door Status
    5. No-Motion Electrical Circuit
    6. End-of-Train Electrical Circuit
    7. Door Safety Features
    8. Traction Inhibit
    9. Malfunctioning Equipment and Door Lock-Out
    10. Malfunctioning Equipment and Door By-Pass
    11. Effects of Throttle Use on Powered Exterior Side Doors
    12. Mixed Consist Operation
    13. Operating Rules
IV. Section-by-Section Analysis
V. Regulatory Impact and Notices
    A. Executive Orders 12866 and 13563 and DOT Regulatory Policies
and Procedures
    B. Regulatory Flexibility Act and Executive Order 13272; Initial
Regulatory Flexibility Assessment
    C. Paperwork Reduction Act
    D. Federalism Implications
    E. International Trade Impact Assessment
    F. Environmental Impact
    G. Unfunded Mandates Reform Act of 1995
    H. Energy Impact
    I. Privacy Act

I. Executive Summary

    FRA is proposing to improve the integrity of passenger train
exterior side door safety systems and promote passenger train safety
overall through new safety standards relating to the safe operation and
use of passenger train exterior side doors. This proposed rule is based
on recommended language developed by the Railroad Safety Advisory
Committee's (RSAC) General Passenger Safety Task Force (Task Force) and
includes new requirements for both powered and manual exterior side
doors and door safety systems on passenger trains. Proposed operating
rules for train crews relating to exterior side doors and their safety
systems on passenger trains as well as new definitions are also
included in this NPRM. In addition, the rule proposes to incorporate by
reference American Public Transportation Association (APTA) Standard
PR-M-S-18-10, ``Standard for Powered Exterior Side Door System Design
for New Passenger Cars'' (2011), which contains a set of minimum
standards for powered exterior side door systems and door system
functioning on new rail passenger cars and locomotives used in
passenger service.
    Other proposed requirements include, but are not limited to:
Equipping new passenger cars with powered side doors with an
obstruction detection system and a door by-pass feature; connecting new
passenger cars with either manual or powered exterior side doors to a
door summary circuit to prohibit the train from developing tractive
power if any of the exterior side doors are open; safety briefing for
train crews to identify crewmember responsibilities as they relate to
the safe operation of the exterior side doors; operating passenger
trains with their exterior side doors and

trap doors closed when in motion between stations, except in limited
circumstances or if prior approval has been received from FRA; and
railroads developing operating rules on how to safely override a door
summary circuit or a no-motion system, or both, as well as how to
safely operate the exterior side doors of a passenger train with
incompatible exterior side door safety systems.
    Through this rulemaking, FRA intends to limit the number and
severity of injuries associated with the use and operation of passenger
train exterior side doors and increase the overall level of safety for
passengers and train crewmembers. FRA analyzed the economic impacts of
this proposed rule against a ``no action'' baseline that reflects what
would happen in the absence of this proposed rule. The proposed
operating rules and adopted APTA standard for new equipment are
expected to prevent about 19 injuries and 0.20 fatalities per year in
the future on average, based on similar incidents in the past. The
estimated benefits from these prevented casualties over a 20-year
period total $81.9 million undiscounted; these estimated benefits have
a present value calculated using a 7 percent discount rate of $42.4
million, and a present value calculated using a 3 percent discount rate
of $60.3 million. Given that some procedural and equipment errors may
still occur in the future, the analysis assumes a 50 percent
effectiveness rate in preventing these types of injuries and
fatalities. In addition, there may be other benefits from the proposed
rule, such as fewer passenger claims for personal property damage,
maintaining passenger goodwill and trust (by reducing these low-
frequency but typically highly-publicized incidents), and by lowering
future maintenance costs (through encouraging the replacement of older
equipment with new passenger cars equipped with more reliable door
safety systems).
    FRA also quantified the incremental burden of the proposed rule
upon commuter and intercity passenger railroads. The primary
contributor to the estimated costs is the train crew's task of
verifying that the door by-pass devices on the train are sealed in the
normal non-by-pass mode, a requirement in the proposed operating rules.
The door by-pass devices are used to override door safety systems in
certain circumstances, for example, allowing a train to develop
tractive power and complete its route. The second greatest cost factor
is the estimated cost to implement some of the proposed door safety
features on new passenger cars and locomotives used in passenger
service with either powered or manual doors. The estimated costs over
the 20-year period of analysis total $15.0 million undiscounted, with a
present value calculated using a 7 percent discount rate of about $8.0
million, and a present value calculated using a 3 percent discount rate
of about $11.2 million. The proposed rule incurs relatively small costs
because most of the initial burdens are expected from changes to
railroad operating rules. The design standards for door safety systems
apply to new passenger cars and locomotives used in passenger service
where they can be installed cost-effectively.
    These costs and benefits result in net positive benefits over 20
years of about $67.0 million undiscounted, with a present value
calculated using a 7 percent discount rate of $34.4 million, and
present value calculated using a 3 percent discount rate of $49.1
million.

II. Statutory and Regulatory Background

A. Passenger Equipment Safety Standards Background

    In September 1994, the Secretary of Transportation (Secretary)
convened a meeting of representatives from all sectors of the rail
industry with the goal of enhancing rail safety. As one of the
initiatives arising from this Rail Safety Summit, the Secretary
announced that DOT would begin developing safety standards for rail
passenger equipment over a five-year period. In November 1994, Congress
adopted the Secretary's schedule for implementing rail passenger
equipment safety regulations and included it in the Federal Railroad
Safety Authorization Act of 1994 (the Act), Public Law 103-440, 108
Stat. 4619, 4623-4624 (November 2, 1994). Congress also authorized the
Secretary to consult with various organizations involved in passenger
train operations for purposes of prescribing and amending these
regulations, as well as issuing orders pursuant to them. Section 215 of
the Act (codified at 49 U.S.C. 20133). The Secretary has delegated such
responsibilities to the Administrator of FRA (see 49 CFR 1.89).
    FRA formed the Passenger Equipment Safety Standards Working Group
to provide FRA with advice in developing the regulations mandated by
Congress, and on May 12, 1999, published a final rule containing a set
of comprehensive safety standards for railroad passenger equipment. See
64 FR 25540. After publication of the final rule, interested parties
filed petitions seeking FRA's reconsideration of certain requirements
contained in the rule, and on June 25, 2002, FRA completed its response
to the petitions for reconsideration. See 67 FR 42892. The product of
this rulemaking was codified primarily at 49 CFR part 238 and
secondarily at 49 CFR parts 216, 223, 229, 231, and 232.
    One of the purposes of the Passenger Equipment Safety Standards is
protecting the safety of passenger train occupants in an emergency
situation, including providing for emergency egress and rescue access
through exterior side doors. See Sec. Sec.  238.235 and 238.439. FRA
has engaged in rulemaking to amend the Passenger Equipment Safety
Standards, and notably, on February 1, 2008, FRA published a final rule
on Passenger Train Emergency Systems addressing: emergency
communication, emergency egress, and rescue access. See 73 FR 6370. FRA
has also established additional requirements for passenger train
emergency systems, including doors used for emergency egress and rescue
access. See Passenger Train Emergency Systems II final rule, published
on November 29, 2013, 78 FR 71785. These subsequent proceedings have
not focused on the safety of doors systems in non-emergency situations,
however.

B. The Need for New Design Standards and Operating Practices Relating
to Exterior Side Doors on Passenger Train Equipment

    FRA's principal reason for initiating this rulemaking is to reduce
the number and severity of injuries caused by exterior side doors
striking or trapping passengers as they board or alight from passenger
trains in non-emergency situations. FRA has observed that incidents
involving exterior side doors in routine use on passenger trains have
previously resulted in casualties and serious injuries. For example, on
November 21, 2006, a New Jersey Transit Rail Operations (NJT) train was
departing a station in Bradley Beach, New Jersey when the closing
exterior side doors of the train caught and held a passenger attempting
to exit the train. The passenger was then dragged by the train along
the station platform as the train was leaving the station. The
passenger died as a result of his injuries.
    Through its investigation of the incident, FRA found that the
assistant conductor of the train was not in the proper position to
monitor all of the train's exterior side doors as they were closing,
because the passenger exited through a door behind where the assistant
conductor was looking. The assistant conductor also did not observe the
door-indicator lights on the door

control panel, which indicated that the exterior side doors on the
passenger car were not all closed as intended. In addition, FRA learned
that the train was being operated with its door by-pass switch
activated, negating the passenger car's door safety system, which was
designed to reopen the exterior side doors after detecting an
obstruction.
    As a result of this incident, NJT reviewed its operating rules and
limited the use of the door by-pass feature in its passenger train
operations. Contemporaneously, FRA issued Safety Advisory 2006-05,
``Notice of Safety Advisory: Passenger Train Safety--Passenger Boarding
or Alighting from Trains'' (71 FR 69606 (December 1, 2006)). The safety
advisory recommended that passenger railroads reassess their rules and
procedures to make certain that trains do not depart a station until
all passengers have successfully boarded or alighted from the train.
The safety advisory also noted the important role of passenger train
crews in the safe operation of a train after a door by-pass switch has
been activated. Passenger railroads were encouraged by FRA to
voluntarily implement the recommendations of the safety advisory.
    Subsequently, there have been other instances where passengers have
become trapped in exterior side doors of trains. On February 2, 2007, a
local police officer witnessed a passenger stuck between the exterior
side doors of a moving Long Island Rail Road (LIRR) train at a station
in New York City, New York. As a result, the passenger's right leg was
dragged on the tactile strip of the station platform, causing abrasions
to the passenger's leg. The police officer stopped the train and pulled
the passenger free from the exterior side doors.
    Some of these instances were ``close calls'' in which passengers
have narrowly avoided injury. On March 4, 2011 in La Grange, Illinois,
a passenger's arm and cane got caught in the closing exterior side
doors of a Northeast Illinois Regional Commuter Railroad Corporation
(Metra) train while attempting to board the train. A fellow passenger
inside the train was able to flip the door's emergency switch just as
the train began to move. As a result, the trapped passenger was
released and able to avoid being dragged down the station platform. A
similar incident occurred on a Metra train on December 19, 2009, when a
four-year-old boy's boot became caught in the exterior side doors when
alighting from the train. The child's mother needed to pull the child's
leg free from the train doors as the train was leaving the station.
    As a result of these types of incidents, Metra changed its
operating rules to require a ``second look'' up and down each train
before departing a station. This operating rule requires the conductor
to close all exterior side doors on the train, except the door in which
he or she is standing, to take a second look up and down the station
platform to make sure that all the train's exterior side doors are
closed and clear of passengers. After the second look, the conductor
may then close his or her open door and signal to the train's engineer
to depart the station.
    Based on these types of incidents, and other findings and concerns,
including initial findings from safety assessments of exterior side
door systems on passenger railroads in the northeast region of the
United States, in early 2007 FRA tasked RSAC to review Safety Advisory
2006-5 and develop recommendations for new safety standards to improve
passenger and crewmember safety relating to the operation and use of
exterior side doors. The Task Force, a subgroup of the Passenger Safety
Working Group (Working Group), was assigned to develop these
recommendations.
    The Task Force was already reviewing passenger station gap issues
in April 2007 when it was assigned this task. The Task Force then
assembled the Passenger Door Safety Subgroup (Door Safety Subgroup) to
develop recommended regulatory language to improve the safety of
exterior side door systems on passenger trains. FRA shared with RSAC
its initial findings that many passenger railroads in the Northeast
were not being operated with fully-functional passenger train exterior
side door safety systems, and afterward went on to conduct in-person
assessments of the exterior side door safety systems on a total of
twenty-four passenger railroads throughout the Nation. From these
various inspections, FRA reviewed many different models of passenger
equipment and was able to gain important information about the risks to
passengers and train crews associated with the operation and use of
passenger train exterior side doors. This information was shared with
the Door Safety Subgroup, which met a total of nine times from 2008 to
2011.
    Through its meetings, the Door Safety Subgroup developed proposed
regulatory language to improve the safe use and operation of exterior
side doors on passenger trains. The proposed language was approved by
the Task Force on February 25, 2011. It was then subsequently adopted
by the Working Group and full RSAC on March 31, 2011, and May 20, 2011,
respectively.
    While the Door Safety Subgroup was developing proposed regulatory
language, APTA developed and approved Standard SS-M-18-10, ``Standard
for Powered Exterior Side Door System Design for New Passenger Cars.''
Subsequent to RSAC's approval of the consensus recommendations that are
the basis of this NPRM, APTA changed its numbering nomenclature for its
safety standards, which resulted in the numbering of this standard
changing from SS-M-18-10 to PR-M-S-18-10. This standard is otherwise
identified as PR-M-S-18-10 in this proposed rule; however, the
numbering change has not affected the substantive content of the
standard. This APTA standard contains minimum standards for powered
exterior side door systems and door system function on new rail
passenger cars, as the standard was designed by APTA to be used in
specifications for the procurement of new passenger cars. The standard
addresses door system design requirements at the door level, car level,
and train level. Non-powered doors and other types of doors on
passenger cars that are not exterior side doors are not covered by
APTA's standard. This NPRM proposes to incorporate by reference this
APTA standard for powered exterior side door safety systems on new
passenger cars and connected door safety systems on new locomotives
used in passenger service. A copy of this APTA standard is included in
the docket of this rulemaking for public review.

C. RSAC Overview

    In March 1996, FRA established RSAC as a forum for collaborative
rulemaking and program development. RSAC includes representatives from
all of the agency's major stakeholder groups, including railroads,
labor organizations, suppliers and manufacturers, and other interested
parties. A list of RSAC member groups includes the following:
     American Association of Private Railroad Car Owners
(AAPRCO);
     American Association of State Highway and Transportation
Officials (AASHTO);
     American Chemistry Council;
     American Petroleum Institute;
     American Short Line and Regional Railroad Association
(ASLRRA);
     American Train Dispatchers Association (ATDA);
     APTA;
     Association of American Railroads (AAR);
     Association of Railway Museums;
     Association of State Rail Safety Managers (ASRSM);

     Brotherhood of Locomotive Engineers and Trainmen (BLET);
     Brotherhood of Maintenance of Way Employes Division
(BMWED);
     Brotherhood of Railroad Signalmen (BRS);
     Chlorine Institute;
     Federal Transit Administration (FTA);*
     Fertilizer Institute;
     High Speed Ground Transportation Association;
     Institute of Makers of Explosives;
     International Association of Machinists and Aerospace
Workers;
     International Brotherhood of Electrical Workers;
     Labor Council for Latin American Advancement;*
     League of Railway Industry Women;*
     National Association of Railroad Passengers (NARP);
     National Association of Railway Business Women;*
     National Conference of Firemen & Oilers;
     National Railroad Construction and Maintenance Association
(NRCMA);
     National Railroad Passenger Corporation (Amtrak);
     National Transportation Safety Board (NTSB);*
     Railway Supply Institute (RSI);
     Safe Travel America (STA);
     Secretaria de Comunicaciones y Transporte;*
     Sheet Metal Workers International Association (SMWIA);
     Tourist Railway Association, Inc.;
     Transport Canada;*
     Transport Workers Union of America (TWU);
     Transportation Communications International Union/BRC
(TCIU/BRC);
     Transportation Security Administration (TSA);* and
     United Transportation Union (UTU).
    * Indicates associate, non-voting membership.
    When appropriate, FRA assigns a task to RSAC, and after
consideration and debate, RSAC may accept or reject the task. If the
task is accepted, RSAC establishes a working group that possesses the
appropriate expertise and representation of interests to develop
recommendations to FRA for action on the task. These recommendations
are developed by consensus. A working group may establish one or more
task forces to develop facts and options on a particular aspect of a
given task. The individual task force then provides that information to
the working group for consideration. When a working group comes to
unanimous consensus on recommendations for action, the package is
presented to the full RSAC for a vote. If the proposal is accepted by a
simple majority of RSAC, the proposal is formally recommended to the
Administrator of FRA. FRA then determines what action to take on the
recommendation. Because FRA staff members play an active role at the
working group level in discussing the issues and options and in
drafting the language of the consensus proposal, FRA is often favorably
inclined toward the RSAC recommendation. However, FRA is in no way
bound to follow the recommendation, and the agency exercises its
independent judgment on whether the recommended rule achieves the
agency's regulatory goal(s), is soundly supported, and is in accordance
with policy and legal requirements. Often, FRA varies in some respects
from the RSAC recommendation in developing the actual regulatory
proposal or final rule. Any such variations would be noted and
explained in the rulemaking document issued by FRA. However, to the
maximum extent practicable, FRA utilizes RSAC to provide consensus
recommendations with respect to both proposed and final agency action.
If RSAC is unable to reach consensus on a recommendation for action,
the task is withdrawn and FRA determines the best course of action.

D. Passenger Safety Working Group and General Passenger Safety Task
Force

    In May 2003, RSAC established the Working Group to handle the task
of reviewing passenger equipment safety needs and programs as well as
developing recommendations for specific actions to advance the safety
of rail passenger service. Members of the Working Group, in addition to
FRA, include the following:
     AAR, including members from BNSF Railway Company (BNSF),
CSX Transportation, Inc. (CSXT), and Union Pacific Railroad Company
(UP);
     AAPRCO;
     AASHTO;
     Amtrak;
     APTA, including members from Bombardier, Inc., Herzog
Transit Services, Inc., Interfleet Technology, Inc. (Interfleet,
formerly LDK Engineering, Inc.), LIRR, Maryland Transit Administration
(MTA), Metro-North Commuter Railroad Company (Metro-North), Metra,
Southern California Regional Rail Authority (Metrolink), and
Southeastern Pennsylvania Transportation Authority (SEPTA);
     ASLRRA;
     BLET;
     BRS;
     FTA;
     NARP;
     NTSB;
     RSI;
     SMWIA;
     STA;
     TCIU/BRC;
     TSA;
     TWU; and
     UTU.
    In September 2006, the Working Group established the Task Force
principally to examine the following issues: (1) Exterior side door
securement; (2) passenger safety in train stations; and (3) system
safety plans. Members of the Task Force include representatives from
various organizations that are part of the larger Working Group and, in
addition to FRA, include the following:
     AAR, including members from BNSF, CSXT, Norfolk Southern
Railway Co., and UP;
     AASHTO;
     Amtrak;
     APTA, including members from Alaska Railroad Corporation,
Peninsula Corridor Joint Powers Board (Caltrain), LIRR, Massachusetts
Bay Commuter Railroad (MBCR), Metro-North, MTA, NJT, New Mexico Rail
Runner Express, Port Authority Trans-Hudson, SEPTA, Metrolink, and Utah
Transit Authority;
     ASLRRA;
     ATDA;
     BLET;
     FTA;
     NARP;
     NRCMA;
     NTSB;
     Transport Canada; and
     UTU.
    After being assigned its task by the Working Group, the Task Force
assembled the Door Safety Subgroup to develop recommended regulatory
language to improve the safety of exterior side door systems on
passenger trains. The Door Safety Subgroup consisted of Task Force
members who were interested in addressing the risks associated with the
operation and use of exterior side doors on passenger equipment. The
Door Safety Subgroup met during scheduled Task Force meetings on the
following dates and in the following locations to discuss passenger
train exterior side door safety:
     April 23-24, 2008, in San Diego, CA;
     July 29-30, 2008, in Cambridge, MA;
     December 2, 2008, in Cambridge, MA;
     March 3, 2009, in Arlington, VA;
     April 21, 2009, in Washington, DC;
     May 27-28, 2009, in Cambridge, MA;

     July 7-8, 2009, in Philadelphia, PA;
     October 6-8, 2009, in Orlando, FL; and
     February 24-25, 2011, in Washington, DC
    To aid the Task Force in its delegated task, FRA's Office of Chief
Counsel in conjunction with FRA's Office of Railroad Safety first
drafted proposed regulatory text for discussion purposes at Door Safety
Subgroup meetings. Door Safety Subgroup members would then make changes
to this proposed draft text. Staff from the John A Volpe National
Transportation System Center of the Research and Innovative Technology
Administration also attended these meetings and contributed to the
discussions. Minutes of each of these meetings are part of the docket
in this proceeding and are available for public inspection.
    Through these various discussions, the Door Safety Subgroup
developed proposed regulatory language which was accepted by the Task
Force as a recommendation to the Working Group on February 25, 2011.
The Task Force's consensus language was then subsequently approved by
the Working Group on March 31, 2011. The consensus language was then
presented before the full RSAC on May 20, 2011, where it was approved
by unanimous vote. Thus, the Working Group's recommendation was adopted
by the full RSAC as the recommendation to FRA.
    In issuing this NPRM, FRA is also proposing some regulatory text
that was not expressly part of the RSAC's consensus recommendation. For
instance, for the benefit of the regulated community, in proposed Sec.
238.131(c) FRA identifies other sections in part 238 that include
substantive door safety requirements. Further, the proposed rule makes
clear that all exterior side doors on new intercity passenger train
equipment--in addition to new commuter train equipment--would be
subject to the requirements of proposed Sec.  238.131. FRA strongly
believes that new passenger cars with manual or powered exterior side
doors should have door safety systems and be covered by the
requirements of proposed Sec.  238.131, along with connected door
safety systems on new locomotives used in passenger service. The door
safety system should alert the train crew if an exterior side door is
opened while the train is moving between stations by virtue of the door
status indicator above the opened door and the door summary status
indicator in the engineer's cab. The train should also lose power
through the traction inhibit feature, which all together should allow
the train crew to make a timely response to the incident. FRA invites
comment on this proposal.
    Moreover, FRA makes clear that, in addition to exterior side doors
that are used for the boarding and alighting of passengers at train
stations, other full-sized exterior side doors are included under the
provisions of this proposed rule. For example, full-sized exterior side
doors used for loading baggage or stocking dining car supplies on
passenger cars would be covered under this proposed rule. FRA believes
that these types of exterior side doors should be covered under this
passenger door rulemaking because passengers may be able to access
these full-sized doors and use these doors to exit a train while the
train is in motion between stations. Therefore, such doors should be
incorporated into the train's door safety system so that the train crew
receives some notification if one of these doors is not closed or is
opened while the train is in motion. However, FRA is not seeking to
include small hatches of compartment-sized doors under the requirements
of the proposed rule. FRA also seeks comment on this proposal.
    In addition, it is not FRA's intent to regulate the use or
operation of exterior side doors on private cars through this
rulemaking. However, FRA does invite comment on whether private cars
should be subject to any of the proposed requirements of this
rulemaking. Specifically, FRA invites comment on the extent to which
private cars in a passenger train may affect the safe operation of the
train's door safety system, and, if so, what requirements would be
appropriate to provide for the safe operation of the train's door
safety system. Based on the comments received, in the final rule FRA
may specify requirements affecting private cars to the extent that they
are necessary for the safety of the passenger train as a whole.
    FRA has made others changes from the RSAC recommendation. These
changes are for the purposes of clarity and formatting in the Federal
Register and are not intended to affect the RSAC's consensus. FRA
believes that all the changes made from the RSAC recommendation are
consistent with the intent of the Task Force, Working Group, and full
RSAC. However, FRA invites comment on any proposed regulatory language.
    In this regard, FRA has decided that it is unnecessary to include a
section of the RSAC recommendation that would require powered exterior
side passenger doors to be connected to a manual override device that
is capable of opening the exterior side door when the door is locked
out. FRA is not including such a proposal in this NPRM because this
requirement is a design requirement already covered by regulation,
specifically Sec.  238.112(a) and (b). Please note that this
requirement was formerly contained in Sec. Sec.  238.235(a) and (b) and
238.439(b) for Tier I and Tier II passenger equipment, respectively,
and then consolidated in Sec.  238.112(a) and (b) by the November 29,
2013 Passenger Train Emergency Systems II final rule (78 FR 71785).
However, FRA invites comment on whether these regulations sufficiently
address the Task Force recommendation.
    FRA has also moved an RSAC consensus item proposed under existing
Sec.  238.305 (Interior calendar day mechanical inspection of passenger
cars) to new proposed Sec.  238.133(g)(2). The proposed language would
require that all exterior side door safety system override devices are
inactive and sealed, as part of the calendar day inspection of
passenger cars and locomotives used in passenger service. FRA moved
this consensus item from under Sec.  238.305 to proposed Sec.  238.133
principally because under Sec.  238.305 the proposed requirement would
apply only to Tier I passenger cars (i.e., passenger cars operating at
speeds not exceeding 125 mph) and would not expressly address
conventional (non-passenger-carrying) locomotives used in passenger
service. Therefore, as proposed under Sec.  238.133, the inspection
requirement would apply to all tiers of passenger cars, including Tier
II passenger cars (i.e., passenger cars operating at speeds exceeding
125 mph but not exceeding 150 mph), as well as apply to conventional
locomotives used in passenger service. FRA invites comment on this
proposal.
    Furthermore, FRA is also inviting comment on the implementation
schedule of certain provisions of this rulemaking in proceeding to a
final rule. FRA is proposing that all mechanical requirements for new
passenger cars with manual and powered exterior side doors, along with
connected door safety systems on new locomotives used in passenger
service, apply to equipment ordered on or after 120 days after the date
of publication of the final rule in the Federal Register, or placed in
service for the first time on or after 790 days after the date of
publication of the final rule in the Federal Register. However, for
certain operating rules and training requirements proposed under
Sec. Sec.  238.135 and 238.137, FRA is considering a three-year
implementation period from the effective date of the final rule. FRA
believes this would afford railroads adequate time to train all of
their employees during annual

refresher training without having to incur additional training costs.
FRA requests comment on these proposed implementation dates and invites
suggestions from the regulated community as well as the greater public
on the time schedule for implementing the final rule's requirements.
    Finally, FRA has conformed the proposed rule to changes made to
part 238 by the Passenger Train Emergency Systems II final rule, which
was recently issued. See 78 FR 71785; Nov. 29, 2013.

III. Technical Background

A. Overview

    Passenger railroads have responded to growth in ridership by
expanding rail service, investing in new rail equipment, and
incorporating new technologies into their passenger equipment. This has
resulted in the varied arrangements of powered exterior side doors in
passenger trains today. Many types of these power door systems have
safety features to alert train crewmembers of an obstruction in a door.
    These power door systems are complex. They employ components and
electrical circuits to open and close the exterior side doors and
contain door status indicators, which provide a means to determine
motion and the end of the train. Power door systems operate
electrically from commands given by train crews through signals from
door switches, sensors, relays, and other devices that interface with
and monitor the exterior side doors individually and throughout the
entire trainline circuit. These various appurtenances typically act to
provide a warning when exterior side doors are closing, respond to
obstructions in closing doors, and prevent the doors from opening when
a train is in motion. When connected to the propulsion system, these
devices will inhibit the development of tractive power if an exterior
side door is prevented from closing. Lock-out and by-pass systems are
also employed to allow trains to operate even when equipment related to
the exterior side doors is malfunctioning.
    However, not all passenger cars are equipped with powered exterior
side door systems. In fact, for those passenger railroads with cars
equipped with manually operated exterior side doors or trap doors, some
have allowed the doors to remain open between train stations to
increase operating efficiency. Trap doors are metal plates that, when
raised, reveal a fixed or moving stairwell to facilitate low-level
boarding; to provide for high-level platform boarding, the train crew
closes (or keeps closed) the trap to cover the stairwell. Trap doors
are not, in themselves, exterior side doors, but are manually operated
by the train crew to enable boarding and alighting through the exterior
side doors.

B. Scope of FRA Safety Assessment of Passenger Railroads

    FRA initially reviewed accident data involving passenger train
exterior side doors immediately following the incident in Bradley
Beach, New Jersey, discussed in Section II.B., above. From its review,
FRA determined that while accidents were infrequent they could have
severe consequences. FRA identified numerous factors, conditions, and
components that could adversely impact the safe operation or the
integrity of the door safety system of a passenger train. These include
door position, door controls, door status indicators, no-motion and
end-of-train electrical circuits, power failure, traction-inhibit
throttle movement, mixed consist operation, malfunctioning equipment,
door operating rules, and employee knowledge of the door safety
system(s) on the train he or she is operating.
    As discussed above, FRA decided to perform a safety assessment of
twenty-four railroads operating passenger trains utilizing many
different models of equipment in the United States. These assessments
were performed to identify the risks endangering passenger and crew
safety, specifically when passengers were riding upon, boarding, or
alighting from trains. Analytical techniques were employed to identify
any limitations of the safety features engineered into the trains'
exterior side doors and of the railroads' rules governing their
employees operation of them. Each of the passenger railroads was
assessed individually, and exterior side door safety concerns were
found with virtually all of the railroads surveyed. However, the door
safety concerns varied among the railroads in nature and in degree.
    There are various types of trains that are designed for particular
purposes. The type and sequence of locomotives and cars that are
assembled or coupled together to form a train is referred to as the
train consist. A train consist can be changed frequently at the
railroad's discretion. As part of its assessment, FRA reviewed the
predominant types of passenger train service utilized in the United
States to determine the risks posed to passengers and train crews by
exterior side door safety systems.
    One type of service involves passenger trains with conventional
locomotives in the lead pulling consists of passenger coaches and
sometimes other types of cars such as baggage cars, dining cars, and
sleeping cars. Such trains are common on long-distance, intercity rail
routes operated by Amtrak.
    Most passenger rail service in the Nation is provided by commuter
railroads, which typically operate one or both of the two most common
types of service: Push-pull service and multiple-unit (MU) locomotive
service. Push-pull service is passenger train service typically
operated in one direction of travel with a conventional locomotive in
the rear of the train pushing the consist (the ``push mode'') and with
a cab car in the lead position of the train. The train can then
transition into the opposite direction of travel, where the service is
operated with the conventional locomotive in the lead position of the
train pulling the consist (the ``pull mode'') with the cab car in the
rear of the train. A cab car is both a passenger car and a locomotive.
The car has both seats for passengers and a control cab from which the
engineer can operate the train. Control cables (or electric couplers)
run the length of the train to facilitate commands between the control
cab, passenger cars, and the locomotive. These control cables make up
an electric circuit called the trainline circuit. Electrical cables
also run the length of the train to provide power for heat, light, and
other purposes. Passenger train service using self-propelled electric
or diesel MU locomotives may operate individually, but typically
operate semi-permanently coupled together as a pair or triplet with a
control cab at each end of the train consist. During peak commuting
hours, multiple pairs or triplets of MU locomotives are combined and
operated together to form a single passenger train.
    In Amtrak's Northeast Corridor, high-speed Acela Express passenger
train service is provided using trainsets. Acela Express trainsets are
train consists of specific types of passenger cars such as first class,
business class, and caf[eacute] cars that are semi-permanently coupled
between power cars located at each end of the consist. These trainsets
virtually never change as the power cars and passenger cars are semi-
permanently coupled and integrated together with computer controls. The
power cars provide tractive power to both ends simultaneously and have
a control cab from which the engineer can operate the train but do not
carry passengers.

C. Uses of Passenger Car Exterior Side Doors

    Passenger car exterior side doors are designed for various purposes
on

passenger trains. Most exterior side doors are used for passenger
boarding and alighting at train stations. However, exterior side doors
also have other uses. For example, exterior side doors can be used for
emergency responder access and passenger egress during emergency
situations, whether or not the doors are normally used for passenger
boarding or alighting. As previously stated, exterior side doors can
also be used for non-passenger related functions such as loading
baggage or stocking dining car supplies. Exterior side doors that serve
these purposes often vary greatly in size and dimension. In some
instances, these exterior side doors are full-sized doors, while on
other equipment the doors are essentially just small hatches or are
compartment-sized.

D. Types of Passenger Car Exterior Side Doors

    Through its safety assessments of exterior side door safety systems
on passenger trains, FRA reviewed several generations of equipment. FRA
found a wide range of doors and corresponding door safety features with
varying levels of sophistication. The level of sophistication was
generally limited by the technology that was available at the time that
the passenger car was manufactured and the railroad's ability to
purchase, or retrofit, equipment with more sophisticated door safety
features.
    There are three types of exterior side doors in service today:
hinged, sliding, and plug. Hinged doors on a passenger car operate like
a door in a home entranceway. They swing inward into the car, to open,
and back towards the exterior of the car, to close. Exterior sliding
doors on a passenger car are moving panels of various sizes that
retract into pockets within the side walls of the passenger car when
opening. Sliding doors can be designed with one panel or leaf that
slides open and closed. Sliding doors can also consist of two bi-
parting panels or leafs, which open by retracting from each other into
the side wall and close by joining together in the center of the
doorway. Plug doors on a passenger car are comprised of a sliding panel
which opens and slides along the side of the car to open the exterior
side door. However, the sliding panel does not retract into a pocket
like a sliding door; instead, when closed, the door conforms to the
side of the passenger car to seal out environmental noise and minimize
aerodynamic resistance.

E. Exterior Side Door Configurations and Operation

    Passenger railroads use a variety of configurations for the
exterior side doors on the passenger cars in their fleets. FRA reviewed
passenger cars with exterior side doors located at multiple locations
along the sides of the cars: at each end, at their quarter points, and
in the middle.
    Passenger car exterior side doors may be operated manually, or with
either electro-mechanical or electro-pneumatic power. Manually operated
exterior side doors are simple hinged or sliding doors that are
manually operated by passengers or crew members at each station stop.
Powered electro-mechanical doors are doors that employ an electric
motor to drive a mechanical operator for opening and closing. Powered
electro-pneumatic doors, like electro-mechanical doors, employ a
mechanical operator for opening and closing; however, powered electro-
pneumatic doors use compressed air to drive the mechanical operator
instead of an electric motor. The mechanical operators provide opening
and closing force to each door panel or leaf through mechanical linkage
and a gearbox or similar device. All powered door systems require
mechanical door operators.

F. Assessment Findings

    FRA identified a number of key factors, conditions, and components
that could impact passenger and crew safety in relation to the use and
operation of passenger train exterior side doors. These are addressed,
individually, in detail below.
1. Door Position
    FRA reviewed the risk posed by the position of exterior side doors
while passenger trains were in motion. FRA determined that railroads
operating passenger trains with manually operated exterior side doors
cannot control whether an individual door is opened or closed unless a
crew member is present at each door. When a crew member is not present,
passengers themselves can open the exterior side doors of the cars and
exit or enter the train. Therefore, the potential exists for passengers
to jump off or on moving trains at stations. At the same time, FRA
found that other passenger trains were purposefully run with their
manually operated exterior side doors in an open position, even though
in some cases train crewmembers were not stationed at the doors.
    Passenger trains with powered exterior side doors are normally
operated with the doors closed between stations. However, some
passenger railroads operated trains with their doors open between
stations. These passenger stations are in close proximity to each other
and alternate between high- and low-level platforms for passenger
boarding and alighting. The operation of passenger trains with open
exterior side doors presents significant safety concerns as passengers
and crewmembers could potentially fall out of an open door while the
trains are in motion. Due to the safety hazards arising from operating
a passenger train with open exterior side doors, FRA has determined
that, with limited exceptions for crew use only, passenger trains
should have their exterior side doors closed when they are in motion
between stations.
2. Door Control Panels
    Powered exterior side doors on passenger cars are controlled and
operated by door control panels, which are usually located on both
sides of each car. These panels provide an interface between the
train's door system and the train crew, and typically require
activation with a door key. The door key is inserted into the control
panel and is then used to turn the panel on or off. Once the panel is
turned on, a conductor can issue commands to open or close exterior
side doors by pressing buttons on the panel. Some passenger trains have
door control panels that allow only local control of the exterior side
doors. This means the conductor can operate the exterior side doors
only in the same car as the door control panel. Other passenger trains
allow their door control panels to operate all exterior side doors on
the side of the train where the panel is activated. This allows the
door control panel in any passenger car to open simultaneously all the
exterior side doors on one side of the train. The conductor also has
the ability to open or close only those doors forward of the activated
panel, those doors rearward of the activated panel, or simply the
single door directly adjacent to the activated panel.
    FRA found many instances in which door control panels were left
energized after the door control panel key was removed. This can occur
when the keyhole for the door control panel key is worn or not
maintained and the conductor removes the key without actually turning
off the door control panel. With the door control panel energized,
passengers can press the door-open button on the panel and open one or
more exterior side doors on the train even when the train is still in
motion. This situation can occur on many different types of equipment.
3. FMECA
    As part of its assessment, FRA evaluated how the door systems on

various passenger trains responded to a loss of door control power by
de-energizing the door control circuit breaker. FRA found significantly
different responses on various railroads when door control systems
experienced a circuit failure causing a loss of power. Some exterior
side doors closed, some did not close at all, and others simply stopped
if they were in motion at the time of the failure. Additionally, in a
number of instances, the train could still produce tractive power even
though the door control circuit failure allowed the exterior side doors
to remain open.
    Employees who operate the exterior side doors of a passenger train
should understand how a safety system for a door that they control will
respond to a loss of power. Employees can then take steps to safeguard
against any safety hazards raised by the loss of power. This proposed
rule would require all door systems on new passenger cars and connected
door systems on new locomotives used in passenger service to be subject
to a formal safety analysis that includes a Failure Modes, Effects, and
Criticality Analysis (FMECA) before being placed into service. By
requiring new passenger cars and locomotives used in passenger service
to be subjected to this analysis before being placed into service,
railroads would help ensure that the failure of a single component of a
door safety system would not create an unsafe condition for passengers
and train crewmembers.
4. Power Door Status
    Power door status is monitored by door position switches and can be
conveyed locally or through the trainline circuit using various
arrangements of lights to relay the condition of the doors to the train
crew. On most passenger trains, one or more lights will illuminate on
the interior or exterior of a passenger car above the exterior side
door that is open. The lights will then extinguish when the exterior
side doors are closed.
    If the train's door status is configured with a door summary
circuit for trainline display, one or more lights will illuminate on
the active door control panel when all the doors are closed on that
side of the train. Therefore, if a power door is prevented from
closing, the external and internal lights would remain illuminated and
the trainline door status light on the door control panel would not
illuminate. This door status trainline circuit is often, but not
always, displayed to the engineer as a door closed light in the
locomotive cab. When the light is illuminated it indicates to the
engineer that the exterior side doors on both sides of the train are
closed and that the train is ready to safely leave the station.
    FRA found that all trains with powered exterior side door systems
had some type of door status indicators that could be used by train
crews to determine if there was an obstruction in the exterior side
doors. However, in many instances the door status indicators were not
being used as intended by on-board personnel. In some case, these
indicators were not utilized by crewmembers because the indicators'
lens color was not maintained properly and therefore not reliable. In
other cases, FRA found that train crews looked in the general location
of an indicator light on a door control panel, but at times mistakenly
read the indication of a different indicator as the door status
indicator because the lens color was not uniformly maintained. Door
status indicators need to be maintained properly for ready and reliable
reference by crewmembers that are tasked with safely operating the door
systems. If properly maintained, these indicators should alert train
crewmembers about a possible obstruction in an exterior side door.
5. No-Motion Electrical Circuit
    No-motion is an electric circuit that is used by the door safety
system to determine if a passenger car or train is moving or not. This
circuit is designed to prevent the exterior side doors of a train from
opening while the train is in motion, except for a crew access door. A
crew access door can be any exterior side door on a passenger train
that a crewmember opens for his or her use with a door control power
key. No-motion electrical circuitry will also cause the exterior side
doors to close when the train accelerates above a pre-determined speed.
In the event that the no-motion circuit malfunctions, the conductor
will not be able to open the exterior side doors using trainline
commands since the circuit is designed to fail safely and the door
system assumes that the train is in motion. However, in the event of
such a malfunction, many passenger cars are equipped with a by-pass
switch that can override the no-motion circuit and enable the exterior
side doors to open.
    During its assessment, FRA discovered that on some railroads train
crews actually used the no-motion circuit to close the exterior side
doors when departing stations. In these instances, train crewmembers
were not closing the exterior side doors using a door control panel,
but instead were using the throttle to accelerate the train and close
the exterior side doors through the no-motion circuit. The assessment
also identified that on many railroads passenger and train crew safety
was at risk because safety-sensitive switches that could impact the
door system, such as the no-motion by-pass switch, were not properly
positioned or protected. An improperly positioned no-motion by-pass
switch presents the risk of an undesired opening of an exterior side
door while the train is in motion, which could go undetected by the
train's crew.
    Exterior side doors should be closed only after the train crew
determines it is safe for the train to depart the station. In order to
protect passenger and train crew safety, the no-motion by-pass switch
should be secured or sealed. This will mitigate the potential of an
accidental activation of this safety-critical device.
6. End-of-Train Electrical Circuit
    The end-of-train electrical circuit is part of the door safety
system. The circuit is used to identify the last passenger car in the
train consist, or the physical end of the train, or both. Door control
system manufacturers have utilized various ways to identify and convey
the end of the train to the door safety system. The end of the train is
identified on different passenger cars by using jumpers, manual or
automatic switches, circuitry in electric couplers, marker lights, or
other devices. Door safety circuits can become compromised when the end
of the train is established somewhere other than the last car of the
train. This can occur by the unintentional activation of an end-of-
train switch. For example, in some passenger cars toggle switches,
which are readily accessible to passengers, are used to establish the
end of the train. If improperly positioned and activated by a passenger
or train crewmember at a location that is not at the end of the train,
all passenger cars that are rearward of the car with the activated end-
of-train switch would not be recognized by the door safety system.
Because the door safety features in those cars would not function, this
would increase the risk of a passenger becoming entangled in a door and
dragged when the train departs the station.
    FRA's assessment identified eight railroads on which safety-
sensitive switches, like the end-of-train switch, were not properly
positioned or protected. End-of-train switches should be secured and
protected to prevent access by unauthorized personnel as well as
unintentional activation, which could compromise the safety of the door

control system and go undetected by the train crew.
7. Door Safety Features
    As touched on above, the sophistication of passenger car door
safety features is just as varied as the arrangement of the exterior
side doors themselves. Hinged-type manually operated exterior side
doors do not utilize any specific door system safety features. Yet, FRA
found that all but one model of passenger cars with manual or powered
sliding-type doors employed a flexible, rubber-like strip of varying
widths on the leading edge of the door. This flexible strip runs from
the floor to the ceiling along the edge of the door to seal the car
interior from environmental conditions. Although not necessarily
intended for a door system safety purpose, this flexible strip or seal
on the edge of the door is pliable and bends, which aids in pulling an
obstruction free from the door. In addition, FRA found that some power
door systems added a door push-back feature intended to aid in freeing
an obstruction in a door. The push-back feature allows someone to push
back on a closing door so that the individual can open or partially
open the door and clear an obstruction. However, not all passenger cars
that have a flexible strip on the edge of the door have a door push-
back feature.
    Power door systems on passenger cars can also be outfitted with
obstruction detection systems. Obstruction detection systems use
sensors to determine when an exterior side door is being prevented from
closing as intended. The system will cause the exterior side door to
react to an obstruction by automatically stopping the door from closing
or by reversing the movement of the door, similar to the functioning of
elevator doors. Most obstruction detection systems require the exterior
side door to actually physically impact the obstruction in order to
detect it. These types of obstruction detection systems use a pressure-
sensitive edge on the leading edge of the exterior side door or door
jamb, or both. If something is caught in the door, the sensitive edge
will become compressed and cause the door to react to the obstruction
by stopping the closing door or by reversing the movement of the door.
Other obstruction detection systems employ a tilting switch that
detects when the door has been bumped off balance by an obstruction and
causes a reaction similar to doors employing a sensitive edge for
obstruction detection.
    There are also systems that use more sophisticated technologies to
detect obstructions. These advanced systems monitor motor amperage, or
air pressure in passenger cars with powered electro-pneumatic exterior
side doors. These systems detect an increase in the electric current or
air pressure, which indicates to the door safety system that there is
an obstruction in the exterior side doors. Other advanced obstruction
detection systems do not actually require the exterior side doors to
impact an obstruction in order to detect it. Instead, photo optics or
laser light beams are employed to prevent the door from closing if
something interrupts a light beam that runs along the path of the
closing exterior side door.
    However, even when door obstruction detection systems were
utilized, FRA found during its assessment that it was possible to
become entangled in a powered exterior side door on numerous different
models of equipment. In these cases, the door obstruction detection
systems failed to detect either small obstructions (e.g., a human hand)
or large obstructions (e.g., a wheelchair).
    FRA believes that while door obstruction detection systems reduce
the risks to passenger safety and newer systems utilize more reliable
technology, they do have limitations. Therefore, train crews need a
clear understanding of the limitations of the safety features on the
exterior side doors of the trains they are operating. When train crews
do not possess a thorough understanding of the limitations of the
safety features of the exterior side doors of their trains, passengers
and train crews alike could face an increased risk of serious injury or
death. Crews must realize the limits of the safety features of each
powered door safety system for each type of passenger vehicle they
operate.
8. Traction Inhibit
    As mentioned above, door control safety systems can be connected to
a train's propulsion system. On these systems the status of powered
exterior side doors is communicated through the trainline, and the door
summary circuit is interlocked with the train's propulsion system.
Therefore, when a powered exterior side door is open, the train is
unable to produce tractive power and move. Similarly, if an exterior
side door on a train is not completely closed and there is an
obstruction in the door, the train will be inhibited from developing
tractive power and departing the station. Only after all the exterior
side doors are closed as intended, will the train be able to produce
tractive power and leave the station.
    During its assessment, FRA found many different models of equipment
in which the exterior side door safety systems were not connected to
the propulsion system of the train. Consequently, these trains could
produce tractive power whether or not the exterior side doors were
opened or closed. If a passenger had become entangled in a door, it
would have been mechanically possible for the passenger to be dragged
by one of these trains, since no design feature would have inhibited
such a train from developing tractive power and leaving the station.
    FRA also found that on many different models of passenger cars and
locomotives used in passenger service that utilized a door obstruction
system and traction inhibit, it was possible for an individual to
become entangled in an exterior side door and yet the train could still
produce tractive power. This unexpected condition was possible because
the door obstruction system did not detect the obstruction and instead
conveyed a message that all the exterior side doors were closed.
Therefore, passenger and train crew safety would be enhanced if door
safety systems on all new passenger cars were connected to the
propulsion system and incorporated reliable technology in their door
obstruction detection systems.
9. Malfunctioning Equipment and Door Lock-Out
    Due to the complexity of powered exterior side doors and their
controls, car manufacturers have designed door systems to respond to
equipment malfunctions. In the event of an exterior side door
malfunction, each door can be individually isolated from the trainline
circuit without affecting the rest of the train. Train crews refer to
this as ``cutting out'' or ``locking-out'' a door. This is especially
important if the door system is connected to the train's propulsion
system, as one malfunctioning exterior side door that cannot close is
designed to inhibit the development of tractive power for the entire
train. Therefore, many passenger cars are equipped with exterior side
door lock-out switches that can disconnect power to the malfunctioning
exterior side door while still allowing the trainline circuit to
complete so that the train can draw tractive power and move.
    During FRA's assessment, FRA observed train crewmembers who were
unfamiliar with the method of isolating or locking-out a malfunctioning
exterior side door. FRA found that, instead, train crews would often
activate the door by-pass system. Such a practice presents a
significant risk to safety. Properly

locking-out one malfunctioning exterior side door does maintain the
integrity of the train's door safety system while still providing door
obstruction protection and traction inhibit for all of the other
exterior side doors on the train. However, overriding the door safety
system through the door by-pass feature can undermine the safety
features on all exterior side doors, including traction inhibit.
Activating the door by-pass feature in this manner unnecessarily
increases the possibility that a passenger or train crewmember could be
caught in a door and dragged by a train.
10. Malfunctioning Equipment and Door By-Pass
    If a train crew cannot identify which of the exterior side doors is
malfunctioning in its train, the train crew can utilize a door by-pass
device that can override the door safety system in order to move the
train. However, as noted above, activation of the door by-pass device
on many types of equipment negates some or all of the exterior side
door safety features.
    FRA found during its assessment that many passenger cars had
exterior side door safety circuits that could become compromised by the
unintentional activation of a door by-pass device. On these models of
passenger cars, if a by-pass switch was activated anywhere on a
passenger train it would place the entire train in door by-pass mode.
This would in essence by-pass the entire train's door safety system,
which presents a significant risk to passenger and crew safety.
Elsewhere, FRA found that the door by-pass switch would only affect the
exterior side doors of the train if it was activated in the controlling
locomotive. Overall, FRA found that accidental activation of the door
by-pass switch often happened without the knowledge of the train crew,
whether the switch was located in the controlling locomotive cab or a
trailing locomotive cab. Consequently, door by-pass devices should be
sealed in an off position to mitigate the potential of an accidental
activation of the door by-pass device.
    In the event of an en-route exterior side door malfunction,
railroads must have a procedure for communicating to all train
crewmembers that there is a defect in the train's exterior side doors,
the door by-pass device has been activated, and the door safety system
has been overridden.
11. Effects of Throttle Use on Powered Exterior Side Doors
    The locomotive throttle lever is used to control the locomotive's
power. It can also be used to issue commands to the powered exterior
side doors. As mentioned above, some exterior side doors are
manufactured so that the movement of the locomotive throttle from a
position of rest to motion automatically issues a command to close all
of the powered exterior side doors.
    However, FRA's assessment found that passenger cars responded in an
inconsistent manner to the application of a train's throttle. For some
powered exterior side doors, the movement of the locomotive throttle
caused them to close. For other door systems, the doors would stop
closing and freeze if they were in motion when the throttle was
applied, and yet other door systems were not at all affected by the
position of the throttle. In addition, concerns associated with
locomotive throttle movement were further exacerbated if the passenger
train was in door by-pass mode when the throttle was applied. On these
trains, the throttle movement, in combination with the door by-pass
feature activation, negated some or all of the exterior side door
obstruction safety features.
    A train's exterior side doors should be commanded to close only
after the train crew determines it is safe to depart. If throttle
movement can affect the functioning of a train's exterior side doors,
then employee training is necessary to help ensure that the train crew
understands the risks involved.
12. Mixed Consist Operation
    Railroads routinely operate passenger trains comprised of mixed
consists or different models of passenger cars that can have
incompatible door systems. Mixed consists can contain passenger cars
with different types of exterior side doors, such as manual doors and
powered doors, or different types of powered exterior side doors that
are not compatible with each other's door safety system. When exterior
side door systems are incompatible, they do not properly communicate
trainline commands and are not part of a single door summary circuit.
These door systems are usually incompatible due to the design of the
individual passenger cars or because the door systems may utilize
different control systems, wiring, or operating voltages, often a
result of the varying ages of the different models of passenger cars
used in a mixed consist.
    The operation of trains comprised of different types of passenger
cars with incompatible exterior side door systems requires additional
measures to help ensure passenger safety. For example, in a mixed
consist train with manual and powered exterior side doors, the portion
of the train with the manual doors requires extra effort by train
crewmembers to ensure that the doors are closed. The operation of a
mixed consist train comprised of passenger cars with different models
or types of powered exterior side doors that are not compatible with
each other's door safety system requires extra effort by train
crewmembers as well. The different cars may not communicate door open
and close commands throughout the length of the train. These door
systems usually have different safety features; for example, a portion
of the train could have exterior side doors equipped with a door
obstruction detection system, while the remainder of the train's doors
do not. The powered door system on a passenger car without a door
obstruction system is limited or constrained in its ability to detect,
annunciate, or release an obstruction in a door. FRA also found that in
these mixed consist trains the door summary circuit did not account for
all of the exterior side doors, due to incompatible equipment. The door
status indicator would therefore be misleading as it would indicate the
status for only part of the mixed consist train. As a result, FRA
believes that there is an increased risk of becoming entangled in an
exterior side door on a mixed consist train.
    Train crews may need to take extra measures due to the mixed
consist configuration of the trains they operate. These extra measures
should allow for the operation of mixed consist trains so that they
provide a level of safety at least equivalent to that of a train
operating with compatible exterior side door safety systems.
13. Operating Rules
    Passenger railroads have established sets of operating rules to
provide instruction and guidance to employees on how they should act in
given situations. Railroad operating rules relating to the functioning
of passenger train exterior side door systems can vary broadly from
railroad to railroad. For example, FRA found that some railroads'
operating rules did not require a train's exterior side doors to be
closed while the train was in motion between stations. Other railroads'
rules did not define the safety limitations of each type of door safety
system in the passenger cars their train crews operated, and sometimes
the train crews were unaware of these limitations. Moreover, some
railroads had operating rules addressing use of exterior side doors and
station stops, and some did require crewmembers to make platform
observations for train arrivals at and

departures from stations. However, often these rules did not instruct
crewmembers to ensure that trains did not depart from stations until
all passengers had successfully boarded or alighted from the trains.
Finally, in some instances FRA found that operating rules did not
address the additional steps necessary to provide continued passenger
safety following activation of a safety override device, such as a door
by-pass or no-motion by-pass switch.
    Railroad operating rules are fundamental tools to enhance overall
railroad safety. Passenger train crews need a clear understanding of
the risks to safety involved in the operation of exterior side doors.
They must understand the limitations of the safety features of each
exterior side door system for the equipment they operate. Such an
understanding is especially critical when an exterior side door safety
system fails and the crew must take action to provide for passenger
safety until the system can be restored back to its designed level.

IV. Section-by-Section Analysis

Subpart A--General

Section 238.5 Definitions
    FRA is proposing that this section be amended to add the following
new definitions to this part: by-pass, door isolation lock, door
summary circuit, end-of-train, exterior side door safety system, lock,
no-motion system, and trainline door circuit. It is FRA's intention
that these definitions clarify the meaning of significant terms as they
are used in the text of this NPRM. These definitions will minimize the
potential for misinterpretation of the proposed regulatory language.
RSAC recommended that these definitions be added to this section, and
FRA agrees with RSAC's recommendation. FRA invites comment on the
content and usefulness of these proposed definitions.
    ``By-pass'' would mean a device designed to override a function.
This term is used to describe devices that override various safety
features on a passenger train. For example, a door by-pass is a by-pass
feature that when activated overrides the door summary circuit. The
door summary circuit provides an indication to the controlling cab of
the train that all exterior side doors are closed as intended, or
locked out with a door isolation lock, or both. In some instances,
train crews must use a by-pass device when a passenger train's exterior
side doors or its appurtenances fail en route, in order for the train
to reach its destination.
    ``Door isolation lock'' would mean a cutout/lockout mechanism
installed at each exterior side door panel to secure a door in the
closed and latched position, provide a door-closed indication to the
summary circuit, and remove power from the door motor or door motor
controls. This term would be added for use in the definition of a door
summary circuit and would help to clarify what potential information is
being relayed to the controlling cab of a train by the door summary
circuit.
    ``Door summary circuit'' would mean a trainline door circuit that
provides an indication to the controlling cab of the train that all
exterior side doors are closed as intended, or locked out with a door
isolation lock, or both. This term would be added to inform the reader
of the proposed regulatory language as to what this circuit does in
relation to the operation of a passenger train and what information it
provides the controlling cab of the train as to the exterior side
doors.
    ``End-of-train'' would mean a feature typically used to determine
the physical end of the train, or the last passenger car in the train,
or both, for the door summary circuit. This term would be added to
provide the reader of the proposed regulatory language information on
what an end-of-train feature does in a passenger train.
    ``Exterior side door safety system'' would mean a system or
subsystem of safety features that enable the safe operation of the
exterior side doors of a passenger car or train. The exterior side door
safety system includes appurtenances and components that control,
operate, or display the status of the exterior side doors, and is
interlocked with the traction power control. This term would be added
to provide the reader of the proposed regulatory language information
on what types of systems or subsystems of safety features make up an
exterior side door safety system.
    ``No-motion system'' would mean a system on a train that detects
the motion of the train. This system is normally integrated with the
exterior side door safety system. The term would be added to describe
what a no-motion system does.
    ``Trainline door circuit'' would mean a circuit used to convey door
signals over the length of a train. This term would be added for use in
the definition of door summary circuit.

Subpart B--Safety Planning and General Requirements

    While, FRA has taken particular care in organizing the various
proposed requirements in this rule, FRA is inviting comment from the
public on how the various proposed requirements in this rule are
organized. It is FRA's intention that these proposed requirements be
organized in a way that is easy for the regulated community to
understand.
    In addition to requirements for passenger cars, please note that
this rule proposes to apply certain requirements to locomotives used in
passenger service. FRA invites comment on the approach the proposed
rule takes to applying requirements to locomotives used in passenger
service. FRA also welcomes any comment on any alternative approach for
the proposed regulatory requirements in the final rule.
Section 238.131 Exterior Side Door Safety Systems--New Passenger Cars
and Locomotives Used in Passenger Service
    FRA is proposing to add this new section to part 238. Each proposed
subsection is addressed below by paragraph.
    Paragraph (a)(1). Proposed paragraph (a)(1) would require that all
powered exterior side door safety systems on new rail passenger cars
and connected door safety systems on new locomotives used in passenger
service that are ordered on or after 120 days after the date of
publication of the final rule in the Federal Register, or placed in
service for the first time on or after 790 days after the date of
publication of the final rule in the Federal Register, be built in
accordance with APTA Standard PR-M-S-18-10, ``Standard for Powered
Exterior Side Door System Design for New Passenger Cars.'' This APTA
Standard was approved by APTA's Rail Standards Policy and Planning
Committee on February 11, 2011. It was subsequently reviewed and
recommended by the Task Force and the Working Group before finally
being recommended by the full RSAC for use in this rulemaking. The
Standard contains a set of minimum safety standards for powered
exterior side door safety systems on new passenger rail cars and
connected door safety systems on new locomotives that are used in
passenger service. Passenger cars and passenger locomotives need to be
able to communicate with each other to provide for the safe use and
operation of exterior side doors in passenger cars. As a result,
passenger locomotives must be connected or interlocked with the door
safety systems.
    The Standard addresses design requirements and safety features that
occur at three different levels: the individual door level, individual
car

level, and the train level, which requires the train's door summary
circuit to be interlocked with the propulsion system of the train's
locomotives(s). FRA is proposing to incorporate this Standard by
reference into part 238. If the standard is adopted into part 238 as
proposed by FRA, then the provisions of the APTA Standard will be
required by regulation for powered exterior side door safety systems on
all new passenger cars and connected door safety systems on all new
locomotives used in passenger service subject to this section. The
implementation dates proposed in this subsection are consistent with
other applicability dates imposed by FRA, and FRA believes they are
achievable. A copy of the APTA Standard has been made part of the
docket in this proceeding and is available for public inspection.
    Paragraph (a)(2). This paragraph would require that powered
exterior side door safety systems on all new passenger cars and
connected door safety systems on new locomotives used in passenger
service be designed based on a Failure Modes, Effects, Criticality
Analysis (FMECA). FRA proposes to require such door safety systems to
be subject to a FMECA to ensure that door system manufacturers consider
and address the failure modes of exterior side doors. While conducting
an assessment of the door safety systems of various passenger
railroads, FRA learned that there was great variability among different
models of passenger cars as to how exterior side doors reacted to a
system failure. For example, when there had been a loss of electricity
to the door control circuit, some powered exterior side door systems
responded by automatically closing the exterior side doors, while in
other equipment the doors would stay open. FRA believes that subjecting
these door safety systems to a FMECA will ensure that passenger car and
locomotive manufacturers consider how these systems may fail so that
they make informed decisions on the safest approach to their design.
    Paragraph (a)(3). This paragraph would require powered exterior
side doors and door safety systems on passenger trains to contain an
obstruction detection system. An obstruction detection system is
intended to detect and react to both small and large obstructions in
the powered exterior side doors. This new subsection is necessary in
light of FRA's assessment of powered exterior side doors on various
passenger train operations. In many instances during these assessments,
FRA discovered that a passenger's arm or cane could be caught in a
powered exterior side door of a passenger car without the door
recognizing the obstruction. As a result of this failure, some
passenger trains were able to complete the door summary circuit and
receive tractive power to depart even though an obstruction was present
in a powered exterior side door. These types of incidents have led to
serious passenger injuries and even death. FRA also learned through its
door assessments that while smaller obstructions could get caught in
the exterior side doors of a train, some door systems were unable to
identify large obstructions caught in a train's exterior side doors.
For example, FRA learned that some passenger trains were able to
generate tractive power even when a large object like a wheelchair or
walker had become stuck in the exterior side doors. Passenger door
systems that are unable to detect these larger obstructions pose
substantial safety hazards to passengers with disabilities or other
passengers who may need extra assistance to board or alight from a
train.
    Through this proposed subsection, powered exterior side doors in
all new passenger cars would be equipped with an obstruction detection
system, and all new locomotives used in passenger service would have a
connected system, intended to identify and release an obstruction while
preventing the train from developing tractive power until the
obstruction is released. As a result, boarding and alighting from
passenger trains should be made safer.
    Paragraph (a)(4). This paragraph would require that the activation
of a door by-pass feature in a passenger train not affect an exterior
side door's obstruction detection system. Through its extensive
assessment of safety features on exterior side doors in passenger
trains, FRA discovered that many passenger door injuries occurred when
trains were being operated in door by-pass mode. Operating a train in
door by-pass mode can negate some or all of the safety features of the
exterior side door safety system, including the obstruction detection
system and door status indicator.
    FRA also discovered that some railroads had obstruction detection
systems that were engineered into their passenger trains' exterior side
doors, but did not use them and instead operated trains in door by-pass
mode. By negating these important door safety features, the railroads
created the potential for passengers to get caught in closing exterior
side doors and dragged as the trains developed tractive power and
departed from stations.
    Therefore, FRA is proposing to require that obstruction detection
systems in new passenger cars and locomotives used in passenger service
function as designed even if the train in which the equipment is being
hauled is operated in door by-pass mode. This would ensure that
passenger safety is not compromised by deactivating these safety
features in the train's exterior side doors.
    Paragraph (a)(5). This paragraph would require the use of a door
control panel key or some other secure device by the train crew to
access the train's door control system. The train crew would need a key
or other secure device to operate the door control panel in order to
open or close the exterior powered side doors. FRA notes that this
proposal is not intended to require passengers in an emergency
situation to have access to the door control panel key in order to
operate any manual override device for powered exterior side doors, as
required by 49 CFR 238.112. Such manual override devices must be
readily accessible to passengers in case of an emergency. Instead, this
proposal is intended to reduce the risk that passengers in non-
emergency situations will gain access to the door control system and
open the exterior side doors in order to prematurely exit a train while
it is still in motion.
    Paragraph (a)(6). Proposed paragraph (a)(6) is related to proposed
paragraph (a)(5). This paragraph would make clear that if the door
control panel key or other similar device is removed from the door
control panel, the powered exterior side doors on the train cannot be
opened or closed from the door control panel. A door control panel key
or other similar device would be required to operate the powered
exterior side doors from the door control panel.
    This proposal would help to ensure that only the conductor or
another qualified crewmember can open or close the exterior side doors
from the door control panel. This would minimize the possibility that
passengers would themselves open the exterior side doors in non-
emergency situations when a train is entering or departing a station.
However, FRA notes that, in accordance with Sec.  238.112, powered
exterior side doors will continue to be equipped with a manual override
device to allow passengers to open the doors in emergency situations.
    Paragraph (a)(7). This proposed paragraph is intended to ensure
that train throttle movement would not have any effect on the proper
functioning of exterior side door safety systems in new passenger cars
and connected door safety systems in new locomotives used

in passenger service. FRA is proposing this requirement after
discovering through its assessments that certain passenger car door
systems were designed so that the exterior side doors would
automatically close when the train's throttle was applied. As FRA
understands, the rationale behind such a design is that it is intended
to provide an operational enhancement for the engineer to automatically
command the exterior side doors to close when the throttle is applied.
However, from FRA's observations during its door safety assessments,
the exterior side doors on some railroads' trains would stop moving,
and remain open while other exterior side doors would close, when the
train's throttle was applied. This could result in doors being
partially open while trains are in motion, thereby increasing the risk
that passengers could fall out of trains and suffer injuries. Moreover,
FRA also learned that powered exterior side doors on trains running in
door-bypass mode reacted very differently when the throttle was
applied. On these trains, the throttle movement, in combination with
the door by-pass feature activation, negated some or all of the
exterior side door obstruction safety features. Therefore, FRA is
proposing that, for new passenger cars and locomotives used in
passenger service, locomotive throttle movement should not open or
close a passenger train's exterior side doors, or have any other affect
on the proper functioning of the train's door safety system.
    Paragraph (b). This paragraph (b) would apply to new rail passenger
cars, with either manual or powered exterior side doors, along with
connected door safety systems on new locomotives used in passenger
service, ordered on or after 120 days after the date of publication of
the final rule in the Federal Register, or placed in service for the
first time on or after 790 days after the date of publication of the
final rule in the Federal Register.
    Paragraph (b)(1). In general, this proposed subsection would
require new passenger cars with manual or powered exterior side doors,
along with new locomotives used in passenger service, to be designed
with a door summary circuit to prohibit trains from developing tractive
power if the exterior side doors are not closed. This subsection is
necessary to prevent serious injuries from occurring when trains have
their exterior side doors open while in motion.
    However, FRA is proposing an exception for train crew use. This
requirement would not apply to an exterior side door that is under the
direct physical control of a crewmember for his or her exclusive use
when a train generates or is in the process of generating tractive
power. This limited exception is necessary to help train crews make
platform and other observations outside of the train. For example,
train crews often open one exterior side door to ensure that the train
is sitting properly along the station platform before opening all of
the exterior side doors and allowing passengers to board and exit from
the train.
    Paragraph (b)(2). This paragraph would require that manual and
powered exterior side doors on new passenger cars be connected to
interior and exterior door status indicators, and that new locomotives
used in passenger service be compatible with such indicators. The
exterior side doors would be connected to interior and exterior door
status indicators, usually lights, which provide an indication to the
train crew if a door is not closed. These indicators provide railroad
personnel both inside the train and on the station platform a fast,
easy way to visually identify whether an exterior side door is not
closed as intended. As a result, FRA believes that these interior and
exterior door status indicators would help train crews determine
whether it is safe for trains to depart stations.
    Paragraph (b)(3). This proposed paragraph would require that all
new passenger cars with manual or powered exterior side doors be
connected to a door summary status indicator located in the train's
operating cab and viewable from the engineer's normal operating
position, and that all new locomotives used in passenger service would
be equipped accordingly. When all the exterior passenger side doors on
a train are closed, the door summary status indicator, usually a light,
illuminates in the engineer's operating cab. As a result, the indicator
provides an easy way for an engineer to know that all the exterior side
doors have been closed as intended so that it is safe for the train to
depart. If the indicator is not illuminated, the engineer knows that
the exterior side doors are not closed and that the train's brakes
should be maintained so the train does not move.
    Paragraph (b)(4). This paragraph would require that for all new
passenger cars equipped with a door by-pass system and manual or
powered exterior side doors, the door by-pass system would be
functional only when activated from the controlling locomotive, and
that all new locomotives used in passenger service would be designed
accordingly. Putting a train in door by-pass mode allows the train to
develop tractive power regardless of the status of the doors. During
its various door assessments of passenger railroads, FRA found that for
many models of equipment the entire passenger train could be put into
door by-pass mode by activating one of several different door by-pass
switches throughout the train consist. Moreover, FRA even found that
by-pass switches could be activated without the knowledge of the train
crew--a dangerous situation.
    By requiring that the door by-pass switch be capable of activation
only in the controlling locomotive of a passenger train, engineers
should always be aware of whether the door safety system has been
overridden through the use of the door by-pass switch. In addition,
having the switch be capable of activation only in the controlling
locomotive of the train greatly minimizes the risk that a passenger may
activate the device, whether inadvertently or not. Since this device
affects vital safety features, FRA believes that all precautions should
be taken to ensure that a train is put in door by-pass mode only after
careful consideration by the train's crew.
    Paragraph (c). For the benefit of the regulated community, FRA is
proposing this subsection to identify other sections in this part that
include substantive door safety requirements. FRA invites comments on
this paragraph as well as suggestions for alternative regulatory text
to highlight exterior side door safety requirements in other sections
of this part.
Section 238.133 Exterior Side Door Safety Systems--All Passenger Cars
and Locomotives Used in Passenger Service
    FRA is proposing to add this new section to part 238. Each proposed
subsection is addressed below by paragraph.
    Paragraph (a). Proposed paragraph (a) would require that all
passenger train crews verify that all exterior side door by-pass
devices that could affect the safe operation of the train are sealed in
the non-by-pass position when taking control of the train. For example,
from its assessments of various passenger railroads, FRA discovered
that on some railroads the door by-pass switches in the cabs of
trailing locomotives could place an entire train in door by-pass mode
if activated anywhere on the train. FRA believes that all train crew
members should understand when first taking control of a passenger
train whether the exterior side doors of the train they are going to be
operating are in door by-pass mode. However, when

there is face-to-face relief of another train crew, the train crew
coming on-duty would not need to verify the status of the door by-pass
devices by visual inspection. This exception would help railroad
efficiency by not requiring on-coming train crews to verify whether
their train is being operated in door by-pass status if they are
directly notified by the out-going crew through face-to-face relief
regarding the status of the train's door by-pass devices. When there is
no direct face-to-face relief by the crew going off duty, the on-coming
train crew is required to make their own verification of the status of
their train's door by-pass devices. Nevertheless, in making this
verification, proposed paragraph (a) would also allow railroads to
develop a functional test to determine that the door summary status
indicator is functioning as intended, instead of a visual inspection of
each door by-pass device. Allowing qualified railroad personnel to
conduct a functional test instead of a visual inspection of all door
by-pass switches would make the verification process more efficient.
However, the testing plan developed by the railroad to replace
individual visual inspections must be adequate to determine that the
door safety system is functioning as intended.
    Paragraph (b). Proposed paragraph (b) would require that passenger
train crewmembers notify the railroad's designated authority pursuant
to the railroad's defect reporting system if a door by-pass device that
could affect the safe operation of the train is found unsealed during
the train's daily operation. If the train crew can test the door safety
system and determine that the door summary status indicator is
functioning as intended, then the train can remain in service until the
next forward repair point where a seal can be applied by a qualified
maintenance person (QMP), as defined in Sec.  238.5, or its next
calendar day inspection, whichever occurs first. If the crew cannot
determine that the door summary status indicator is functioning as
intended, then the train crew must follow the procedures outlined in
proposed paragraph (c) of this section.
    Paragraph (c). This paragraph would require that, if it becomes
necessary to activate a door by-pass device on an en route train, the
train may continue to its destination terminal provided that the train
crew conducts a safety briefing that includes a description of the
location(s) where crewmembers will position themselves on the train in
order to observe the boarding and alighting of passengers, notifies the
railroad's designated authority that the train's door by-pass device
has been activated, and adheres to the operating rules required by
proposed Sec.  238.135 (``Operating practices relating to exterior side
door safety systems''). After the train has reached its destination
terminal, the train may continue in passenger service until the train's
arrival at the next forward repair point or until its next calendar day
inspection, whichever occurs first, provided that prior to moving the
equipment with an active door by-pass device the railroad adheres to
the requirements in proposed paragraphs (c)(1) and (2) of this section.
    Paragraph (c)(1). Proposed paragraph (c)(1) would allow a passenger
train with a door by-pass device activated to remain in service past
its destination terminal, if an on-site QMP determines that it is safe
to use the equipment in passenger service and repairs cannot be made at
the time of inspection. If a QMP is not available, a determination to
keep the equipment in service may be made based upon a description of
the condition provided by an on-site qualified person (QP), as defined
in Sec.  238.5, to a QMP off-site. This proposal would help ensure
passenger safety by requiring a QMP to make the determination on
whether it is safe to move the train, but still provide the railroad
with sufficient flexibility to handle an activated door by-pass device.
    Paragraph (c)(2). This proposed paragraph would require that either
the QP or QMP notify the crewmember in charge of the movement of the
train that the door by-pass device has been activated, thereby
rendering the train defective under the regulation. This notification
requirement would ensure that the crewmember in charge of the train's
movement knows that the train is operating with its door by-pass device
activated and that some or all of the door safety features of the
train's exterior side doors may not be properly functioning. In
addition, a safety briefing must be held with the train's crew and
include information such as the locations where train crewmembers will
position themselves on the train in order to ensure that passengers
board and alight from the train safely. This proposed safety briefing
would help to ensure that the train operates with the same level of
safety after the door by-pass device has been activated as it did
before the device was activated.
    Paragraph (d). Proposed paragraph (d) would require each passenger
railroad to maintain a record in the defect tracking system required by
Sec.  238.19 of any door by-pass activation, unintended opening of a
powered exterior side door, and subsequent repair(s) made to the
passenger door safety system. While railroads do currently maintain
records concerning the malfunction of exterior side doors and
subsequent repairs, FRA is not aware that railroads maintain records in
the same manner when a door by-pass device has been activated or when
there has been an unintentional door opening. Collecting this
information would provide useful data concerning test and maintenance
intervals that are developed pursuant to this part, e.g., Sec.  238.107
and subpart F. Like other records collected under Sec.  238.19,
railroads would be required to make these records available to FRA for
inspection upon request.
    Paragraph (e). This proposed paragraph is intended to prevent
exterior side doors from being operated from a door control panel when
the door key or other similar device has been removed. As evidenced by
FRA's assessments of various passenger operations, this proposed
language is necessary because some trains' door safety systems allowed
the door control panel to remain energized after the door control panel
key or similar device had been removed from the panel. When door
control panels can still be operated after the specific door key or
similar device has been removed, passengers can open the train's
exterior side doors as simply as by pressing the door open button. FRA
is concerned because passengers have opened exterior side doors before
their trains have come to a complete stop at stations in order to exit
the trains early. Additionally, some passengers have opened the
exterior side doors to exit their trains while leaving stations because
they had forgotten to exit while the trains were stopped at station
platforms. Either of these scenarios could easily result in severe
passenger injuries.
    As a result, this proposal would require the use of a door panel
key or a similar device to energize or activate the door control panel.
The door control panel key or device would be held in the possession of
the train's crew. FRA does make clear that none of the proposed
language in this subsection is meant to change any of the requirements
for the accessibility and operation of manual override devices for
exterior side doors, found in Sec.  238.112. This proposed requirement
would not require passengers in an emergency situation to have access
to the door control panel key in order to operate any manual override
device for powered exterior side doors required by these sections.
Passengers and crewmembers must still be able to utilize the manual
override devices for exterior side doors without the use of a door key
or other similar device.

    Paragraph (f). Proposed paragraph (f) would require that if an end-
of-train switch is used, then the switch must be secured in such a
manner as to prevent unauthorized access. FRA discovered that in many
models of passenger cars a simple switch was used to denote the end of
the train. This switch was often in the vestibule area of the car and
accessible to passengers, and FRA did find a switch that was activated
in a car other than at the end of the train. Activation of the switch
eliminates all passenger car exterior side doors beyond the activated
switch from the door summary circuit, allowing the potential for a
passenger in one of those cars to become entangled in an exterior side
door and dragged when the train departs because the door safety
features do not function. This proposed paragraph would help ensure
that if a railroad uses end-of-train switches in its trains, the
railroad takes sufficient care of the switches to prevent them from
being tampered with or inadvertently activated by unauthorized users.
    Paragraph (g)(1). Proposed paragraph (g)(1) would require that all
exterior side door safety system override devices that could adversely
affect a train's door safety system be inactive and sealed in all
passenger cars and locomotives in the train consist, if they are so
equipped with such a device. This proposal would apply to cab cars and
MU locomotives, as well as conventional locomotives. The proposed
requirements of this paragraph would be subject to the provisions of
proposed paragraph (c) of this section for a train in which it is
necessary to activate a door by-pass device, so that the train may
safely continue to its destination terminal.
    Paragraph (g)(2). Proposed paragraph (g)(2) is similar to the
language in proposed paragraph (g)(1); however, this paragraph
emphasizes that as part of the calendar day inspection, QMPs would
verify that all exterior side door safety system override devices are
inactive and sealed in all passenger cars and all locomotives in a
passenger train's consist, including cab cars and MU locomotives, if
they are so equipped with such devices. Passenger cars or locomotives
that are found with unsealed or active exterior side door safety system
override devices would be considered defective under the regulation and
subject to the movement-for-repair provisions of this part. This
proposed requirement would apply to all tiers of passenger cars and
locomotives used in passenger service. FRA invites comment on this
proposal.
Section 238.135 Operating Practices Relating to Exterior Side Door
Safety Systems
    FRA is proposing to add this new section to part 238. Each proposed
subsection is addressed below by paragraph.
    Paragraph (a). This proposed paragraph would require that each
crewmember participate in a safety briefing that identifies each
crewmember's responsibilities as they relate to the safe operation of
the exterior side doors on the crewmember's train. The briefing would
take place at the beginning of each crewmember's duty assignment prior
to the departure of the train. This requirement would help to ensure
that all the crewmembers involved in the operation of a passenger train
understand their roles and responsibilities with regard to the safe
operation and use of the exterior side doors.
    FRA is inviting comment from the railroad industry and the greater
public on the manner in which this safety briefing should occur. FRA
has no objection if the safety briefing is made part of other safety
briefings or discussions involving the operation of the passenger
train. FRA's intention is that each crewmember's role in the safe
operation and use of the exterior side doors is clearly established.
    Paragraph (b). Proposed paragraph (b) would require that all
passenger train exterior side doors and trap doors be closed when a
train is in motion between stations. The exceptions to this proposed
requirement are described in paragraphs (b)(1) and (2), below.
    Paragraph (b)(1). This proposed paragraph would allow a passenger
train to depart or arrive at a station with an exterior side door or
trap door open when a crewmember needs to observe the station platform
(paragraph (b)(1)(i)) and the open door is attended by the crewmember
(paragraph (b)(1)(ii)). For instance, observing the station platform is
necessary when arriving at stations so that crewmembers can ascertain
that their train is properly positioned along the platform before
opening the exterior side doors. In addition, crewmembers may need to
open an exterior side door on their train to facilitate station
platform observations to help ensure the safety of late-boarding
passengers for station departures. With a crewmember stationed at each
open exterior side door or trap door when departing or arriving at a
station, the train crew can better protect passengers from placing
themselves in harm's way and more quickly react to an emergency
situation occurring on the station platform.
    Paragraph (b)(2). This proposed paragraph would allow a passenger
train to move between stations with its exterior side doors and trap
doors open when a crewmember must perform on-ground functions. On-
ground functions include, but are not limited to, lining switches,
making up or splitting the train, providing crossing protection, and
inspecting the train. This exception is being proposed because the Door
Safety Subgroup thought it would be too cumbersome and an undue
hardship on passenger railroads to require them to operate their trains
with their exterior side doors and trap doors closed when performing
on-ground functions. For example, passenger train conductors often have
to exit and reenter their trains several times when lining switches to
establish the proper track route for their trains. However, FRA expects
that crewmembers will close any such open exterior side door on their
trains as soon as it is practical to do so after completing the
necessary on-ground functions.
    FRA is inviting comment from the railroad industry and the greater
public on the appropriateness of these exceptions, as well as if other
exceptions should be provided.
    Paragraph (c). This proposed paragraph would require that, except
as provided in paragraph (b) of this section, passenger railroads
receive approval from FRA's Associate Administrator for Railroad
Safety/Chief Safety Officer to operate passenger trains with their
exterior side doors or trap doors, or both, open between stations. Any
request to FRA must include: (1) A written justification explaining why
the passenger railroad needs to operate its trains in this manner
(paragraph (c)(2)(i)); and (2) a detailed hazard analysis conducted by
the railroad analyzing the hazards of running its trains in this
manner, including specific mitigations to reduce the safety risk to
passengers and train crews. The request must also be signed by the
chief executive officer (CEO), or equivalent, of the organization(s)
making the request (paragraph (c)(3)). In addition, other documents and
different types of information may need to be submitted to FRA in order
to support granting the request. Passenger railroads must seek this
special approval from FRA before operating trains with exterior side
doors or trap doors, or both, open between stations, so that FRA can
determine that passengers and train crews riding on such trains are
adequately safeguarded against personal injury.
    Paragraph (d). This proposed paragraph would require railroads to

adopt and comply with operating rules on how to safely override a door
summary circuit or a no-motion system, or both, in the event of an en
route exterior side door failure or malfunction on a passenger train.
Under the requirements of this proposed section, the railroads would
have to provide these written rules to their employees and make them
available for inspection by FRA. The written rules would have to
include: (1) Instructions to crewmembers describing what conditions
must be present in order to override the door summary circuit, or the
no-motion system, or both (paragraph (d)(1)); and (2) steps crewmembers
must take after the door summary circuit, or no-motion system, or both
have been overridden, to help provide for continued passenger safety
(paragraph (d)(2)). These proposed subsections are intended to make
sure that a mechanism exists to communicate that a defect has occurred
in a critical safety system on a passenger train and that passenger
safety continues to be provided after the critical safety system has
been overridden.
    FRA is proposing a three-year implementation period for the
requirements proposed in this paragraph. FRA believes that this three-
year period would provide the railroads adequate time to develop and
train their train crews on the operating rules, and minimize any cost.
    Finally, FRA invites comment on whether proposed Sec.  238.133(b)
and (c) should be combined with proposed Sec.  238.135(d) in the final
rule. To the extent Sec.  238.133(b) and (c) address operating
practices, the provisions may be more suitable together in one section.
    Paragraph (e). This paragraph would require that each crewmember be
trained on: (1) The requirements in this section, and (2) how to
identify and isolate equipment with a malfunctioning exterior powered
or manual side door. For example, FRA expects that this training would
cover how a crewmember determines which exterior side door is
malfunctioning. FRA believes that training employees is necessary to
ensure that a passenger train's door safety systems are utilized to
their designed level of safety. Employees operating exterior side doors
on passenger trains and tasked with providing passenger safety must
understand the safety risks involved in the use and operation of
exterior side doors. Employees need to demonstrate knowledge of their
trains' door safety systems, including how to continue the safe
operation of malfunctioning equipment and the risks associated with
operating such equipment, as part of each railroad's training and
qualification designation program.
    FRA makes clear that it is proposing to apply these requirements to
both manual and powered exterior side doors. FRA is also proposing a
three-year implementation period for compliance with this requirement
as proposed. FRA believes that this three-year period would afford the
railroads adequate time to train their crewmembers and minimize any
cost. FRA invites comment on this proposed paragraph.
    Paragraph (f). This proposed paragraph would require that each
railroad periodically conduct operational (efficiency) tests and
observations of its operating crewmembers and control center employees
to determine each individual employee's proficiency with the side door
safety procedures for both the railroad's exterior powered and manual
passenger train side doors.
    FRA recognizes the important role control center employees play in
ensuring the safe movement of trains. These employees should receive
operational (efficiency) testing appropriate to their role in providing
door operations support to train crews. For example, control center
employees should understand the implications of a crew's activation of
a door by-pass device. Due to additional safety precautions that must
be taken by the crew, a train might need extra time at station
platforms to allow for the safe boarding and alighting of passengers,
which may affect the train's schedule adherence. Control center
employees should be prepared to respond appropriately in directing
train movements.
    As in paragraph (e), FRA makes clear that this paragraph would
apply to both manual and powered exterior side doors. FRA is also
proposing a three-year implementation period before requiring railroads
to conduct operational (efficiency) tests and observations of its
operating crewmembers and control center employees to determine each
employee's knowledge of the railroad's powered and manual exterior side
door safety procedures for its passenger trains. FRA believes this
three-year implementation period would afford the railroads adequate
time to train and then begin testing their crewmembers on exterior side
door safety procedures, minimizing any expense. FRA invites comment on
this proposed paragraph.
    Paragraph (g). This paragraph would require each railroad to adopt
and comply with operating rules requiring its crewmembers to determine
the status of their train's exterior side doors so their train may
safely depart a station. In particular, these rules would require
crewmembers to determine that there are no obstructions in their
passenger train's exterior side doors before the train departs. This
operating rule requirement is being proposed to safeguard against
passengers becoming entangled in the exterior side doors of a train
when boarding and alighting the train.
Section 238.137 Mixed Consist; Operating Equipment With Incompatible
Exterior Side Door Systems
    FRA is proposing to add this new section to part 238. Each proposed
subsection is addressed below by paragraph.
    Paragraph (a). Proposed paragraph (a) would require trains made up
of equipment with incompatible exterior side door systems to be
operated within the constraints of each door safety system in each unit
of the train. As evidenced by FRA's safety assessments of passenger
railroad door systems across the country, in many instances passenger
railroads mix and match different models of passenger cars that have
different door safety systems when they assemble individual trains.
These trains are referred to as ``mixed consists'' and can contain
passenger cars with different types of exterior side doors, such as
manual and powered doors. They can also be comprised of passenger cars
with different models or types of powered exterior side doors that are
not compatible with each other's door safety system. Because the door
safety systems on mixed consist trains are constrained in their ability
to communicate the presence of an obstruction in a door, or the door's
status otherwise, this proposed subsection would require train
crewmembers to take extra steps to enhance passenger safety to a level
at least equivalent to that of a train operating with compatible
exterior side door systems. In this regard, FRA notes that in mixed
consist trains with both manual and powered exterior side doors, the
manual exterior side doors would require extra attention by crewmembers
to ensure that they are closed and it is safe to depart.
    Paragraph (b). This proposed paragraph would require railroads to
develop operating rules to provide for the safe use of passenger cars
and locomotives used in passenger service with incompatible exterior
side door safety systems when they are operated together in a train as
a mixed consist. Implementation of these operating rules

is intended to ensure that the mixed consist train is operated with at
least the same level of safety even though the door safety systems on
the various cars are incompatible. These rules should take into
consideration the constraints of the door systems of the equipment
operated by the railroad. For example, the operation of a mixed consist
train may require additional measures to help ensure passenger safety,
such as operating rules on crew positioning or providing a second look
at the station platform to determine that it is safe for the train to
depart a station.

Appendix A to Part 238--Schedule of Civil Penalties

    This appendix contains a schedule of civil penalties for use in
connection with this part. FRA intends to revise the schedule of civil
penalties in issuing the final rule to reflect revisions made to this
part. Because such penalty schedules are statements of agency policy,
notice and comment are not required prior to their issuance. See 5
U.S.C. 553(b)(3)(A). Nevertheless, commenters are invited to submit
suggestions to FRA describing the types of actions or omissions for
each proposed regulatory section that would subject a person to the
assessment of a civil penalty. Commenters are also invited to recommend
what penalties may be appropriate, based upon the relative seriousness
of each type of violation.

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 Executive
Order 12866 (Regulatory Planning and Review), Executive Order 13563
(Improving Regulation and Regulatory Review), and DOT policies and
procedures. A regulatory evaluation has been prepared addressing the
economic impact of the proposed rule over a 20-year period. The
economic impacts of the proposed rule are estimated at well under $100
million per year. This section summarizes the economic impacts of the
proposed rule.
    The intent of the proposed regulation is to increase safety by
reducing the injuries caused by the operation of a passenger train's
exterior side doors (``doors''). The doors can cause injuries to
passengers from striking or holding them as they board or alight from
trains. These injuries are unintended consequences that result from
normal train operations. Although most passenger trips occur without a
door incident, the consequences of improper door operations can and
have resulted in serious harm and even death. In November 2006, a
passenger died after being caught in the doors of a departing NJT train
at the Bradley Beach, NJ station.
    FRA is proposing to reduce door injuries in two ways. First, the
proposed rule addresses the rules and procedures for operating the
doors. The proposed rule requires railroads to have operating rules for
their employees that emphasize understanding the capabilities and
limits of the door safety systems installed on the passenger cars and
locomotives used in passenger service that they operate. The overall
intent of the operating rules requirement is that the train crew should
be aware of the status of the door safety systems on their train, such
as if the train is operating in by-pass mode (which overrides certain
door safety features), if a door is locked-out because of a
malfunction, or if they are working on trains that have cars with
different door safety systems. Specific requirements include the need
for the train crew to verify that the door by-pass devices are sealed
on the train that they are operating, to report instances when a by-
pass device is found unsealed, and to understand crew responsibilities
to safely operate the train when by-pass mode has been activated. The
proposed rule also contains provisions to mitigate existing practices
that may unintentionally increase the risk of door-caused injuries. For
example, under the proposed rule, door control panels (used to open and
close the doors) would be required to become and remain inactive if a
door control key or similar secure device is removed from the panel.
Also, if switches are used to denote the end of the train, then these
switches would need to be secured. Securing the switches used to denote
the end of the train would reduce the opportunity for part of the train
to be cut-off from the summary circuit and be left unprotected by the
door safety system (a situation which could occur if the end-of-train
switches are activated at some location other than at the actual end of
the train). Additionally, FRA is concerned about the inherent risk
posed by a few railroads' practice of running trains with the doors
open between stations. However, FRA would allow railroads the
flexibility to continue the practice, but only by special approval
supported by a hazard analysis. Other proposed requirements for
operating rules task the crew with determining that the doors are free
of obstructions so that the train may safely depart a station, and with
procedures for safely operating trains that consist of mixed passenger
cars and locomotives used in passenger service, such as cars with
different door systems. For these operating rules as well as operating
rules describing procedures to maintain safety when the train is in by-
pass mode, FRA would allow three years for implementing compliance.
Passenger railroads would also have a three year period to train
crewmembers in these operating rules before being required to conduct
operational (efficiency) tests to determine that the employees
understand the proposed operating rules.
    The second part of the proposed rule concerns requirements for
doors on new passenger cars and connected locomotives used in passenger
service. FRA is proposing to adopt an APTA standard containing the
design requirements for door safety systems on these types of new
passenger equipment that are ordered with powered doors. For example,
new cars with powered doors would be required to have an obstruction
detection system, a key or other secure device to activate (i.e., turn
on) a door control panel, and have doors that are not closed or opened
by moving the locomotive throttle control (i.e., the doors should be
controlled by the crew instead of by the movement of the train). The
APTA standard is structured in a hierarchical order, addressing the
door safety features at the individual door level through the overall
system level. The standard is structured this way to potentially
prevent or mitigate unsafe door conditions at one of several levels.
This structure also provides railroads flexibility in determining the
most appropriate equipment design for their particular operations.
Additionally, the proposed rule includes some minimum design standards
for new passenger cars and connected locomotives used in passenger
service ordered with both powered and manual doors. These types of new
passenger equipment equipped with either powered or manual doors would
need to have a door summary circuit that prevents the train from taking
power and moving if a door is open. Other safety requirements that
apply to new cars with either powered or manual doors are door status
lights or indicators, a door summary status indicator or light that is
easily viewable by the engineer, and by-pass devices that work only
when activated from the operating cab of the train. The proposed rule
clarifies that these requirements for passenger trains with manual or
powered doors apply to both commuter and intercity passenger service
railroads (but not to private equipment). The cost

to install additional door safety features on new cars should be less
than retrofitting existing cars, as less labor would be needed to
remove old equipment, and potentially fewer parts would be used. For
example, a retrofit might require additional parts to adapt old
equipment for use with new equipment. These safety features are all
currently available.
    FRA has analyzed the economic impacts of this rule against a ``no