[Federal Register Volume 80, Number 234 (Monday, December 7, 2015)]
[Rules and Regulations]
[Pages 76117-76149]
[FR Doc No: 2015-30488]

Vol. 80

Monday,

No. 234

December 7, 2015

Part III

Department of Transportation

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Federal Railroad Administration

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49 CFR Part 238

Passenger Train Exterior Side Door Safety; Final Rule

Federal Register / Vol. 80 , No. 234 / Monday, December 7, 2015 /
Rules and Regulations

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DEPARTMENT OF TRANSPORTATION

Federal Railroad Administration

49 CFR Part 238

[Docket No. FRA-2011-0063, Notice No. 2]
RIN 2130-AC34

Passenger Train Exterior Side Door Safety

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

ACTION: Final rule.

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SUMMARY: This final rule will improve the integrity of passenger train
exterior side door safety systems and promote passenger train safety
overall through new safety standards for the safe operation and use of
passenger train exterior side doors. This final rule will 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: This final rule is effective February 5, 2016. The incorporation
by reference of certain publications listed in the rule is approved by
the Director of the Federal Register as of February 5, 2016. Petitions
for reconsideration must be received on or before February 5, 2016.
Comments in response to petitions for reconsideration must be received
on or before March 21, 2016.

ADDRESSES: Petitions for reconsideration and comments on petitions for
reconsideration: Petitions for reconsideration or comments on petitions
for reconsideration related to Docket No. FRA-2011-0063, Notice No. 2,
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, to include petitions for reconsideration.
     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 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 for any submitted comments, petitions, or materials.
    Docket: For access to the docket to read background documents, any
petition for reconsideration submitted, 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: Pete Lapr[eacute], Railroad Safety
Specialist, 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 for
Exterior Side Doors on Passenger Train Equipment
    C. RSAC Overview
    D. Passenger Safety Working Group and General Passenger Safety
Task Force
III. Discussion of Specific Comments and Conclusions
IV. 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 Circuit
    6. End-of-Train 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
V. Section-by-Section Analysis
VI. Regulatory Impact and Notices
    A. Executive Orders 12866 and 13563 and DOT Regulatory Policies
and Procedures
    B. Regulatory Flexibility Act and Executive Order 13272;
Certification of No Significant Economic Impact on a Substantial
Number of Small Entities
    C. Paperwork Reduction Act
    D. Federalism Implications
    E. International Trade Impact Assessment
    F. Environmental Impact
    G. Executive Order 12898 (Environmental Justice)
    H. Executive Order 13175 (Tribal Consultation)
    I. Unfunded Mandates Reform Act of 1995
    J. Energy Impact
    K. Privacy Act
    L. Analysis Under 1 CFR Part 51

I. Executive Summary

    Having carefully considered the public comments in response to
FRA's March 26, 2014, proposed rule on passenger train exterior side
door safety, see 79 FR 16978, FRA issues this final rule amending the
Passenger Equipment Safety Standards, 49 CFR part 238. This final rule
establishes new requirements to improve the integrity of passenger
train exterior side door safety systems and promote passenger train
safety overall through new safety standards for the safe operation and
use of passenger train exterior side doors (also sometimes referred to
in this rulemaking as ``doors'' and ``side doors''). Through the new
requirements in this final rule, 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.
    This final 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. Operating rules for train crews relating to exterior side doors
and their safety systems on passenger trains and new definitions for
this part are also included in this final rule. In addition, this final
rule incorporates 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'' (February 11,
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 requirements established by this final rule include, but are
not limited to: Equipping new passenger cars with powered exterior side
doors with an obstruction detection system; 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; requiring safety briefings for
train crews to identify crewmember responsibilities for the safe
operation of 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 with FRA prior approval;
and requiring railroads to develop operating rules on how to safely
operate the exterior side doors of a passenger train with incompatible
exterior side door safety systems and how to safely override a door
summary circuit or a no-motion system, or both, when an exterior side
door failure or malfunction occurs.
    FRA analyzed the economic impacts of this final rule against a ``no
action'' baseline that reflects what would happen in the absence of
this final rule. FRA expects the requirements for the operating rules
and adopted APTA standard for new equipment to prevent on average about
19 injuries and 0.20 fatalities per year in the future based on similar
incidents in the past. The estimated benefits from these prevented
casualties over a 20-year period total $83.9 million undiscounted;
these estimated benefits have a present value of $43.3 million
calculated using a 7-percent discount rate, and a present value of
$61.7 million calculated using a 3-percent discount rate. 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 when estimating monetary benefits. In
addition, there may be other benefits from the final rule, such as
fewer passenger claims for personal property damage, maintaining
passenger goodwill and trust, and by lowering future maintenance costs
(by 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 final 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,
an operating rule requirement. 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 door safety features on new passenger cars with either powered or
manual doors and locomotives used in passenger service. The estimated
costs over the 20-year period of analysis total $15.2 million
undiscounted, with a present value of about $8.3 million calculated
using a 7-percent discount rate, and a present value of about $11.5
million calculated using a 3-percent discount rate. The 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 $68.7 million undiscounted, with a present value of
$35.0 million calculated using a 7-percent discount rate, and present
value of $50.2 million calculated using a 3-percent discount rate.

II. Statutory and Regulatory Background

A. Passenger Equipment Safety Standards Background

    In September 1994, the U.S. 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 (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 and issuing orders under 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 Congress
mandated, 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
in the rule and on June 25, 2002, FRA completed its response to the
petitions for reconsideration. See 67 FR 42892. The product of that
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,
including providing for emergency egress and rescue access through
exterior side doors. See 49 CFR 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. However, these subsequent proceedings have not
focused on the safety of doors systems in non-emergency situations.

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

    FRA's principal reason for issuing this final rule 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
train's assistant conductor was not in the proper position to monitor
all the train's exterior side doors as they were closing. Specifically,
the assistant conductor could not see the passenger exit through a door
behind where the assistant conductor was located. 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
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, Dec. 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. FRA encouraged passenger railroads to voluntarily
implement the recommendations of the safety advisory.
    Subsequently, there have been other instances where passengers have
become trapped in the exterior side doors of trains. In one instance,
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.
    Other instances were ``close calls'' in which passengers 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
avoided 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 had 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 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.
    Since the issuance of the NPRM for this rulemaking in March 2014,
there have been other injuries involving passengers and exterior side
doors. The Massachusetts Bay Transportation Authority (MBTA) reported
to FRA that in June 2014 an MBTA passenger got his luggage stuck in the
closing exterior side doors of the train and was subsequently injured
when the train started to move. When the train started to leave the
station platform, the passenger sustained injuries after he was dragged
by the train a total of 30 to 40 feet before falling.
    In addition, Peninsula Corridor Joint Powers Board (Caltrain)
reported to FRA an incident that occurred in October 2014 where a
passenger was injured after she put her hand in the closing exterior
side door of a passenger train at the Burlingame Station in San Mateo,
California. The train's passenger door safety system did not work as
intended and the passenger got her hand caught in the closing door and
it did not re-open. As a result, the passenger was dragged by the train
approximately 10 feet.
    Based on these types of incidents, and other findings and concerns,
including initial findings from assessing the safety of exterior side
door systems on passenger railroads in the northeast region of the
United States, FRA tasked RSAC to review Safety Advisory 2006-5 and
develop recommendations for new safety standards to improve passenger
and crewmember safety for the operation and use of exterior side doors.
The Task Force, a subgroup of the RSAC 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 operated with fully-functional passenger train exterior side
door safety systems, and FRA then conducted in-person assessments of
the exterior side door safety systems on a total of 24 passenger
railroads throughout the Nation. During those assessments, FRA reviewed
many different models of passenger equipment and gained important
information about the risks to passengers and train crews associated
with the operation and use of passenger train exterior side doors. FRA
shared this information 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 Task Force approved the consensus
language on February 25, 2011, which was then adopted by the Working
Group and full Committee 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
form the basis of this final rule, 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 without
changing the substantive content of the standard. Thus, this standard
is identified as PR-M-S-18-10 in this final rule. This APTA standard
contains minimum standards for powered exterior side door systems and
door system function on new rail passenger cars because APTA designed
it 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 final rule incorporates 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.\1\ To the maximum extent practicable, FRA utilizes RSAC to
provide consensus recommendations with respect to both proposed and
final agency action. When appropriate, FRA assigns a task to RSAC, and
after consideration and debate, RSAC may accept or reject the task. If
RSAC accepts the task, it establishes a working group with 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 Committee for a vote. If RSAC is unable to reach
consensus on a recommendation for action, the task is withdrawn and FRA
determines the best course of action. 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 discussing the issues and options and drafting the
language of the consensus proposal, FRA is often favorably inclined
toward the RSAC recommendation. However, FRA is not 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 consistent with policy and legal
requirements. Often, FRA varies in some respects from the RSAC
recommendation when developing the actual regulatory proposal or final
rule. FRA notes and explains any such variations in the rulemaking it
issues
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    \1\ 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.
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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.\2\
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    \2\ 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.
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    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.\3\ 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.\4\
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    \3\ 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,
Caltrain, LIRR, MBTA, 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.
    \4\ The Task Force met 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.
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    To aid the Task Force with its delegated task, FRA's Office of
Chief Counsel, in conjunction with FRA's Office of Railroad Safety,
typically drafted proposed regulatory text for discussion purposes at
Door Safety Subgroup meetings. Door Safety Subgroup members would then
offer suggested changes to this proposed draft text. Staff from DOT's
John A. Volpe National Transportation System Center also attended these
meetings and contributed to the discussions. Minutes of each meeting
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 the Task Force accepted 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 Committee on May 20, 2011, where it was
approved by unanimous vote. Thus, the Working Group's recommendation
was adopted by the full Committee as the recommendation to FRA.
    In the March 26, 2014 NPRM, FRA proposed adding 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 identified other sections
in part

238 that include substantive door safety requirements. FRA also
clarified that all exterior side doors on new intercity passenger train
cars--in addition to new commuter train cars--would be subject to the
requirements of Sec.  238.131.
    In addition, FRA made changes to the RSAC recommended language to
clarify the proposed requirements in the NPRM. For example, FRA
clarified that the provisions of the NPRM applied to full-sized
exterior side doors besides those used for the boarding and alighting
of passengers at train stations, such as baggage doors, but did not
apply to small hatches of compartment-sized doors and the exterior side
doors on private cars. FRA also decided not to include in the NPRM an
RSAC recommendation that powered, exterior side passenger doors be
connected to a manual override device capable of opening the exterior
side doors when the doors are locked out, because this design
requirement was already covered under existing regulations at Sec.
238.112(a) and (b). FRA 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) in
the NPRM, so the requirement would apply to all tiers of passenger
cars, including conventional locomotives used in passenger service.
    FRA specifically asked for comment on these areas of the proposal.
However, FRA did not receive any comments on these or other areas of
the NPRM where FRA specifically invited comment.

III. Discussion of Specific Comments and Conclusions

    Overall, FRA received four comments in response to the NPRM from
the following parties: Sensotech Inc. (Sensotech), the Southeastern
Pennsylvania Transportation Authority (SEPTA), Veolia Transportation
(Veolia), and an anonymous commenter. The comment from Veolia was
initially received as an email to an FRA staff director asking whether
one of Veolia's procedures conflicted with a proposal in the NPRM. FRA
has included the email and an attachment received by the staff director
in the public docket for this rulemaking and is treating the email and
its attachment as a comment on this rulemaking.
    FRA appreciates and carefully considered all comments it received
regarding this rulemaking. The comments raised issues on what type of
technology FRA considered when developing this rulemaking, whether FRA
would modify its proposal in Sec.  238.135(b) that exterior side doors
and trap doors must be closed between stations, and whether a specific
safety procedure would be an allowable exception to the proposed
requirement to keep the doors closed. FRA also received one comment
that was not germane and outside the scope of this rulemaking. FRA did
not change any of the regulatory text in this final rule based on the
comments it received but addresses each comment below. The full text of
every comment FRA received on the NPRM is in the public docket for this
rulemaking at www.regulations.gov. Please note that the order in which
the comments are discussed in this document is not intended to reflect
the significance of the comment raised or the standing of the
commenter.
    Sensotech submitted a comment commending FRA for its efforts to
improve passenger safety and comfort. However, Sensotech stated it did
not see in the NPRM any information about the use of acoustic
technology to support passenger door safety. According to Sensotech,
``[a]coustic technology is the most suitable technology for remote
sensing for rail doors'' because it is not sensitive to metallic carbon
dust created by moving trains and brake pads, and the technology is
programmed to distinguish between outdoor elements (like hail, snow,
and rain) versus a person or other hard objects. As a result, according
to Sensotech, acoustic technology is more reliable in supporting
passenger door safety than other technologies. Sensotech described an
acoustic technology door sensor system it developed for transit bus
doors implemented in buses. In addition, Sensotech described an
application it developed specifically for passenger rail door
application, stating that it has been installed more recently on a
commuter rail system.
    FRA thanks Sensotech for providing information about the use of
acoustic technology to promote door safety. However, FRA did not
specify in the NPRM, and declines to specify in this final rule, what
specific type of technology railroads must use to comply with the
requirements of this final rule. FRA sought to develop requirements
that are performance-based. FRA believes that allowing railroads the
freedom to decide how best to comply with the requirements in this
final rule allows railroads to make the most efficient decisions to
meet FRA's safety requirements and minimize the costs of the rule.
    SEPTA submitted a comment expressing concern regarding the proposed
requirement that all exterior side doors and trap doors be closed when
a train is in motion between stations. (See the Technical Background,
Section IV.A, for an overview of trap doors). SEPTA noted that, in a
letter to FRA's Associate Administrator for Railroad Safety/Chief
Safety Officer dated February 17, 2010, SEPTA committed to operating
all its trains with two or fewer cars in passenger service with all
their side doors closed between stations. In addition, SEPTA noted that
any train with three or more cars in passenger use would be required to
operate with its side doors closed between stations depending on the
number of crewmembers assigned to the train. SEPTA added these
requirements to its operating manual as a crew responsibility.
    However, since sending this letter to FRA in 2010, SEPTA replaced
its Silverliner II and Silverliner III cars with manual doors and trap
doors with new Silverliner V cars. According to SEPTA, these
Silverliner V cars have power-operated doors with manual trap doors
located inside the cars. SEPTA specifically raised concern about the
requirement proposed in Sec.  238.135(b) that trap doors must be closed
between stations. SEPTA stated that when the trap doors are open and
the side doors are closed, a passenger could not fall out of the car
from the passenger compartment. Therefore, according to SEPTA, the cars
can move safely between stations with the cars' side doors closed and
its trap doors open. However, SEPTA noted that the proposed language in
Sec.  238.135(b) does not make an allowance for this car design. SEPTA
also stated that as part of its capital program it estimates that in
2020 it will begin to replace its current Silverliner IV fleet with new
Silverliner VI cars, which it anticipates will be fully compliant with
the requirements of 49 CFR 238.135. In the meantime, SEPTA suggested
FRA allow an exception ``[w]hen the open trap [door] is located within
the car allowing the side door to completely close over the opening
preventing any access to the outside of the car from the passenger
compartment.''
    In its comment to FRA, Veolia also expressed concern about the
requirement that exterior side doors and trap doors be closed when a
train is in motion between stations in proposed Sec.  238.135(b).
Veolia described a ``redundant safety procedure'' at a particular
interlocking where it requires conductors to verify the signal
indication. Veolia believed this procedure may necessitate opening a
door while the train is moving and sought to continue this practice. In
addition, Veolia noted that some conductors open their workstation door
as their train approaches the limits of its

authority, red signals, or other areas of particular concern. Veolia
sought clarification on whether these practices would violate the
requirements proposed in Sec.  238.135(b).
    After carefully considering the SEPTA and Veolia comments, FRA has
decided not to change the language proposed in Sec.  238.135(b).
However, as discussed further below, FRA is providing additional time
for railroads to comply with the requirement that exterior side doors
and trap doors remain closed when a train is in motion between
stations. The exceptions to this requirement apply when a train is
departing or arriving at a station and a crewmember needs to observe
the station platform and the open door is attended by a crewmember, and
when a crewmember must perform on-ground functions, such as, but not
limited to, lining switches, making up or splitting trains, providing
crossing protection, or inspecting the train.
    While the scenarios described by SEPTA and Veolia in their separate
comments do not fall under either of these defined exceptions, Sec.
238.135(c) allows a railroad to apply for special approval from FRA's
Associate Administrator for Railroad Safety/Chief Safety Officer to
operate passenger trains with exterior side doors or trap doors, or
both, open between stations. Any request for relief must include a
written justification, a detailed hazard analysis, and be signed by the
railroad's chief executive officer or equivalent. FRA believes this
approval process is the appropriate way to handle issues involving
railroads that may need relief from the requirement in Sec.
238.135(b), rather than establish additional, generally-applicable
exceptions that are better addressed on a case-by-case basis. By
requiring passenger railroads to conduct a safety analysis and apply to
FRA for approval for a special exception, FRA will be able to make
individualized determinations that tailor any such exception to the
specific circumstances involved and the safety of the affected
passengers and train crews.
    FRA received an additional anonymous comment regarding hours of
service issues involving the trucking industry and a Federal Motor
Carrier Safety Administration proposal. Since the comment is not
germane to passenger door safety issues or this rulemaking, and its
scope is not within FRA's jurisdiction, FRA did not address this
comment in this final rule.
    With the exception of the issues the commenters raised and FRA
discussed above, FRA did not receive any comments on the proposed rule.
Therefore, unless specifically noted, FRA has adopted the requirements
proposed in the NPRM in this final rule.

IV. 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, contain
door status indicators, and 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 to 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 moveable stairwell to facilitate low-level
boarding. To provide high-level platform boarding, the train crew
closes (or keeps closed) the trap to cover the stairwell. Trap doors
are not 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 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, controls, and
status indicators, no-motion and end-of-train 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 noted above, FRA decided to perform a safety assessment of 24
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.
FRA employed analytical techniques to identify any limitations of the
safety features engineered into the trains' exterior side doors and of
the railroads' rules governing their employees who operate them. Each
of the passenger railroads was assessed individually, and exterior side
door safety concerns were found with virtually all the railroads
surveyed. However, the door safety concerns varied among the railroads
in nature and degree.
    There are various types of trains that are designed for particular
purposes. The type and sequence of locomotives and cars assembled or
coupled together to form a train is referred to as the train consist. A
train consist can typically 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 conventional
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.
    Self-propelled electric or diesel MU locomotives may operate
individually in passenger train service, 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 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 assessment 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 crewmembers 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 from 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 open 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 crewmember is present at each door. When a crewmember
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 train crewmembers sometimes 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 moving. 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
moving 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 can
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
moving. This situation can occur on many different types of equipment.
3. Failure Modes, Effects, and Criticality Analysis (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
where they were if they were moving 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 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 final rule
requires 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 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 will help ensure that the failure of a single
component of a door safety system will 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 illuminate on the
interior or exterior of a passenger car above the exterior side door
that is open. The lights 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 illuminate on the
active door control panel when all the doors are closed on that side of
the train. Therefore, if a power door did not close, 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 tells the engineer that the exterior side doors on both
sides of the train are closed and 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 train crews could use to
determine if there was an obstruction in the exterior side doors.
However, in many instances on-board personnel were not using the door
status indicators as intended. In some cases, crewmembers did not use
these indicators because the indicators' lens color was not maintained
properly and, therefore, the indicators were 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 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
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 Circuit
    No-motion is an electric circuit the door safety system uses 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 circuitry will also cause the exterior side doors to close when
the train accelerates above a pre-determined speed. If the no-motion
circuit (also referred to as a ``no-motion system'' in this document)
malfunctions, the conductor cannot 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, if such a
malfunction occurs, 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 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 passenger and train crew safety was at risk on
many railroads 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. 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 Circuit
    The end-of-train 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 situation can occur by the unintentional activation of the
end-of-train circuit. For example, 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 rearward of the car with the activated end-of-train
circuit 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 end-of-train
circuit switches were not properly positioned or protected. These
switches should be secured and protected to prevent access by
unauthorized personnel and 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 if something is preventing an exterior side door
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 door movement like elevator doors. Most
obstruction detection systems require the exterior side door to
actually physically impact the obstruction 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 becomes compressed
and causes the door to react to the obstruction by stopping the closing
door or by reversing the door movement. Other obstruction detection
systems employ a tilting switch that detects when the door is 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 tells the door safety system 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 to detect it. Instead, they may use photo optics
or laser light beams to prevent the door from closing if something
interrupts a light beam that runs along the path of the closing
exterior side door. They may also use other technologies; see the
discussion of Sensotech's comment in Section III., above.
    However, FRA found during its assessment that it was possible to
become entangled in a powered exterior side door on numerous different
models of equipment, even when door obstruction detection systems were
utilized. 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 thoroughly understand the limitations of their trains' exterior
side door safety features, 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 cannot
produce tractive power and move, a function commonly referred to as
``traction inhibit.'' Similarly, if an exterior side door on a train is
not completely closed, and there is an obstruction in the door, the
traction inhibit function prevents the train from developing tractive
power and departing the station. Only after all the exterior side doors
are closed as intended can the train 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 open
or closed. Thus, if a passenger became entangled in a door, the
passenger could be dragged by one of these trains because they lacked a
design feature to stop 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 with a door obstruction system
and traction inhibit, it was possible for the train to produce tractive
power even when an individual became entangled in an exterior side
door. 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, the
final rule will enhance passenger and train crew safety by requiring
all new passenger cars to have door safety systems which include door
obstruction detection systems that release obstructions when detected.
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. If an exterior side door malfunctions, 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 that did
not know how to isolate or lock-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
maintains the integrity of the train's door safety system while still
providing door obstruction and traction inhibit protection for all
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 this way 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 exterior side door is
malfunctioning on its train, the train crew can utilize a door by-pass
device to override the door safety system 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 must be
sealed in an off position to mitigate the potential of an accidental
activation of the door by-pass device.
    However, if there is 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
the powered exterior side doors.
    However, FRA's assessment found that passenger cars responded
differently to 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. Other door
systems operated as intended and were not 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 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, which 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 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 train crewmembers to take
extra measures to ensure 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 train crewmembers to take such
extra measures as well. The different cars may not communicate door
opening and closing 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 in its ability or unable 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 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 there is an inherent, increased risk of becoming entangled in
an exterior side door on a mixed consist train.
    Train crews may need to take extra measures to ensure the safe
functioning of doors in mixed consist trains they operate. These extra
measures should ensure the operation of mixed consist trains provides 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 for 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. 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 trains did not
depart from stations until all passengers had successfully boarded or
alighted from the trains. Finally, FRA found that some 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 ensure passenger safety
until the system can be restored back to its designed level.

V. Section-by-Section Analysis

Subpart A--General

Section 238.5 Definitions
    FRA is amending this section to add the following new definitions
to this part: By-pass, door isolation lock, door summary circuit, end-
of-train circuit, exterior side door safety system, no-motion system,
and trainline door circuit. FRA intends for these definitions to
clarify the meaning of significant terms used in this final rule. These
definitions will minimize the potential for misinterpretation of the
regulatory language. RSAC recommended that FRA add these definitions to
this section, and FRA agrees with RSAC's recommendation.
    ``By-pass'' means a device designed to override a function. This
term describes 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. Among its functions,
the door summary circuit indicates 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 so the train can reach its destination.
    ``Door isolation lock'' means 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.
FRA added this term because it is in the definition of a door summary
circuit and helps clarify what potential information is being relayed
to the controlling cab of a train by the door summary circuit.
    ``Door summary circuit'' means a trainline door circuit that, among
its functions, indicates 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. FRA added this term to clarify what this
circuit does in relation to the operation of a passenger train and what
information it provides the controlling cab of the train about the
exterior side doors.
    ``End-of-train circuit'' means 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. FRA added this term
to make clear what an end-of-train circuit does in a passenger train.
For clarity, FRA changed the term to ``end-of-train circuit'' in the
final rule rather than just ``end-of-train,'' as proposed in the NPRM.
For additional discussion about end-of-train circuits, see the
Technical Background, Section IV.F.6.
    ``Exterior side door safety system'' means a system 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, and display the
status of the exterior side doors, and is interlocked with the traction
power control. FRA added this term to explain what types of systems or
subsystems of safety features make up an exterior side door safety
system.
    ``No-motion system'' means a system on a train that detects the
motion of the train. This system is normally integrated with the
exterior side door safety system.
    ``Trainline door circuit'' means a circuit used to convey door
signals over the length of a train. This term is used in the definition
of door summary circuit.

Subpart B--Safety Planning and General Requirements

    FRA has carefully organized the various requirements in this final
rule. These requirements apply to all tiers of passenger cars and
locomotives used in passenger service. In the NPRM, FRA made clear
that, in addition to requirements for passenger cars, the proposed rule
would apply certain requirements to locomotives used in passenger
service. FRA invited comment on how the various requirements in the
rule should be organized and specifically the approach the NPRM took to
applying requirements to locomotives used in passenger service,
including comments on any alternative approach. However, FRA did not
receive any comment from the public on these or other areas of the NPRM
where FRA specifically invited comment.
    As discussed above in Section III, Discussion of Specific Comments
and Conclusions, FRA did receive and carefully considered comments on
the

requirements proposed in the rulemaking. However, FRA has not changed
the rule text on the basis of the comments received. FRA is nonetheless
modifying the rule text in this final rule to provide the regulated
community with greater clarity on the requirements of this rule. FRA
describes these changes below in this Section-by-Section Analysis.
Section 238.131 Exterior Side Door Safety Systems--New Passenger Cars
and Locomotives Used in Passenger Service
    FRA is adding this new section to part 238, addressed below by
paragraph.
    Paragraph (a) applies to powered exterior side door safety systems
on new rail passenger cars, and connected door safety systems on new
locomotives used in passenger service, ordered on or after April 5,
2016, or placed in service for the first time on or after February 5,
2016. This paragraph does not apply to new or existing rail passenger
cars or locomotives used in passenger service with manual exterior side
doors. It also does not apply to existing rail passenger cars or
locomotives used in passenger service with powered exterior side doors.
    Paragraph (a)(1) requires 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 be built according
to APTA Standard PR-M-S-18-10, ``Standard for Powered Exterior Side
Door System Design for New Passenger Cars'' (Standard). APTA's Rail
Standards Policy and Planning Committee approved this APTA Standard on
February 11, 2011. The Task Force and Working Group subsequently
reviewed and recommended the Standard to the full Committee, which then
recommended that FRA use the Standard in this rulemaking. FRA is
incorporating by reference this Standard, which 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.
    The Standard addresses design requirements and safety features that
occur at three different levels: The individual door, the car, and the
train. Passenger cars and passenger locomotives must 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, the Standard
requires the train's door summary circuit to be interlocked with the
propulsion system of the train's locomotive(s). Specifically, the train
may not develop tractive power if an exterior side door in a passenger
car is not closed, unless the door is under the direct physical control
of a crewmember.
    The implementation dates in this paragraph are consistent with
other applicability dates FRA imposed, and FRA believes they are
achievable. This Standard is available to all interested parties online
at www.apta.com. Additionally, FRA made a copy of the Standard part of
the docket in this proceeding and it is available for public
inspection.
    Paragraph (a)(2) requires powered exterior side door safety systems
on all new passenger cars and connected door safety systems on new
locomotives used in passenger service to be designed based on a FMECA.
FRA requires such door safety systems to be subject to a FMECA to
ensure door system manufacturers consider and address the failure modes
of exterior side doors. As discussed in the Technical Background,
Section IV.F.3, FRA learned there was great variability among different
models of passenger cars on how exterior side doors reacted to a system
failure. For example, when there was 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 and make informed
decisions on the safest design approach.
    Paragraph (a)(3) requires powered exterior side doors in all new
passenger cars to be equipped with an obstruction detection system, and
a connected system in all new locomotives used in passenger service, to
identify and release an obstruction while preventing the train from
developing tractive power until the obstruction is released. An
obstruction detection system detects and reacts to both small and large
obstructions in the powered exterior side doors. This will make
boarding and alighting from passenger trains safer.
    This new paragraph is necessary based on FRA's assessment of
powered exterior side doors on various passenger train operations, as
discussed specifically in the Technical Background, Section IV.F.7. In
many instances, FRA discovered that a passenger, or his or her
belongings, could be caught in a powered exterior side door of a
passenger car without the door recognizing the passenger or 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 there was an obstruction in a powered exterior side
door. These types of incidents have led to serious passenger injuries
and even death. FRA also learned that some door systems were unable to
identify large obstructions caught in a train's exterior side doors.
For example, some passenger trains could generate tractive power even
when a large object like a wheelchair or walker became stuck in the
exterior side doors. Passenger door systems that cannot 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.
    Paragraph (a)(4) prohibits the activation of a door by-pass feature
in new passenger cars with powered exterior side doors and in connected
locomotives from affecting an exterior side door's obstruction
detection system. As discussed in the Technical Background, Section
IV.F.10, FRA discovered that many passenger door safety systems could
be compromised by the activation of a door by-pass device. 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 requiring that obstruction detection systems in
new passenger cars and connected 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 will ensure that
passenger safety is not compromised by deactivating these safety
features in the train's exterior side doors.
    Paragraph (a)(5) requires the train crew to use a door control
panel key or some other secure device to access the train's door
control system. The train crew will need a key or other secure device
to operate the door control panel to open or close the exterior powered

side doors. FRA does not intend to require passengers in an emergency
to use a key to operate any manual override device for opening powered
exterior side doors. See 49 CFR 238.112. Such manual override devices
must be readily accessible to passengers in an emergency. Instead, this
requirement 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 to prematurely exit a train while it is
still in motion.
    FRA makes clear that although this final rule often states
requirements in terms of the duties of railroad crewmembers, any person
as defined in Sec.  238.5, including a contractor or subcontractor to a
railroad, who performs any function required by this final rule, must
perform that function in accordance with this rule. See Sec.  238.9(c)
(``Responsibility for compliance''). Consequently, the requirements of
this final rule apply to contractors and subcontractors performing
railroad crewmember functions.
    Paragraph (a)(6) is related to paragraph (a)(5). This paragraph
makes 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 is required to operate
the powered exterior side doors from the door control panel.
    This requirement helps ensure that only the conductor or another
qualified crewmember can open or close the exterior side doors from the
door control panel. This requirement will minimize the possibility that
passengers will open the exterior side doors in non-emergency
situations when a train is entering or departing a station. However,
FRA notes that under Sec.  238.112, powered exterior side doors must
continue to be equipped with a manual override device to allow
passengers to open the doors in emergency situations.
    Paragraph (a)(7) ensures that train throttle movement will have no
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. As discussed in the Technical
Background, Section IV.F.11, FRA discovered through its door safety
assessment 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 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 assessment, 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 by-pass 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
requiring that, for new passenger cars and locomotives used in
passenger service, locomotive throttle movement does not open or close
a passenger train's exterior side doors or have any other effect on the
proper functioning of the train's door safety system.
    Paragraph (b) applies to new rail passenger cars, with either
manual or powered exterior side doors, and connected door safety
systems on new locomotives used in passenger service, ordered on or
after April 5, 2016, or placed in service for the first time on or
after February 5, 2018. This paragraph does not apply to existing rail
passenger cars or locomotives used in passenger service with either
manual or powered exterior side doors.
    Paragraph (b)(1) requires new passenger cars with manual or powered
exterior side doors, and connected door safety systems on 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 paragraph is necessary to
prevent serious injuries from occurring when trains have their exterior
side doors open while moving.
    However, FRA is allowing an exception for train crew use. This
requirement does 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 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) requires 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 must be
connected to interior and exterior door status indicators, usually
lights, to indicate when 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. FRA believes that these interior and exterior
door status indicators will help train crews determine whether it is
safe for trains to depart stations.
    Paragraph (b)(3) requires all new passenger cars with manual or
powered exterior side doors and all new passenger locomotives to be
connected to a door summary status indicator located in the train's
operating cab and viewable from the engineer's normal operating
position. 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 and 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) requires that, for all new passenger cars with
manual or powered exterior side doors, and all new locomotives used in
passenger service equipped with a door by-pass system, the door by-pass
system will be functional only when activated from the controlling
locomotive. Putting a train in door by-pass mode allows the train to
develop tractive power regardless of the status of the doors. During
its door safety assessment 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.
    Because this paragraph requires that the door by-pass switch can
only be activated in the controlling locomotive of a passenger train,
engineers should

always know if the door safety system has been overridden through the
use of the door by-pass switch. In addition, having the switch only be
activated 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) identifies other sections in this part that include
substantive requirements for exterior side door safety for ease of
reference. These include requirements for using side doors in an
emergency.
Section 238.133 Exterior Side Door Safety Systems--All Passenger Cars
and Locomotives Used in Passenger Service
    FRA is adding this new section to part 238, addressed below by
paragraph.
    Paragraph (a) requires that each passenger train crew verify 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 door safety assessment 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 crewmembers should understand when first taking
control of a passenger train whether the exterior side doors of the
train are in door by-pass mode. However, when there is face-to-face
relief of another train crew, the train crew coming on duty will not
need to verify the status of the door by-pass devices by visual
inspection. This exception will help railroad efficiency by not
requiring on-coming train crews to conduct an inspection 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 must verify the status of their train's door by-pass
devices.
    However, paragraph (a) also allows railroads to develop a
functional test to verify 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 makes the verification process more efficient. Of course, the
testing plan the railroad develops to replace individual visual
inspections must be adequate to determine that each door safety system
is functioning as intended.
    Paragraph (b) requires passenger train crewmembers to notify the
railroad's designated authority under 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 the door
summary status indicator is functioning as intended, then the train may
remain in service until the next forward repair point where a qualified
maintenance person (QMP), as defined in Sec.  238.5, can apply a seal,
or until 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
in paragraph (c) of this section.
    Paragraph (c) requires that, when it becomes necessary to activate
a door by-pass device while a train is en route, the train may continue
to its destination terminal if the train crew: Conducts a safety
briefing that includes a description of the location(s) where
crewmembers will position themselves on the train 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 Sec.  238.135
(``Operating practices for 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, if the railroad adheres to the requirements in paragraphs
(c)(1) and (2) of this section before moving the equipment with an
active door by-pass device.
    Paragraph (c)(1) allows a passenger train with a door by-pass
device activated to remain in service past its destination terminal if
an on-site QMP determines 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 an on-site qualified person's (QP), as defined in
Sec.  238.5, description of the condition to a QMP offsite. This
requirement will help ensure passenger safety by requiring a QMP to
make the determination on whether it is safe to move the train, but
will still provide the railroad with sufficient flexibility to handle
an activated door by-pass device.
    Paragraph (c)(2) requires that either the QP or QMP notify the
crewmember in charge of the train's movement that the door by-pass
device has been activated. This notification requirement ensures that
the crewmember in charge of the train's movement knows 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, the train crew must then hold a
safety briefing that includes information such as the locations where
each crewmember will position himself or herself on the train to ensure
that passengers board and alight from the train safely. This safety
briefing helps 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) requires each passenger railroad to maintain a record
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 in the defect tracking system required by Sec.  238.19.
While railroads do currently maintain records concerning the
malfunction of exterior side doors and subsequent repairs, FRA is not
aware that railroads maintain such records when a door by-pass device
has been activated or only when there has been an unintentional door
opening. Collecting this information will provide useful data
concerning test and maintenance intervals that are developed under this
part, e.g., Sec.  238.107 and subpart F. Like other records collected
under Sec.  238.19, railroads must make these records available to FRA
for inspection upon request.
    Paragraph (e) 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 assessment of various
passenger train door operations, this language is necessary because
some trains' door safety systems have allowed the door control panel to
remain energized after the door control panel key or similar device was
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 by simply pressing
the door open button. FRA is concerned because passengers have opened
exterior side

doors to exit trains early before the trains came to a complete stop at
stations. Additionally, some passengers have opened the exterior side
doors to exit trains while leaving stations because they forgot to exit
while the trains were stopped at station platforms. Either of these
scenarios could easily result in severe passenger injuries.
    Accordingly, this requirement mandates 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 will be held by the train's crew. FRA
does make clear that nothing in this paragraph is meant to change any
of the requirements in Sec.  238.112 for the accessibility and
operation of manual override devices for exterior side doors in an
emergency situation. This paragraph does not require passengers in an
emergency situation to use a key to operate any manual override device
for opening powered exterior side doors required by Sec.  238.112.
Passengers and crewmembers must still be able to utilize the manual
override devices for exterior side doors in an emergency situation
without the use of a door key or other similar device.
    Paragraph (f) requires a train to maintain the integrity of its
door safety systems by proper activation of the end-of-train circuit.
This includes, but is not limited to, securing the end-of-train circuit
in a manner that prevents unauthorized access. The railroad must secure
the end-of-train circuit to protect the integrity of the train. FRA
discovered that, in many models of passenger cars, a simple switch was
used to activate the end-of-train circuit and denote the end of the
train. This switch was often in the vestibule area of the car and
accessible to passengers. FRA also found a switch that was activated in
a car other than at the end of the train. Activation of the switch
eliminates from the door summary circuit all passenger car exterior
side doors beyond the activated switch, 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 paragraph helps ensure in particular
that if a railroad uses end-of-train circuit 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.
FRA added language to this section in this final rule to clarify that
railroads must ensure the integrity of the end-of-train circuit and not
just prevent unauthorized access to end-of-train circuit switches on
trains that use such switches to affect the end-of-train circuit.
    Paragraph (g)(1) requires all exterior side door safety system
override devices that could adversely affect a train's door safety
system to be inactive and sealed in all passenger cars and locomotives
in the train consist. This requirement applies to cab cars and MU
locomotives, as well as conventional locomotives. The requirements of
this paragraph are subject to the provisions of paragraph (c) of this
section for a train when it is necessary to activate a door by-pass
device, to ensure the train may safely continue to its destination
terminal.
    Paragraph (g)(2) is similar to paragraph (g)(1). However, this
paragraph emphasizes that as part of the calendar day inspection, QMPs
will 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. Passenger cars or locomotives that QMPs find with
unsealed or active exterior side door safety system override devices
are considered defective under the regulation and subject to the
movement-for-repair provisions of this part.
Section 238.135 Operating Practices for Exterior Side Door Safety
Systems
    FRA is adding this new section to part 238, addressed below by
paragraph.
    Paragraph (a) requires each crewmember to participate in a safety
briefing that identifies each crewmember's responsibilities for the
safe operation of the exterior side doors on the crewmember's train.
The briefing takes place at the beginning of each crewmember's duty
assignment before the train departs. This requirement helps ensure all
the crewmembers involved in the operation of a passenger train
understand their roles and responsibilities for the safe operation and
use of the exterior side doors.
    In this final rule, FRA revised the language in this paragraph to
clarify that the required safety briefing must address possible door
safety issues arising anytime during the crew's operation of the
assigned train, including when the train arrives at and departs from a
station. The briefing requirement applies to providing direction
throughout the crew's entire operation of the assigned train. For
example, if construction or other work will be conducted at a station
platform that could negatively impact the boarding and alighting of
passengers or crewmembers at a station, the crew must discuss the
platform work and the steps necessary to ensure the train's doors can
be safely operated at the station.
    FRA invited comment from the railroad industry and the greater
public on how this safety briefing should occur, but did not receive
any comments during the comment period. Nonetheless, FRA makes clear
that the safety briefing may be made part of other safety briefings or
discussions involving the operation of the passenger train, provided
each crewmember's role in the safe operation and use of the exterior
side doors is clearly established.
    Paragraph (b) requires all passenger train exterior side doors and
trap doors to be closed when a train is moving between stations, except
as provided in paragraphs (b)(1) and (2). As stated previously in
Section III, Discussion of Specific Comments and Conclusions, above,
FRA received comments from SEPTA and Veolia regarding this paragraph.
Both SEPTA and Veolia asked FRA to allow additional circumstances when
passenger train exterior side doors and trap doors may be open when a
train is moving between stations. As previously explained, FRA declines
to establish additional, generally-applicable exceptions beyond what is
provided in paragraphs (b)(1) and (2). However, FRA is providing
additional time for railroads to comply. Paragraph applies after April
5, 2016, or 60 days after the final rule takes effect. As proposed,
paragraph (b) would have become applicable when the final rule took
effect. In particular, this additional time will facilitate the process
for SEPTA, Veolia, and any other entity to seek relief from the
requirements of Sec.  238.135(b) by applying for special approval under
Sec.  238.135(c) from FRA's Associate Administrator for Railroad
Safety/Chief Safety Officer. Section 238.135(c) allows FRA to make
individualized determinations that tailor any additional exceptions to
the specific circumstances involved and the safety of the affected
passengers and train crews. For more discussion of SEPTA's and Veolia's
comments on this rulemaking, and FRA's response, see the Discussion of
Specific Comments and Conclusions, Section III.
    Paragraph (b)(1) allows a passenger train to depart from 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 determine if 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 observe the station platform 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
from 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 occurring on the station platform.
    Paragraph (b)(2) allows 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
was created 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 doors or trap doors on their trains as soon as it is
practical after completing the necessary on-ground functions.
    As discussed above, paragraph (c) requires that 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
except as provided in paragraph (b) of this section. Any request to FRA
must include: A written justification explaining why the passenger
railroad needs to operate its trains in this manner (paragraph
(c)(2)(i)); and 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 (paragraph (c)(2)(ii)). The chief executive officer (CEO), or
equivalent, of the organization(s) making the request must sign the
request (paragraph (c)(3)). In addition, FRA added paragraph (c)(4) to
this final rule to clarify that railroads may need to submit other
documents and different types of information to support the request.
Passenger railroads must seek this special approval from FRA before
operating trains in the requested manner, so that FRA can determine if
passengers and train crews riding on such trains are adequately
safeguarded against personal injury. FRA makes clear that if a
passenger railroad must take additional steps to adequately safeguard
passengers and train crews against personal injury, FRA may condition
the grant of any special approval on the implementation of any such
measures within the timeframes in the approval.
    Paragraph (d) requires railroads to adopt and comply with operating
rules on how to safely override a door summary circuit or a no-motion
system, or both, if there is an en route exterior side door failure or
malfunction on a passenger train. Under this section's requirements,
the railroads must provide these written rules to their employees and
make them available for FRA inspection. The written rules must include:
(1) Instructions to crewmembers and control center personnel describing
what conditions must be present to override the door summary circuit or
the no-motion system, or both (paragraph (d)(1)); and (2) steps
crewmembers and control center personnel must take after the door
summary circuit or no-motion system, or both, have been overridden, to
help ensure continued passenger safety (paragraph (d)(2)). These
paragraphs are intended to ensure 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 is overridden.
    FRA is allowing a three-year period for the requirements in this
paragraph to be implemented. FRA believes this three-year period will
provide railroads with adequate time to develop and train their
crewmembers and control center personnel on the operating rules and
instructions, and minimize any cost. FRA wants to make clear that the
term ``control center personnel'' in this final rule includes both
railroad employees and railroad contractors and subcontractors who
perform control center functions. See Sec.  238.9(c). Use of the term
``control center personnel'' is also consistent with 49 CFR part 239,
Passenger Train Emergency Preparedness, which uses the term ``control
center personnel'' to describe the same persons. While crewmembers will
continue to have the majority of the responsibilities under this
section, control center personnel play an important role in how to
safely override a door summary circuit or no-motion system, or both.
    Paragraph (e) requires each crewmember to 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 will cover how a crewmember
determines which exterior side door is malfunctioning. FRA believes
that training crewmembers is necessary to ensure that a passenger
train's door safety systems are utilized to their designed level of
safety. Crewmembers 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.
    FRA makes clear that these requirements apply to both manual and
powered exterior side doors. FRA is allowing a three-year period for
railroads to implement the requirements of this paragraph. This three-
year period affords the railroads adequate time to train their
crewmembers and minimize any cost.
    Paragraph (f) requires 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, this paragraph requires crewmembers to
determine there are no obstructions in their passenger train's exterior
side doors before the train departs. This operating rule requirement
will safeguard against passengers becoming entangled in the exterior
side doors of a train when boarding and alighting the train. FRA is
allowing railroads a three-year period to implement the requirements of
this paragraph. In the NPRM, this requirement was proposed under Sec.
238.135(g). However, in this final rule FRA has switched proposed
Sec. Sec.  238.135(f) and (g) because it flows logically that
requirements about operating rules should come before requirements for
conducting tests on those rules.
    Paragraph (g) requires that each railroad periodically conduct
operational (efficiency) tests and observations of its operating
crewmembers and control center personnel to determine each individual's
proficiency with the side door safety procedures for both the
railroad's exterior powered and manual passenger train side doors. FRA
recognizes the critical role control center personnel have in ensuring
the safe movement of trains. These individuals must receive operational
(efficiency) testing appropriate to their role providing door
operations support

to train crews. For example, control center personnel must understand
the implications of a crew's activation of a door by-pass device. Due
to additional safety precautions the crew must take, a train might need
extra time at station platforms to allow for the safe boarding and
alighting of passengers, which may affect the crew's ability to adhere
to the train schedule. Control center personnel must be prepared to
respond appropriately to safely direct train movements.
    As in paragraph (e), FRA makes clear that this paragraph applies to
both manual and powered exterior side doors. The rule provides
railroads a three-year implementation period before requiring them to
conduct operational (efficiency) tests and observations of their
operating crewmembers and control center personnel to determine each
individual's knowledge of the specific railroad's powered and manual
exterior side door safety procedures for its passenger trains. This
three-year implementation period affords the railroads adequate time to
train and then begin testing their crewmembers and control center
personnel on exterior side door safety procedures, and minimize any
expense.
    Finally, as stated above, this requirement was proposed under Sec.
238.135(f) in the NPRM. However, in this final rule FRA has switched
proposed Sec. Sec.  238.135(f) and (g) for clarity.
Section 238.137 Mixed Consist; Operating Equipment With Incompatible
Exterior Side Door Systems
    FRA is adding this new section to part 238. FRA modified the
language proposed in the NPRM for each paragraph of this section to
clarify FRA's intent regarding each paragraph. Through this section,
FRA is creating a positive requirement for railroads to take action to
ensure that when they operate ``mixed consist'' trains, they operate
them safely. In addition, FRA is also modifying the language proposed
in paragraph (b) to clarify that entities subject to the requirements
of this rule must adopt and comply with operating rules to ensure the
safe operation of mixed consist trains. Each paragraph is addressed
below.
    Paragraph (a) requires a train made up of equipment with
incompatible exterior side door systems to be operated within the
constraints of each exterior side door safety system on the train. As
evidenced by FRA's safety assessment of passenger railroad door systems
across the country, some passenger railroads mix and match different
models of passenger cars with 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 not able to properly communicate the presence of an obstruction in
a door, or the door's status otherwise, this paragraph requires train
crewmembers to take extra steps to enhance passenger safety to a level
at least equivalent to 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 require extra attention by crewmembers to ensure that they
are closed and it is safe to depart. In addition, FRA slightly modified
the proposed language for this paragraph in this final rule to state
the requirement more clearly.
    Paragraph (b) requires railroads to adopt and comply with 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 mixed consist train. Once
the operating rules have been adopted, complying with these rules will
ensure the mixed consist train is operated with at least the same level
of safety as a train with compatible exterior side door safety systems,
even though the door safety systems on the various cars are
incompatible. These rules must 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 whether it is safe for the train to depart a station.
    FRA also modified the proposed language in this paragraph to
clarify its requirements. The modified language makes the regulatory
language consistent with the regulatory language for Sec.  238.135(d)
and (g) in this final rule, which also contain requirements involving
railroad operating rules.