[Federal Register Volume 83, Number 217 (Thursday, November 8, 2018)]
[Rules and Regulations]
[Pages 55821-55823]
[FR Doc No: 2018-24215]

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DEPARTMENT OF TRANSPORTATION

Federal Aviation Administration

14 CFR Part 97

[Docket No. 31220; Amdt. No. 3823]

Standard Instrument Approach Procedures, and Takeoff Minimums and
Obstacle Departure Procedures; Miscellaneous Amendments

AGENCY: Federal Aviation Administration (FAA), DOT.

ACTION: Final rule.

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SUMMARY: This rule establishes, amends, suspends, or removes Standard
Instrument Approach Procedures (SIAPs) and associated Takeoff Minimums
and Obstacle Departure Procedures (ODPs) for operations at certain
airports. These regulatory actions are needed because of the adoption
of new or revised criteria, or because of changes occurring in the
National Airspace System, such as the commissioning of new navigational
facilities, adding new obstacles, or changing air traffic requirements.
These changes are designed to provide safe and efficient use of the
navigable airspace and to promote safe flight operations under
instrument flight rules at the affected airports.

DATES: This rule is effective November 8, 2018. The compliance date for
each SIAP, associated Takeoff Minimums, and ODP is specified in the
amendatory provisions.
    The incorporation by reference of certain publications listed in
the regulations is approved by the Director of the Federal Register as
of November 8, 2018.

ADDRESSES: Availability of matters incorporated by reference in the
amendment is as follows:

For Examination

    1. U.S. Department of Transportation, Docket Ops-M30, 1200 New
Jersey Avenue SE, West Bldg., Ground Floor, Washington, DC 20590-0001.
    2. The FAA Air Traffic Organization Service Area in which the
affected airport is located;
    3. The office of Aeronautical Navigation Products, 6500 South
MacArthur Blvd., Oklahoma City, OK 73169 or,
    4. The National Archives and Records Administration (NARA). For
information on the availability of this material at NARA, call 202-741-
6030, or go to: http://www.archives.gov/federal_register/code_of_federal_regulations/ibr_locations.html.

Availability

    All SIAPs and Takeoff Minimums and ODPs are available online free
of charge. Visit the National Flight Data Center at nfdc.faa.gov to
register. Additionally, individual SIAP and Takeoff Minimums and ODP
copies may be obtained from the FAA Air Traffic Organization Service
Area in which the affected airport is located.

FOR FURTHER INFORMATION CONTACT: Thomas J. Nichols, Flight Procedure
Standards Branch (AFS-420), Flight Technologies and Programs Divisions,
Flight Standards Service, Federal Aviation Administration, Mike
Monroney Aeronautical Center, 6500 South MacArthur Blvd., Oklahoma
City, OK 73169 (Mail Address: P.O. Box 25082, Oklahoma City, OK 73125)
Telephone:<PHONE_NUMBER>.

SUPPLEMENTARY INFORMATION: This rule amends Title 14 of the Code of
Federal Regulations, Part 97 (14 CFR part 97), by establishing,
amending, suspending, or removes SIAPS, Takeoff Minimums and/or ODPS.
The complete regulatory description of each SIAP and its associated
Takeoff Minimums or ODP for an identified airport is listed on FAA form
documents which are incorporated by reference in this amendment under 5
U.S.C. 552(a), 1 CFR part 51, and 14 CFR part 97.20. The applicable FAA
forms are FAA Forms 8260-3, 8260-4, 8260-5, 8260-15A, and 8260-15B when
required by an entry on 8260-15A.
    The large number of SIAPs, Takeoff Minimums and ODPs, their complex
nature, and the need for a special format make publication in the
Federal Register expensive and impractical. Further, airmen do not use
the regulatory text of the SIAPs, Takeoff Minimums or ODPs, but instead
refer to their graphic depiction on charts printed by publishers of
aeronautical materials. Thus, the advantages of incorporation by
reference are realized and publication of the complete description of
each SIAP, Takeoff Minimums and ODP listed on FAA form documents is
unnecessary. This amendment provides the affected CFR sections and
specifies the types of SIAPs, Takeoff Minimums and ODPs with their
applicable effective dates. This amendment also identifies the airport
and its location, the procedure, and the amendment number.

Availability and Summary of Material Incorporated by Reference

    The material incorporated by reference is publicly available as
listed in the ADDRESSES section.
    The material incorporated by reference describes SIAPS, Takeoff
Minimums and/or ODPS as identified in the amendatory language for part
97 of this final rule.

The Rule

    This amendment to 14 CFR part 97 is effective upon publication of
each separate SIAP, Takeoff Minimums and ODP as Amended in the
transmittal. Some SIAP and Takeoff Minimums and textual ODP amendments
may have been issued previously by the FAA in a Flight Data Center
(FDC) Notice to Airmen (NOTAM) as an emergency action of immediate
flight safety relating

directly to published aeronautical charts.
    The circumstances that created the need for some SIAP and Takeoff
Minimums and ODP amendments may require making them effective in less
than 30 days. For the remaining SIAPs and Takeoff Minimums and ODPs, an
effective date at least 30 days after publication is provided.
    Further, the SIAPs and Takeoff Minimums and ODPs contained in this
amendment are based on the criteria contained in the U.S. Standard for
Terminal Instrument Procedures (TERPS). In developing these SIAPs and
Takeoff Minimums and ODPs, the TERPS criteria were applied to the
conditions existing or anticipated at the affected airports. Because of
the close and immediate relationship between these SIAPs, Takeoff
Minimums and ODPs, and safety in air commerce, I find that notice and
public procedure under 5 U.S.C. 553(b) are impracticable and contrary
to the public interest and, where applicable, under 5 U.S.C 553(d),
good cause exists for making some SIAPs effective in less than 30 days.
    The FAA has determined that this regulation only involves an
established body of technical regulations for which frequent and
routine amendments are necessary to keep them operationally current.
It, therefore--(1) is not a ``significant regulatory action'' under
Executive Order 12866; (2) is not a ``significant rule'' under DOT
Regulatory Policies and Procedures (44 FR 11034; February 26,1979); and
(3) does not warrant preparation of a regulatory evaluation as the
anticipated impact is so minimal. For the same reason, the FAA
certifies that this amendment will not have a significant economic
impact on a substantial number of small entities under the criteria of
the Regulatory Flexibility Act.

List of Subjects in 14 CFR Part 97

    Air traffic control, Airports, Incorporation by reference,
Navigation (air).

    Issued in Washington, DC, on October 19, 2018.
Rick Domingo,
Executive Director, Flight Standards Service.

Adoption of the Amendment

    Accordingly, pursuant to the authority delegated to me, Title 14,
Code of Federal Regulations, Part 97 (14 CFR part 97) is amended by
establishing, amending, suspending, or removing Standard Instrument
Approach Procedures and/or Takeoff Minimums and Obstacle Departure
Procedures effective at 0901 UTC on the dates specified, as follows:

PART 97--STANDARD INSTRUMENT APPROACH PROCEDURES

0
1. The authority citation for part 97 continues to read as
    follows:

    Authority: 49 U.S.C. 106(f), 106(g), 40103, 40106, 40113, 40114,
40120, 44502, 44514, 44701, 44719, 44721-44722.

0
2. Part 97 is amended to read as follows:

Effective 6 December 2018

Chandler, AZ, Stellar Airpark, Takeoff Minimums and Obstacle DP,
Amdt 3
Porterville, CA, Porterville Muni, Takeoff Minimums and Obstacle DP,
Amdt 2A
Hollywood, FL, North Perry, RNAV (GPS) RWY 10R, Orig-C
Hollywood, FL, North Perry, RNAV (GPS) RWY 28R, Orig-C
Perry, GA, Perry-Houston County, ILS OR LOC RWY 36, Orig-A
Provincetown, MA, Provincetown Muni, ILS OR LOC RWY 7, Amdt 9A
Chillicothe, MO, Chillicothe Muni, RNAV (GPS) RWY 32, Amdt 1A
Hattiesburg-Laurel, MS, Hattiesburg-Laurel Rgnl, Takeoff Minimums
and Obstacle DP, Amdt 4
Whiteville, NC, Columbus County Muni, NDB RWY 6, Amdt 6
Whiteville, NC, Columbus County Muni, RNAV (GPS) RWY 6, Amdt 1
Wurtsboro, NY, Wurtsboro-Sullivan County, Takeoff Minimums and
Obstacle DP, Amdt 2
Findlay, OH, Findlay, Takeoff Minimums and Obstacle DP, Amdt 1

Effective 3 January 2019

Anchorage, AK, Ted Stevens Anchorage Intl, RNAV (RNP) RWY 33, Amdt 1
Buckland, AK, Buckland, RNAV (GPS) RWY 11, Amdt 2A
Dillingham, AK, Dillingham, RNAV (GPS) RWY 1, Amdt 2D
Dillingham, AK, Dillingham, VOR RWY 1, Amdt 9D
Kotlik, AK, Kotlik, RNAV (GPS) RWY 2, Orig-D
Kotzebue, AK, Ralph Wien Memorial, ILS OR LOC RWY 9, Amdt 1A
Kotzebue, AK, Ralph Wien Memorial, RNAV (GPS) RWY 9, Orig-C
Kotzebue, AK, Ralph Wien Memorial, RNAV (GPS) RWY 27, Orig-C
Kotzebue, AK, Ralph Wien Memorial, VOR RWY 9, Orig-D
Kotzebue, AK, Ralph Wien Memorial, VOR RWY 27, Orig-B
Bay Minette, AL, Bay Minette Muni, RNAV (GPS) RWY 8, Amdt 1B
Reform, AL, North Pickens, RNAV (GPS) RWY 19, Amdt 1B
Mena, AR, Mena Intermountain Muni, Takeoff Minimums and Obstacle DP,
Amdt 6
Bullhead City, AZ, Laughlin/Bullhead Intl, RNAV (GPS) RWY 16, Amdt
2C
Willits, CA, Ells Field-Willits Muni, RNAV (GPS) RWY 34, Amdt 1C
Fort Morgan, CO, Fort Morgan Muni, RNAV (GPS) RWY 14, Amdt 1A
Oxford, CT, Waterbury-Oxford, Takeoff Minimums and Obstacle DP, Amdt
6
Daytona Beach, FL, Daytona Beach Intl, VOR RWY 16, Amdt 18C,
CANCELED
Deland, FL, Deland Muni-Sidney H Taylor Field, VOR/DME RWY 23, Orig-
A, CANCELED
Marco Island, FL, Marco Island Executive, RNAV (GPS) RWY 17, Orig-A
Marco Island, FL, Marco Island Executive, RNAV (GPS) RWY 35, Orig-B
Marco Island, FL, Marco Island Executive, Takeoff Minimums and
Obstacle DP, Amdt 3
Marco Island, FL, Marco Island Executive, VOR/DME RWY 17, Amdt 7,
CANCELED
Miami, FL, Miami Intl, ILS OR LOC RWY 9, Amdt 10B
New Smyrna Beach, FL, New Smyrna Beach Muni, Takeoff Minimums and
Obstacle DP, Amdt 3
Ormond Beach, FL, Ormond Beach Muni, Takeoff Minimums and Obstacle
DP, Orig-A
Ormond Beach, FL, Ormond Beach Muni, VOR RWY 17, Amdt 2B, CANCELED
Sebring, FL, Sebring Rgnl, RNAV (GPS) RWY 32, Orig-B
St Petersburg, FL, Albert Whitted, RNAV (GPS) RWY 18, Orig-E
St Petersburg, FL, Albert Whitted, Takeoff Minimums and Obstacle DP,
Amdt 3
Lagrange, GA, Lagrange-Callaway, VOR RWY 13, Amdt 16A
Mount Pleasant, IA, Mount Pleasant Muni, NDB RWY 33, Amdt 6B,
CANCELED
Bonners Ferry, ID, Boundary County, KARPS TWO, Graphic DP
Chicago, IL, Chicago O'Hare Intl, ILS OR LOC RWY 9L, ILS RWY 9L SA
CAT I, ILS RWY 9L CAT II, ILS RWY 9L CAT III, Amdt 4A
Chicago, IL, Chicago O'Hare Intl, ILS OR LOC RWY 27R, ILS RWY 27R SA
CAT I, ILS RWY 27R CAT II, ILS RWY 27R CAT III, Amdt 4A
Chicago, IL, Chicago O'Hare Intl, RNAV (GPS) RWY 9L, Amdt 3B
Chicago, IL, Chicago O'Hare Intl, RNAV (GPS) RWY 27R, Amdt 3B
Decatur, IL, Decatur, ILS OR LOC RWY 6, Amdt 14
Decatur, IL, Decatur, LOC BC RWY 24, Amdt 11
Decatur, IL, Decatur, RNAV (GPS) RWY 30, Amdt 2
Decatur, IL, Decatur, RNAV (GPS) RWY 36, Amdt 2
Decatur, IL, Decatur, VOR RWY 36, Amdt 17
Fairfield, IL, Fairfield Muni, Takeoff Minimums and Obstacle DP,
Amdt 3
Paris, IL, Edgar County, RNAV (GPS) RWY 9, Amdt 1A
Paris, IL, Edgar County, RNAV (GPS) RWY 18, Orig-A
Paris, IL, Edgar County, RNAV (GPS) RWY 27, Amdt 1B
Paris, IL, Edgar County, RNAV (GPS) RWY 36, Orig-A
Columbus, IN, Columbus Muni, ILS OR LOC RWY 23, Amdt 8
Connersville, IN, Mettel Field, RNAV (GPS) RWY 18, Amdt 2
Connersville, IN, Mettel Field, RNAV (GPS) RWY 36, Amdt 3
Hutchinson, KS, Hutchinson Rgnl, RNAV (GPS) RWY 4, Amdt 1A
Hutchinson, KS, Hutchinson Rgnl, RNAV (GPS) RWY 35, Orig-A

Kingman, KS, Kingman Airport--Clyde Cessna Field, RNAV (GPS) RWY 18,
Amdt 1A
Neodesha, KS, Neodesha Muni, Takeoff Minimums and Obstacle DP, Orig
Scott City, KS, Scott City Muni, NDB RWY 35, Amdt 1A, CANCELED
Tribune, KS, Tribune Muni, RNAV (GPS) RWY 17, Orig-A
Owensboro, KY, Owensboro-Daviess County Rgnl, VOR RWY 36, Amdt 19B
Oakdale, LA, Allen Parish, NDB RWY 36, Amdt 1, CANCELED
Baldwin, MI, Baldwin Muni, Takeoff Minimums and Obstacle DP, Amdt 1
Beaver Island, MI, Beaver Island, NDB RWY 27, Amdt 1A, CANCELED
Frankfort, MI, Frankfort Dow Memorial Field, VOR/DME-A, Amdt 1A,
CANCELED
Manistique, MI, Schoolcraft County, VOR RWY 28, Amdt 1A, CANCELED
Niles, MI, Jerry Tyler Memorial, RNAV (GPS) RWY 33, Orig-B
Pellston, MI, Pellston Rgnl Airport of Emmet County, RNAV (GPS) RWY
5, Orig-C
Sault STE Marie, MI, Chippewa County Intl, RNAV (GPS) RWY 16, Amdt
1B
Rochester, MN, Rochester Intl, COPTER ILS Y OR LOC Y RWY 31, Amdt 3
Rochester, MN, Rochester Intl, ILS Z OR LOC Z RWY 31, ILS RWY 31 SA
CAT I, ILS RWY 31 SA CAT II, Amdt 23
Rochester, MN, Rochester Intl, RNAV (GPS) RWY 31, Amdt 2
Cameron, MO, Cameron Memorial, RNAV (GPS) RWY 17, Amdt 1A
Cameron, MO, Cameron Memorial, RNAV (GPS) RWY 35, Amdt 1A
Poplar Bluff, MO, Poplar Bluff Muni, RNAV (GPS) RWY 18, Orig-A
Poplar Bluff, MO, Poplar Bluff Muni, RNAV (GPS) RWY 36, Orig-A
Sullivan, MO, Sullivan Regional, NDB RWY 24, Orig-B, CANCELED
Grenada, MS, Grenada Muni, RNAV (GPS) RWY 4, Amdt 1C
Grenada, MS, Grenada Muni, RNAV (GPS) RWY 13, Amdt 1B
Grenada, MS, Grenada Muni, RNAV (GPS) RWY 22, Amdt 1C
Grenada, MS, Grenada Muni, RNAV (GPS) RWY 31, Amdt 1B
Billings, MT, Billings Logan Intl, ILS Y OR LOC Y RWY 10L, Amdt 26A
Bozeman, MT, Bozeman Yellowstone Intl, ILS OR LOC RWY 12, Amdt 9C
Bozeman, MT, Bozeman Yellowstone Intl, RNAV (GPS)-A, Amdt 2C
Bozeman, MT, Bozeman Yellowstone Intl, RNAV (GPS) Y RWY 12, Orig-C
Bozeman, MT, Bozeman Yellowstone Intl, VOR RWY 12, Amdt 15C
Concord, NC, Concord-Padgett Rgnl, ILS OR LOC RWY 20, Amdt 2A
Concord, NC, Concord-Padgett Rgnl, RNAV (GPS) RWY 2, Amdt 1A
Concord, NC, Concord-Padgett Rgnl, RNAV (GPS) RWY 20, Orig-A
Concord, NC, Concord-Padgett Rgnl, Takeoff Minimums and Obstacle DP,
Amdt 3A
Star, NC, Montgomery County, RNAV (GPS) RWY 21, Orig-B
Andover, NJ, Aeroflex-Andover, Takeoff Minimums and Obstacle DP,
Amdt 2
Pittstown, NJ, Sky Manor, RNAV (GPS) RWY 7, Amdt 1A
Pittstown, NJ, Sky Manor, RNAV (GPS) RWY 25, Orig-B
Lovelock, NV, Derby Field, Takeoff Minimums and Obstacle DP, Amdt 1
Middletown, NY, Randall, RNAV (GPS) RWY 8, Amdt 1B
Middletown, NY, Randall, RNAV (GPS) RWY 26, Amdt 1B
Middletown, NY, Randall, VOR RWY 8, Amdt 7B
Rochester, NY, Greater Rochester Intl, RNAV (GPS) RWY 10, Amdt 1B
Rome, NY, Griffiss Intl, Takeoff Minimums and Obstacle DP, Amdt 1A
Cincinnati, OH, Cincinnati Muni Airport Lunken Field, ILS OR LOC RWY
21L, Amdt 20
Cincinnati, OH, Cincinnati Muni Airport Lunken Field, LOC BC RWY 3R,
Amdt 9
Cincinnati, OH, Cincinnati Muni Airport Lunken Field, NDB RWY 25,
Amdt 12B, CANCELED
Defiance, OH, Defiance Memorial, RNAV (GPS) RWY 12, Amdt 1A
Hillsboro, OH, Highland County, NDB RWY 23, Amdt 5A, CANCELED
Wadsworth, OH, Wadsworth Muni, VOR-A, Amdt 2A
Idabel, OK, Mc Curtain County Rgnl, RNAV (GPS) RWY 2, Amdt 1
Idabel, OK, Mc Curtain County Rgnl, RNAV (GPS) RWY 20, Amdt 1
Tahlequah, OK, Tahlequah Muni, NDB RWY 17, Amdt 2, CANCELED
Lebanon, PA, Keller Brothers, RNAV (GPS) RWY 7, Orig-B
Lebanon, PA, Keller Brothers, RNAV (GPS) RWY 25, Orig-B
Pickens, SC, Pickens County, NDB RWY 5, Amdt 1, CANCELED
Chattanooga, TN, Lovell Field, ILS OR LOC RWY 2, Amdt 7D
Chattanooga, TN, Lovell Field, ILS OR LOC RWY 20, ILS RWY 20 CAT II,
Amdt 36C
Chattanooga, TN, Lovell Field, RNAV (GPS) RWY 2, Amdt 1A
Chattanooga, TN, Lovell Field, RNAV (GPS) RWY 15, Amdt 1
Chattanooga, TN, Lovell Field, RNAV (GPS) RWY 20, Amdt 1A
Chattanooga, TN, Lovell Field, RNAV (GPS) RWY 33, Amdt 1
Chattanooga, TN, Lovell Field, Takeoff Minimums and Obstacle DP,
Amdt 12
Chattanooga, TN, Lovell Field, VOR RWY 33, Amdt 17B
Mountain City, TN, Johnson County, RNAV (GPS) RWY 6, Orig-A
Mountain City, TN, Johnson County, RNAV (GPS) RWY 24, Orig-A
Burnet, TX, Burnet Muni Kate Craddock Field, Takeoff Minimums and
Obstacle DP, Amdt 2
College Station, TX, Easterwood Field, VOR OR TACAN RWY 11, Amdt 19E
Houston, TX, Houston-Southwest, RNAV (GPS) RWY 9, Amdt 2A
Kerrville, TX, Kerrville Muni/Louis Schreiner Field, Takeoff
Minimums and Obstacle DP, Amdt 2
Port Isabel, TX, Port Isabel-Cameron County, VOR/DME-B, Amdt 3A,
CANCELED
Brookneal, VA, Brookneal/Campbell County, RNAV (GPS) RWY 24, Amdt 1B
Lynchburg, VA, Lynchburg Rgnl/Preston Glenn Fld, ILS OR LOC RWY 4,
Amdt 17B
Lynchburg, VA, Lynchburg Rgnl/Preston Glenn Fld, RNAV (GPS) RWY 4,
Orig-B
Lynchburg, VA, Lynchburg Rgnl/Preston Glenn Fld, RNAV (GPS) RWY 22,
Orig-B
Lynchburg, VA, Lynchburg Rgnl/Preston Glenn Fld, VOR RWY 22, Amdt 8D
Kenosha, WI, Kenosha Rgnl, RNAV (GPS) RWY 15, Orig-A
Kenosha, WI, Kenosha Rgnl, RNAV (GPS) RWY 25R, Orig-A
Kenosha, WI, Kenosha Rgnl, RNAV (GPS) RWY 33, Orig-A
Marshfield, WI, Marshfield Muni, NDB RWY 16, Amdt 11, CANCELED
Middleton, WI, Middleton Muni--Morey Field, Takeoff Minimums and
Obstacle DP, Amdt 2
Milwaukee, WI, General Mitchell Intl, LOC RWY 25L, Amdt 6A
Logan, WV, Logan County, RNAV (GPS) RWY 6, Amdt 1A
Milton, WV, Ona Airpark, RNAV (GPS)-A, Orig-A
Morgantown, WV, Morgantown Muni-Walter L Bill Hart Fld, RNAV (GPS)
RWY 36, Amdt 1
Saratoga, WY, Shively Field, Takeoff Minimums and Obstacle DP, Orig-
A

[FR Doc. 2018-24215 Filed 11-7-18; 8:45 am]
 BILLING CODE 4910-13-P


[Federal Register Volume 79, Number 187 (Friday, September 26, 2014)]
[Notices]
[Pages 57991-57992]
[FR Doc No: 2014-22918]

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SECURITIES AND EXCHANGE COMMISSION

Submission for OMB Review; Comment Request

Upon Written Request Copies Available From: Securities and Exchange
Commission, Office of FOIA Services, 100 F Street NE., Washington, DC
20549-2736.

Extension:
    Form F-10, SEC File No. 270-334, OMB Control No. 3235-0380.

    Notice is hereby given that, pursuant to the Paperwork Reduction
Act of 1995 (44 U.S.C. 3501 et seq.), the Securities and Exchange
Commission (``Commission'') has submitted to the Office of Management
and Budget a request for extension of the previously approved
collection of information discussed below.
    Form F-10 (17 CFR 239.40) is a registration statement under the
Securities Act of 1933 (15 U.S.C. 77a et seq.) that may be used by a
foreign private issuer that: Is incorporated or organized in Canada;
has been subject to, and in compliance with, Canadian reporting
requirements for at least 12

months; and has an aggregate market value of common stock held by non-
affiliates of at least $75 million. The purpose of this information
collection is to permit verification of compliance with securities law
requirements and assure the public availability of such information. We
estimate that Form F-10 takes 25 hours per response and is filed by 40
respondents. We further estimate that 25% of the 25 hours per response
(6.25 hours) is prepared by the issuer for an annual reporting burden
of 250 hours (6.25 hours per response x 40 responses).
    An agency may not conduct or sponsor, and a person is not required
to respond to, a collection of information unless it displays a
currently valid control number.
    The public may view the background documentation for this
information collection at the following Web site, www.reginfo.gov.
Comments should be directed to: (i) Desk Officer for the Securities and
Exchange Commission, Office of Information and Regulatory Affairs,
Office of Management and Budget, Room 10102, New Executive Office
Building, Washington, DC 20503, or by sending an email to:
<EMAIL_ADDRESS>and (ii) Thomas Bayer, Director/
Chief Information Officer, Securities and Exchange Commission, c/o Remi
Pavlik-Simon, 100 F Street NE., Washington, DC 20549 or send an email
to<EMAIL_ADDRESS>Comments must be submitted to OMB
within 30 days of this notice.

    Dated: September 22, 2014.
Kevin M. O'Neill,
Deputy Secretary.
[FR Doc. 2014-22918 Filed 9-25-14; 8:45 am]
BILLING CODE 8011-01-P


action'' baseline. The no action baseline reflects the state of the
world in the absence of this proposed rule. The estimated costs from
the extra burden caused by the proposed rule over the 20-year period of
analysis total $15.0 million undiscounted, with a present value
calculated using a 7 percent discount rate (PV, 7%) of about $8.0
million, and a present value calculated using a 3 percent discount rate
(PV, 3%) of $11.2 million. The estimated quantified benefits over a 20-
year period total $81.9 million undiscounted, $42.4 million (PV, 7%),
and $60.3 million (PV, 3%). These costs and benefits result in net
positive benefits over 20 years of about $67.0 million undiscounted,
$34.4 million (PV, 7%), and $49.1 million (PV, 3%).
    The proposed rule incurs relatively small costs and therefore has
relatively high net benefits. Most of the initial burdens are expected
from changes to railroad operating rules, and the design standards for
door safety systems apply to new passenger trains where they can be
installed cost-effectively. The largest contributor to costs is the
crewmembers' task of verifying that the door by-pass devices on the
train are sealed in the normal, non-by-pass mode. The quantified
benefits result primarily from reduced injuries based on a count of
door injures in the past (2001-2005), and the assumption that the
proposed rule would be 50 percent effective in reducing similar
injuries and fatalities in the future. The count of door injuries used
the descriptive, narrative statements on accident reports to better
identify door-caused injuries (yielding about 19 potentially avoided
injuries per year on average). A count of door-caused injuries using
more recent data from 2011 yielded 19 injuries per year, similar to the
previous year results. There may be other additional benefits that were
not quantified from the proposed rulemaking, such as fewer passenger
claims for personal property damage. Also, as door incidents are often
well-publicized in the media, reducing the number of door incidents
will maintain and enhance the public's perception of safe passenger
service, or goodwill toward passenger service. Furthermore, railroads
for which the APTA standard may serve as an incentive to purchase new
cars may as a result have reduced door system maintenance costs. For
example, if older door systems that use electro-pneumatic doors are
replaced with newer, more reliable powered door systems, maintenance
costs could be expected to decrease.
    The costs and benefits are summarized in the tables Costs Summary
and Benefits Summary, respectively.

                                              Table--Costs Summary
----------------------------------------------------------------------------------------------------------------
  Proposed rule reference (and                                               Total present       Total present
     regulatory  evaluation          Cost category    Total undiscounted    value of costs      value of costs
           reference)                                        costs         discounted at 7%    discounted at 3%
----------------------------------------------------------------------------------------------------------------
238.133(a) (8.2(a)), By-Pass      Verify Door By-     $10,961,359.......  $5,419,580........  $7,908,974.
 Device Verification.              Pass Devices Are
                                   Sealed and Ensure
                                   Integrity of the
                                   Train.
238.133(a) (8.2(a)), Developing   As an Alternative,  $9,702............  $8,008............  $8,824.
 a Written Functional Test Plan.   Develop a Written
                                   Functional Test
                                   Plan to Comply
                                   with 238.131(a)
                                   By-Pass Device
                                   Verification.
238.133(b) (8.2(b)), Unsealed     Apply Seal to Door  $548,068..........  $279,979..........  $395,449.
 Door By-Pass Device.              By-Pass Devices
                                   when Found
                                   Unsealed, Report
                                   Defect.
238.133(c) (8.2(c)), En Route     Determine if Safe   $76,882...........  $40,156...........  $56,833.
 Failure.                          to Proceed with
                                   Door By-Pass
                                   Activated, and
                                   Hold Crew Safety
                                   Briefing.
238.133(d) (8.2(d)), Records....  Record the Door By- $12,848...........  $6,711............  $9,498.
                                   Pass Activation.
238.133(d) (8.2(d)), Records....  Record Unintended   $51,393...........  $26,843...........  $37,991.
                                   Door Openings.
238.133(e) (8.2(e)), Door         Average of          (0.5*$185,910) +    (0.5*$173,748) +    (0.5*$180,495) +
 Control Panels.                   Engineering and     (0.5*$26,515) =     (0.5*$23,897) =     (0.5*$25,334) =
                                   Operating Rule      $106,213.           $98,822.            $102,915.
                                   Solutions to
                                   Prevent
                                   Unauthorized
                                   Access to Door
                                   Control Panels.
238.133(f) (8.2(f)), End-of-      Secure End-of-      $204,024..........  $190,677..........  $198,082.
 Train.                            Train Switches,
                                   if Used.
----------------------------------------------------------------------------------------------------------------
238.133(g)(1) (8.2(g)(1)),        Seal By-Pass           Accounted for in Sections 238.133(a), 238.133(b), and
 Exterior Side Door Safety         Devices, if so                            238.133(g)(2).
 System Override Devices.          Equipped.
----------------------------------------------------------------------------------------------------------------
238.133(g)(2) (8.2(g)(2)),        Verify Door By-     $78,235...........  $40,863...........  $57,833.
 Calendar Day Inspection.          Pass Devices
                                   Sealed; Cost for
                                   Events Requiring
                                   Additional
                                   Troubleshooting.
----------------------------------------------------------------------------------------------------------------

238.135(a) (8.3(a)), Participate  Emphasize Crew       Can Combine with Other Safety Briefings, Minimal Marginal
 in Daily Safety/Job Briefing.     Responsibilities                              Cost.
                                   for Safe Door
                                   Operations.
----------------------------------------------------------------------------------------------------------------
238.135(b), 235.135(c) (8.3(b),   Railroads that      $3,095............  $2,892............  $3,005.
 8.3(c)), Operate with the         File a Written
 Exterior Side Doors and Traps     Justification
 Closed when Traveling Between     with FRA
 Stations, and Special Approval    Requesting
 to do so.                         Special Approval
                                   to Operate with
                                   the Exterior Side
                                   Doors Open
                                   Between Stations.
238.135(d), 238.135(g),           Developing          $152,072..........  $105,179..........  $127,900.
 238.137(b) (8.3.1), Develop       Operating Rules
 Operating Rules, Mixed Consist.   for Overriding
                                   Door Safety
                                   Systems,
                                   Determining That
                                   Passengers are
                                   Clear of the
                                   Doors, and
                                   Operating a Train
                                   with Incompatible
                                   Door Safety
                                   Systems.
238.135(d) (8.3.1), Addn'l        Provide Written     Enter, Copy,        Enter, Copy,        Enter, Copy,
 Requirement to Provide Written    Operating Rules     Distribute Rules    Distribute =        Distribute =
 Operating Rules for By-Pass.      to Employees for    = $2,178, Read=     $1,439, Read =      $1,797, Read =
                                   Safely Overriding   $100,279, Total =   $65,706, Total =    $82,451, Total =
                                   Door Safety         $102,456.           $67,145.            $84,248.
                                   Systems, Allow
                                   Time for
                                   Employees to Read
                                   Operating Rules.
238.135(e) (8.3.2), Training....  Review and Revise   Review and Revise   Review and Revise   Review and Revise
                                   Existing Training   Training Plans =    Training Plans =    Training Plans =
                                   Plans for           $11,136, Perform    $8,334, Perform     $9,736, Perform
                                   Training on         Training =          Training =          Training =
                                   Exterior Side       $571,052, Total =   $378,669, Total =   $471,921, Total =
                                   Door Safety         $582,188.           $387,002.           $481,657.
                                   Systems and
                                   Operating Rules,
                                   Perform Training.
238.135(f) (8.3.2), Operational   Conduct             $114,007..........  $51,845...........  $79,752.
 (Efficiency) Tests and            Operational
 Observations.                     (Efficiency)
                                   Testing for
                                   Exterior Side
                                   Door Safety
                                   Procedures.
238.131(a) (8.4), New Passenger   Implement APTA      $300,000..........  $280,374..........  $291,262.
 Cars and Loco's Used in           Standard for
 Passenger Service, Safety         Powered Exterior
 Systems for Powered Exterior      Side Door Systems
 Side Doors.                       on New Passenger
                                   Cars and
                                   Connected Loco's
                                   Used in Passenger
                                   Service.
238.131(b) (8.5.1), Manual and    Implement Some      $1,682,368........  $1,010,207........  $1,344,694.
 Powered Door Standards for New    Safety Features
 Passenger Equipment.              for New Passenger
                                   Cars and Loco's
                                   Used in Passenger
                                   Service With
                                   Either Powered or
                                   Manual Exterior
                                   Side Doors.
                                                     -----------------------------------------------------------
    TOTAL.......................  ..................  $14,984,983.......  $8,007,284........  $11,188,914.
----------------------------------------------------------------------------------------------------------------

                                                                 Table--Benefits Summary
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                                Est. reduction in   Est. reduction in    Total value of
                                                      (VSL=$9.1 million)   Est. reduction in  injuries, monetary      fatalities,        reductions in
                      Rule year                        AIS level dollar   injuries, monetary     value at 50%      monetary value at     injuries and
                                                             value               value           effectiveness    50%  effectiveness      fatalities
--------------------------------------------------------------------------------------------------------------------------------------------------------
1...................................................            $297,465          $5,532,849          $2,766,425            $929,578          $3,696,003
2...................................................             300,648           5,592,051           2,796,025             939,525           3,735,550
3...................................................             303,865           5,651,886           2,825,943             949,578           3,775,520
4...................................................             307,116           5,712,361           2,856,180             959,738           3,815,919
5...................................................             310,402           5,773,483           2,886,742             970,007           3,856,749
6...................................................             313,724           5,835,260           2,917,630             980,386           3,898,016
7...................................................             317,080           5,897,697           2,948,848             990,876           3,939,725
8...................................................             320,473           5,960,802           2,980,401           1,001,479           3,981,880
9...................................................             323,902           6,024,583           3,012,291           1,012,195           4,024,486
10..................................................             327,368           6,089,046           3,044,523           1,023,025           4,067,548
11..................................................             330,871           6,154,199           3,077,099           1,033,972           4,111,071

12..................................................             334,411           6,220,048           3,110,024           1,045,035           4,155,059
13..................................................             337,989           6,286,603           3,143,301           1,056,217           4,199,518
14..................................................             341,606           6,353,870           3,176,935           1,067,518           4,244,453
15..................................................             345,261           6,421,856           3,210,928           1,078,941           4,289,869
16..................................................             348,955           6,490,570           3,245,285           1,090,486           4,335,770
17..................................................             352,689           6,560,019           3,280,010           1,102,154           4,382,163
18..................................................             356,463           6,630,211           3,315,106           1,113,947           4,429,052
19..................................................             360,277           6,701,154           3,350,577           1,125,866           4,476,443
20..................................................             364,132           6,772,857           3,386,428           1,137,913           4,524,341
                                                     ---------------------------------------------------------------------------------------------------
    Total undiscounted..............................  ..................  ..................          61,330,702          20,608,435          81,939,137
    Total PV @7%....................................  ..................  ..................          31,735,978          10,663,971          42,399,949
    Total PV @3%....................................  ..................  ..................          45,149,174          15,171,093          60,320,267
--------------------------------------------------------------------------------------------------------------------------------------------------------
Notes:
Average estimated reduction in injuries = 18.6 injuries per year.
Average estimated reduction in fatalities = 0.20 fatalities per year.
Average Abbreviated Injury Scale (AIS) level for door injuries = 1.67
Value of a Statistical Life (VSL) = $9.1 million in base year 2012, increased at a rate of 1.07 percent annually, to equal $9.3 million in rule year 1.
PV = Present Value.

B. Regulatory Flexibility Act and Executive Order 13272; Initial
Regulatory Flexibility Assessment

    The Regulatory Flexibility Act of 1980 (5 U.S.C. 601 et seq.) and
Executive Order 13272 (67 FR 53461, Aug. 16, 2002) require agency
review of proposed and final rules to assess their impacts on small
entities. An agency must prepare an initial regulatory flexibility
analysis (IRFA) unless it determines and certifies that a rule, if
promulgated, would not have a significant economic impact on a
substantial number of small entities. FRA has not determined whether
this proposed rule would have a significant economic impact on a
substantial number of small entities. Therefore, FRA is publishing this
IRFA to aid the public in commenting on the potential small business
impacts of the requirements in this NPRM. FRA invites all interested
parties to submit data and information regarding the potential economic
impact on small entities that would result from the adoption of the
proposals in this NPRM. FRA will consider all information and comments
received in the public comment process when making a determination
regarding the economic impact on small entities in the final rule.
    FRA estimates that the total cost of the proposed rule for the
railroad industry over a 20-year period will be $15.0 million
(undiscounted)--$8.0 million (discounted at 7 percent), or $11.2
million (discounted at 3 percent). Based on information currently
available, FRA estimates that 1 percent or less of the total railroad
costs associated with implementing the proposed rule would be borne by
small entities.
    There are two railroads that would be considered small entities for
purposes of this analysis and together they comprise about 7 percent of
the railroads impacted directly by this proposed regulation. Thus, 7
percent of the impacted railroads could be considered to be a
substantial number of small entities in this potentially impacted
sector. However, these two small entities represent a much smaller
portion of the total railroad industry that is impacted by this
proposed rule. This is because of the small number of trains operated
annually, or the small number of employees employed by these two
railroads, or both. In order to get a better understanding of the total
costs for the railroad industry (which forms the basis for the
estimates in this IRFA) or more cost detail on any specific
requirement, please see the regulatory evaluation that FRA has placed
in the docket for this rulemaking.
    In accordance with the Regulatory Flexibility Act, an IRFA must
contain:
     A description of the reasons why action by the agency is
being considered.
     A succinct statement of the objectives of, and the legal
basis for, the proposed rule.
     A description--and, where feasible, an estimate of the
number--of small entities to which the proposed rule will apply.
     A description of the projected reporting, recordkeeping,
and other compliance requirements of the proposed rule, including an
estimate of the classes of small entities that will be subject to the
requirement and the type of professional skills necessary for
preparation of the report or record.
     Identification, to the extent practicable, of all relevant
Federal rules that may duplicate, overlap, or conflict with the
proposed rule.
1. Reasons for Considering Agency Action
    The primary goal of this rulemaking is to improve the safety of
passengers and employees on intercity passenger and commuter trains, as
they board and alight through the exterior side doors of passenger
cars. For convenience, unless otherwise specified, ``doors'' in this
analysis refers to the exterior side doors intended and normally used
by passengers for boarding and alighting from the train. For most train
operations, passengers use these pathways on and off the train without
incidence. They generally take for granted that the doors will function
safely. However, there have been some casualties that have occurred in
the past, some of which had tragic consequences. These injuries and
fatalities are unintended, harmful consequences to passengers and
employees that result from normal train operations. The casualties
represent a negative externality that could be eliminated or mitigated
to reduce the risk of harm to passengers and employees.
    Most passengers and employees have an expectation that the train
exterior side doors will function safely when boarding and alighting
from the train. Therefore, passengers and employees may not properly
assess the potential

safety risks of a door problem because door incidents are low-
frequency, but potentially high-consequence events. Passengers and
employees may not have all the necessary information about how a
train's exterior side doors will operate in case of a problem. This
information gap affects how passengers and employees interact with the
doors. For example, passengers may assume that passenger train exterior
side doors will bounce back continuously when an obstruction prevents
the doors from closing like most elevator doors do; however, not all
passenger train cars are equipped with this safety feature.
Additionally, employees might not know whether the exterior side doors
on a train will open or close when there has been an interruption in
power. Furthermore, for trains that use marker light switches to denote
the end of the train, employees may not realize that activating these
switches at a point other than the physical end of the train will
complete the trainline door circuit at that car. This situation would
effectively leave the passenger cars after the car with the marker
lights switched on without any exterior side door safety features.
2. A Succinct Statement of the Objectives of, and the Legal Basis for,
the Proposed Rule
    The purpose of this rulemaking is to improve railroad safety
through proposed regulatory language that would establish new design
standards, as well as operating practices relating to the use of safety
devices that are a part of exterior side doors on passenger train cars.
This NPRM proposes to incorporate by reference some of these standards
from APTA standard PR-M-S-18-10 (``Standard for Powered Exterior Side
Door System Design for New Passenger Cars'').
    The proposed rule prescribes minimum Federal safety standards
relating to the design, operation, and use of passenger train side door
safety systems. The proposed rule does not restrict railroads from
adopting and enforcing additional or more stringent requirements not
inconsistent with this part.
    In order to further FRA's ability to respond effectively to
contemporary safety problems and hazards as they arise in the railroad
industry, Congress enacted the Federal Railroad Safety Act of 1970
(formerly 45 U.S.C. 421, 431 et seq., now found primarily in chapter
201 of title 49, U.S.C.), granting the Secretary rulemaking authority
over all areas of railroad safety (49 U.S.C. 20103(a)) and conferring
all powers necessary to detect and penalize violations of any rail
safety law. This authority was subsequently delegated to the
Administrator of FRA (49 CFR 1.89) (Until July 5, 1994, the Federal
railroad safety statutes existed as separate acts found primarily in
title 45, U.S.C; on that date, all of the acts were repealed, and their
provisions were recodified into title 49, U.S.C.). Accordingly, FRA is
using this (and other) authority to initiate a rulemaking that would
establish new standards relating to passenger train door operations,
enhancing standards codified in part 238, which was originally issued
in May 1999 as part of FRA's implementation of rail passenger safety
regulations required by section 215 of the Federal Railroad Safety
Authorization Act of 1994 (49 U.S.C. 20133).
3. A Description of, and Where Feasible, an Estimate of the Number of
Small Entities to Which the Proposed Rule Would Apply
    The ``universe'' of the entities considered in an IRFA generally
includes only those small entities that can reasonably expect to be
directly regulated by this proposed action. Small passenger railroads
are the only types of small entities that may be affected directly by
this proposed rule.
    ``Small entity'' is defined in 5 U.S.C. 601(3) as having the same
meaning as ``small business concern'' under section 3 of the Small
Business Act. This includes any small business concern that is
independently owned and operated, and is not dominant in its field of
operation. Section 601(4) likewise includes within the definition of
``small entities'' not-for-profit enterprises that are independently
owned and operated, and are not dominant in their field of operation.
    The U.S. Small Business Administration (SBA) stipulates in its size
standards that the largest a railroad business firm that is ``for
profit'' may be and still be classified as a ``small entity'' is 1,500
employees for ``Line Haul Operating Railroads'' and 500 employees for
``Switching and Terminal Establishments.'' Additionally, 5 U.S.C.
601(5) defines as ``small entities'' governments of cities, counties,
towns, townships, villages, school districts, or special districts with
populations less than 50,000.
    Federal agencies may adopt their own size standards for small
entities in consultation with SBA and in conjunction with public
comment. Pursuant to that authority, FRA has published a final
statement of agency policy that formally establishes ``small entities''
or ``small businesses'' as being railroads, contractors, and hazardous
materials shippers that meet the revenue requirements of a Class III
railroad as set forth in 49 CFR 1201.1-1, which is $20 million or less
in inflation-adjusted annual revenues, and commuter railroads or small
governmental jurisdictions that serve populations of 50,000 or less.
See 68 FR 24891, May 9, 2003, codified at appendix C to 49 CFR part
209. The $20 million limit is based on the Surface Transportation
Board's revenue threshold for a Class III railroad. Railroad revenue is
adjusted for inflation by applying a revenue deflator formula in
accordance with 49 CFR 1201.1-1. FRA is proposing to use this
definition for this rulemaking. Any comments received pertinent to its
use will be addressed in the final rule.

Passenger Railroads

    If the regulatory language proposed in this NPRM is adopted into a
final rule, commuter and intercity passenger railroads would have to
comply with all of the proposed part 238 provisions in this NPRM.
However, the amount of effort to comply with the language proposed in
this NPRM is commensurate with the size of the entity, the number of
trains operated by the entity, the number of employees employed by the
railroad, and the railroad's current operating rules in regards to the
operation of the train's exterior side doors.
    There are two intercity passenger railroads, Amtrak and the Alaska
Railroad Corporation. Neither can be considered a small entity. Amtrak
is not considered to be a small railroad. The Alaska Railroad is a
Class II railroad and also not considered to be a small railroad per
the definition of small entity in this IRFA. The Alaska Railroad is
owned by the State of Alaska, which has a population well in excess of
50,000. Therefore, they will not be considered in the calculations in
this IRFA.
    There are 28 commuter or other short-haul passenger railroad
operations in the U.S. Most of these railroads are part of larger
transit organizations that receive Federal funds and serve major
metropolitan areas with populations greater than 50,000. However, two
of these railroads do not fall in this category and are considered
small entities: Saratoga & North Creek Railway (SNC), and the Hawkeye
Express, which is operated by the Iowa Northern Railway Company (IANR).
All other passenger railroad operations in the United States are part
of larger governmental entities whose service jurisdictions exceed
50,000 in population.

    In 2011, Hawkeye Express transported approximately 5,000 passengers
per game over a 7-mile round-trip distance to and from University of
Iowa (University) football games. Iowa Northern, which operates the
Hawkeye Express, has approximately 100 employees and is primarily a
freight operation totaling 184,385 freight train miles in 2010. The
Hawkeye Express service is on a contractual arrangement with the
University, a State of Iowa institution (the population of Iowa City,
Iowa is approximately 69,000). Iowa Northern owns and operates the six
bi-level passenger cars used for this small passenger operation which
runs on average seven days over a calendar year. FRA expects that any
costs imposed on the railroad by this regulation will be passed on to
the University as part of the costs to operate the seasonal, game-day
trains, and requests comments on this assumption.
    SNC began operation in the summer of 2011 and currently provides
daily rail service over a 57-mile line between Saratoga Springs and
North Creek, New York. The SNC is a Class III railroad (i.e., below the
$20 million revenue threshold) and a limited liability company wholly
owned by San Luis & Rio Grande Railroad (SLRG). SLRG is a Class III
railroad and a subsidiary of Permian Basin Railways, Inc. (Permian).
Permian is in turn owned by Iowa Pacific Holdings, LLC (IPH). The SNC
primarily transports passengers to Saratoga Springs, tourists seeking
to sightsee along the Hudson River, and travelers connecting to and
from Amtrak service. The SNC is involved with the operation of
passenger trains year round using conventional locomotives in the lead,
typically pulling consists of passenger coaches and other cars such as
baggage cars and dining cars.
    Additional service activity includes seasonal ski trains and
special trains such as ``Thomas the Train.'' This railroad operates
under a five-year contract with the local government and is planning to
restart freight operations in the future. SNC has about 25 total
employees, including about 7 engineers and conductors.
    The cost burden to these two small entities will be considerably
less on average than that of the other 28 railroads. FRA estimates
impacts on these two railroads could range on average between $900 and
$1800 annually to comply with the proposed regulations if they are
adopted.
    The Hawkeye Express provides service under contract to a state
institution (i.e., the University). It may be able to pass some or all
of the compliance cost on to that institution. As a result, the Hawkeye
Express may not be significantly impacted by these proposed
regulations.

Contractors

    Some passenger railroads use contractors to perform many different
functions on their railroads. For some passenger railroads, contractors
operate trains and perform other safety-related functions. For the
purpose of assessing this proposed rule's impact, the pertinent
contractors are all larger contractors who perform primary operating
and maintenance functions for the passenger railroads. Conversely,
smaller contractors perform ancillary functions to the primary
operations. Larger contractors are typically large private companies
such as Herzog or part of an international conglomerate such as Keolis
or Veolia. These international conglomerates have substantial
multidisciplinary workforces and are able to perform most to all of the
operating functions that the passenger railroad requires. FRA seeks
comment on these findings and conclusions.
4. A Description of the Projected Reporting, Recordkeeping, and Other
Compliance Requirements of the Rule, Including an Estimate of the Class
of Small Entities That Will Be Subject to the Requirements and the Type
of Professional Skill Necessary for Preparation of the Report or Record
    There are reporting, recordkeeping, and compliance costs associated
with this proposed regulation. The practices of some passenger
railroads have been in compliance with the proposed requirements in
this NPRM voluntarily for some time. For these affected small entities,
the additional burden of the proposed requirements is marginal. The
total 20-year cost of this proposed rulemaking is $15.0 million
(undiscounted) of which FRA estimates one percent or less will be
attributable to small entities. FRA estimates that the approximate
total burden for small railroads for the 20-year period could range
between $74,000 and $149,000 (undiscounted) depending on discount rates
and the extent of costs relative to larger railroads. FRA believes this
would not be a significant economic burden. For a thorough presentation
of cost estimates please refer to the regulatory evaluation, which has
been placed in the docket for this rulemaking. FRA expects that most of
the skills necessary to comply with the proposed regulation would be
possessed by operating crew employees as well as recordkeeping and
reporting personnel.
    The nature of the operations of these two small entities would be
indicative of lower over-all costs to these railroads. The Hawkeye
Express has a very limited operation in both the number of days that
the railroad operates and the total trips made by its trains. As a
result, the costs for almost all of the proposed burdens on the Hawkeye
Express are low. The SNC operates more trains and for more days than
the Hawkeye Express, but still has a low number of cars and limited
number of trips. This type of operation would keep the costs low if the
proposed requirements are enacted.
    However, there will be potential new burdens for these two small
railroads if the regulatory language in this NPRM is enacted. The
regulatory evaluation estimates the proposed requirements in Sec.
238.133(a) and (b) as being the largest cost for railroads under the
proposed rule. However, neither of these railroads operate trains that
use by-pass devices. Proposed Sec.  238.131 could also be very costly
for railroads if adopted because it proposes that ``new'' passenger
cars with exterior side doors, and ``new'' passenger locomotives with
connected door safety systems, meet specified industry standards.
However, this section would not have any impact on these two small
entities because these two entities do not purchase or order new
passenger cars or passenger locomotives. The proposed requirements in
paragraphs (a) and (b) of this section are all focused on new passenger
cars and adopting the APTA standard for exterior, powered side door
systems, as well as requirements for new passenger cars with powered or
manual exterior side doors. Due to the limited operations of both
entities, it is unlikely that these entities would purchase new
passenger cars anytime in the near future. (For all railroads, proposed
Sec.  238.131 applies to new rail passenger cars and locomotives used
in passenger service ordered on or after 120 days after the publication
of the final rule in the Federal Register, or placed into service for
the first time on or after 790 days after the date of publication. This
time period provides the railroads some time to reach compliance.) For
proposed Sec.  238.135 the costs will vary for these two entities. For
paragraphs (b) and (c) of Sec.  238.135, FRA does not anticipate any
burden for these small entities because both of the railroads currently
operate with their trains' exterior side doors closed between train
stations. Paragraphs (d) and (g) of Sec.  238.135 are focused on the
railroads having sufficient operating rules to ensure the safe
operation of their trains' exterior side passenger doors. Paragraph (e)
requires the

passenger train crewmembers be trained on the requirements of the
proposed section. For most railroads this will be a new burden.
Railroads would have to review their existing training plans. However,
crewmembers responsible for door operations (i.e., the engineer and
conductor) would have received some training on door operations as part
of their professional training and certification programs. Thus the
economic burdens for Sec.  238.135(b), (c) and (f), as well as Sec.
238.137(a) and (b), are dependent on whether the current operating
rules of the railroads covered by the proposed rule include the
proposed door operation requirements. The proposed door safety features
and their associated operating rules are not new or novel procedures,
but currently exist. Most of the larger-volume passenger service
railroads have some door operating rules; the smaller railroads may
have less extensive door operating rules corresponding to the fewer
types of equipment they run. For proposed Sec.  235.135(d), (e), and
(f), and Sec.  238.137(b), FRA is allowing 1,095 days (3 years) after
the date of publication of the final rule in the Federal Register for
compliance. The cost of all these proposed requirements as relating to
small business entities are estimated to be less than two percent of
the total cost of the proposed rule.

Market and Competition Considerations

    The railroad industry has several significant barriers to entry,
such as the need to own or otherwise obtain access to rights-of-way and
the high capital expenditure needed to purchase a fleet, as well as
track and equipment. Furthermore, the two railroads under consideration
would only be competing with individual automobile traffic and serve as
a service to get drivers out of their automobiles and off congested
roadways. One of the two entities, Hawkeye Express, transports
passengers to a stadium from distant parking lots. The SNC provides
passenger train service to tourist and other destinations between
Sarasota Springs and North Creek, New York. FRA is not aware of any bus
service that currently exists that competes with either of these
railroads. Thus, while this proposed rule would have an economic impact
on all passenger railroads, it should not have an impact on the
competitive position of small railroads. FRA requests comment on these
findings and conclusions.
5. Identification, to the Extent Practicable, of All Relevant Federal
Rules That May Duplicate, Overlap, or Conflict With the Proposed Rule
    FRA is not aware of any relevant Federal rule that duplicates,
overlaps with, or conflicts with the proposed regulations in this NPRM;
the proposed regulation in fact complements most FRA's other safety
regulations for railroad operations, especially the safety of railroad
passenger operations.
    FRA invites all interested parties to submit comments, data, and
information demonstrating the potential economic impact on small
entities that would result from the adoption of the proposed language
in this NPRM. FRA will consider all comments received during the public
comment period for this NPRM when making a final determination of the
NPRM's economic impact on small entities.

C. Paperwork Reduction Act

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

----------------------------------------------------------------------------------------------------------------
                                      Respondent         Total annual      Average time per      Total annual
           CFR Section                 universe            responses           response          burden hours
----------------------------------------------------------------------------------------------------------------
229.47--Emergency Brake Valve--   30 railroads......  30 markings.......  1 minute..........  1 hour.
 Marking Brake Pipe Valve as
 such.
--DMU, MU, Control Cab            30 railroads......  5 markings........  1 minute..........  .08 hour.
 Locomotives--Marking Emergency
 Brake Valve as such.
238.7--Waivers..................  30 railroads......  5 waivers.........  2 hours...........  10 hours.
238.15--Movement of passenger     30 railroads......  1,000 tags........  3 minutes.........  50 hours.
 equipment with power brake
 defect.
--Movement of passenger           30 railroads......  288 tags..........  3 minutes.........  14 hours.
 equipment--defective en route.
Conditional requirement--         30 railroads......  144 notices.......  3 minutes.........  7 hours.
 Notificat.
238.17--Limitations on movement   30 railroads......  200 tags..........  3 minutes.........  10 hours.
 of passenger equipment--defects
 found at calendar day insp. &
 on movement of passenger
 equipment--develops defects en
 route.
--Special requisites--movement--  30 railroads......  76 tags...........  3 minutes.........  4 hours.
 passenger equip.--saf. appl.
 defect.
--Crew member notifications.....  30 railroads......  38 radio            30 seconds........  .32 hour.
                                                       notifications.
238.21--Petitions for special     30 railroads......  1 petition........  16 hours..........  16 hours.
 approval of alternative
 standards.
--Petitions for special approval  30 railroads......  1 petition........  120 hours.........  120 hours.
 of alternative compliance.

--Petitions for special approval  30 railroads......  10 petitions......  40 hours..........  400 hours.
 of pre-revenue service
 acceptance testing plan.
--Comments on petitions.........  Public/RR Industry  4 comments........  1 hour............  4 hours.
238.103--Fire Safety--Procuring   2 new railroads...  2 analyses........  150 hours.........  300 hours.
 New Pass. Equipment--Fire
 Safety Analysis.
--Existing Equipment--Final Fire  30 railroads......  1 analysis........  40 hours..........  40 hours.
 Safety Analysis.
--Transferring existing           30 railroads/APTA.  3 analyses........  20 hours..........  60 hours.
 equipment--Revised Fire Safety
 Analysis.
238.107--Inspection/testing/      30 railroads......  12 reviews........  60 hours..........  720 hours.
 maintenance plans--Review by
 railroads.
238.109--Employee/Contractor      7,500 employees/    2,500 empl./100     1.33 hours........  3,458 hours.
 Tr.--Training empl.--Mech.        100 trainers.       trainers.
 Inspection.
--Recordkeeping--Employee/        30 railroads......  2,500 record......  3 minutes.........  125 hours.
 Contractor Current
 Qualifications.
238.111--Pre-revenue service      9 equipment         2 plans...........  16 hours..........  32 hours.
 acceptance testing plan:          manufacturers.
 Passenger equipment that has
 previously been used in service
 in the U.S.
--Passenger equipment that has    9 equipment         2 plans...........  192 hours.........  384 hours.
 not been previously used in       manufacturers.
 revenue service in the U.S.
--Subsequent Equipment Orders...  9 equipment         2 plans...........  60 hours..........  120 hours.
                                   manufacturers.
238.131--New Passenger Equipment  6 Car Builders....  3 FMECAs..........  4 hours...........  12 hours.
 w/Exterior Side Doors--FMECA
 Analysis for door safety system
 (New Requirement).
238.133--Exterior Side Door       30 railroads......  30 plans..........  4 hours...........  120 hours.
 Safety Systems--Functional Test
 Plan (New Requirement).
--Unsealed door bypass device--   30 railroads......  9,994               30 seconds........  84 hours.
 Crewmember notification to                            notifications.
 designated authority of
 unsealed door-by-pass device.
--Train crew safety briefing--    30 railroads......  300 briefings.....  2 minutes.........  10 hours.
 after activation of door-by-
 pass device.
--Train crew notification to      30 railroads......  300 notices.......  30 seconds........  3 hours.
 designated authority.
--Qualified Person (QP) or QMP    30 railroads......  300 decision......  4 minutes.........  20 hours.
 determination that repairs
 cannot be made and that it is
 safe to move equipment.
--QP or QMP notification to       30 railroads......  300 notices.......  30 seconds........  3 hours.
 train crew member in charge of
 train movement that door by-
 pass device has been activated.
--Train crew safety briefing--    30 railroads......  300 briefings.....  2 minutes.........  10 hours.
 regarding their position on
 train.
--Record of door by-pass          30 railroads......  300 records.......  2 minutes.........  10 hours.
 activation.
--Record of unintended door       30 railroads......  20 records........  2 hours...........  40 hours.
 opening.
--Record of unsealed door by      30 railroads......  20 records........  4 hours...........  80 hours.
 pass devices as part of
 calendar day inspection.

238.135--(New Requirements)--RR   30 railroads......  2 requests........  24 hours..........  48 hours.
 Request for Special Approval
 from FRA to operate passenger
 train w/exterior side doors or
 trap doors, or both, open.
--RR Written operating rule on    30 railroads......  30 operating rules  42 hours..........  1,260 hours.
 how to safely override a door
 summary circuit or no-motion
 system, or both.
--Copy of RR written operating    30 railroads......  10,000 copies.....  1 minute..........  167 hours.
 rules to employees.
--RR Employee Training in this    30 railroads......  3,383 tr.           30 minutes........  1,692 hours.
 section's requirements and how                        employees.
 to identify/isolate
 malfunctioning exterior powered
 or manual side door.
--Operational/efficiency tests    30 railroads......  3,383 tests.......  2 minutes.........  113 hours.
 of RR operating crewmembers and
 control center employees.
--RR Operating rule requiring     30 railroads......  30 operating rules  4 hours...........  120 hours.
 train crewmembers to determine
 status of their train's
 exterior side doors.
238.137--RR Operating rule to     10 railroads......  10 operating rules  4 hours...........  40 hours.
 provide for the safe use of
 equipment with incompatible
 exterior side door systems when
 used in a mixed consist (New
 Requirement).
238.213--Corner Posts--Plan to    30 railroads......  10 plans..........  40 hours..........  400 hours.
 meet section's corner post
 requirements for cab car or MU
 locomotives.
238.229--Safety Appliances --     30 railroads......  30 lists..........  1 hour............  30 hours.
 Welded safety appliances
 considered defective: lists.
--Lists Identifying Equip. w/     30 railroads......  30 lists..........  1 hour............  30 hours.
 Welded Saf. App.
--Defective Welded Saf.           30 railroads......  4 tags............  3 minutes.........  .20 hr.
 Appliance--Tags.
--Notification to Crewmembers     30 railroads......  2 notices.........  1 minute..........  .0333 hr.
 about Non-Compliant Equipment.
--Inspection plans..............  30 railroads......  30 plans..........  16 hours..........  480 hours.
--Inspection Personnel--Training  30 railroads......  60 workers........  4 hours...........  240 hours.
--Remedial action: Defect/crack   30 railroads......  1 record..........  2.25 hours........  2 hours.
 in weld--record.
--Petitions for special approval  30 railroads......  15 petitions......  4 hours...........  60 hours.
 of alternative compliance--
 impractical equipment design.
--Records of inspection/repair    30 railroads......  3,060 records.....  12 minutes........  612 hours.
 of welded safety appliance
 brackets/supports/Training.
238.230--Safety Appliances--New   30 railroads......  100 records.......  6 minutes.........  10 hours.
 Equipment--Inspection Record of
 Welded Equipment by Qualified
 Employee.
--Welded safety appliances:       30 railroads......  15 document.......  4 hours...........  60 hours.
 Documentation for equipment
 impractically designed to
 mechanically fasten safety
 appliance support.
238.231--Brake System--           30 railroads......  2,500 forms.......  21 minutes........  875 hours.
 Inspection and repair of hand/
 parking brake: Records.
--Procedures Verifying Hold of    30 railroads......  30 procedures.....  2 hours...........  60 hours.
 Hand/Parking Brakes.
238.237--Automated monitoring--   30 railroads......  3 documents.......  2 hours...........  6 hours.
 Documentation for alerter/
 deadman control timing.

--Defective alerter/deadman       30 railroads......  25 tags...........  3 minutes.........  1 hour.
 control: Tagging.
238.303--Exterior calendar day    30 railroads......  25 notices........  1 minute..........  1 hour.
 mechanical inspection of
 passenger equipment: Notice of
 previous inspection.
--Dynamic brakes not in           30 railroads......  50 tags...........  3 minutes.........  3 hours.
 operating mode: Tag.
--Conventional locomotives        30 railroads......  4 documents.......  3 minutes.........  3 hours.
 equipped with inoperative
 dynamic brakes: Tagging.
--MU passenger equipment found    30 railroads......  4 documents.......  2 hours...........  8 hours.
 with inoperative/ineffective
 air compressors at exterior
 calendar day inspection:
 Documents.
--Written notice to train crew    30 railroads......  100 notices.......  3 minutes.........  5 hours.
 about inoperative/ineffective
 air compressors.
--Records of inoperative air      30 railroads......  100 records.......  2 minutes.........  3 hours.
 compressors.
--Record of exterior calendar     30 railroads......  1,959,620 records.  10 minutes + 1      359,264 hours.
 day mechanical inspection.                                                minute.
238.305--Interior calendar day    30 railroads......  540 tags..........  1 minute..........  9 hours.
 mechanical inspection of
 passenger cars--Tagging of
 defective end/side doors.
--Records of interior calendar    30 railroads......  1,968,980 records.  5 minutes + 1       196,898 hours.
 day inspection.                                                           minute.
238.307--Periodic mechanical      30 railroads......  2 notices/          5 hours...........  10 hours.
 inspection of passenger cars                          notifications.
 and unpowered vehicles--
 Alternative inspection
 intervals: Notifications.
--Notice of seats/seat            30 railroads......  200 notices.......  2 minutes.........  7 hours.
 attachments broken or loose.
--Records of each periodic        30 railroads......  19,284 records....  200 hours/2         3,857,443 hours.
 mechanical inspection.                                                    minutes.
--Detailed documentation of       30 railroads......  5 documents.......  100 hours.........  500 hours.
 reliability assessments as
 basis for alternative
 inspection interval.
238.311--Single car test--        30 railroads......  50 tags...........  3 minutes.........  3 hours.
 Tagging to indicate need for
 single car test.
238.313--Class I Brake Test--     30 railroads......  15,600 records....  30 minutes........  7,800 hours.
 Record for additional
 inspection for passenger
 equipment that does not comply
 with Sec.   238.231(b)(1).
238.315--Class IA brake test--    30 railroads......  18,250 notices....  5 seconds.........  25 hours.
 Notice to train crew that test
 has been performed (verbal
 notice).
--Communicating Signal Tested     30 railroads......  365,000 tests.....  15 seconds........  1,521 hours.
 and Operating.
238.317--Class II brake test--    30 railroads......  365,000 test......  15 seconds........  1,521 hours.
 Communicating Signal Tested and
 Operating.
238.321--Out-of-service credit--  30 railroads......  1,250 notes.......  2 minutes.........  42 hours.
 Passenger Car: Out-of-use
 notation.
238.323--End of Train--           30 railroads......  30 modified         4 hours...........  120 hours.
 Provisions to denote end-of-                          operating rules.
 train so that all side doors
 are protected by door summary
 circuit.
238.445--Automated Monitoring--   1 railroad........  10,000 alerts.....  10 seconds........  28 hours.
 Performance monitoring:
 alerters/alarms.
--Monitoring system: Self-test    1 railroad........  21,900 notices....  20 seconds........  122 hours.
 feature: Notifications.

238.503--Inspection, testing,     1 railroad........  1 plan............  1,200 hours.......  1,200 hours.
 and maintenance requirements--
 Plans.
238.505--Program approval         Rail Industry.....  3 comments........  3 hours...........  9 hours.
 procedures--Submission of
 program/plans and Comments on
 programs.
----------------------------------------------------------------------------------------------------------------

    All estimates include the time for reviewing instructions;
searching existing data sources; gathering or maintaining the needed
data; and reviewing the information. Pursuant to 44 U.S.C.
3506(c)(2)(B), FRA solicits comments concerning: Whether these
information collection requirements are necessary for the proper
performance of the functions of FRA, including whether the information
has practical utility; the accuracy of FRA's estimates of the burden of
the information collection requirements; the quality, utility, and
clarity of the information to be collected; and whether the burden of
collection of information on those who are to respond, including
through the use of automated collection techniques or other forms of
information technology, may be minimized. For information or a copy of
the paperwork package submitted to OMB, contact Mr. Robert Brogan,
Information Clearance Officer, Federal Railroad Administration, at 202-
493-6292, or Ms. Kimberly Toone, Records Management Officer, Federal
Railroad Administration, at<PHONE_NUMBER>.
    Organizations and individuals desiring to submit comments on the
collection of information requirements should direct them to Mr. Robert
Brogan or Ms. Kimberly Toone, Federal Railroad Administration, 1200 New
Jersey Avenue SE., 3rd Floor, Washington, DC 20590. Comments may also
be submitted via email to Mr. Brogan at<EMAIL_ADDRESS>or to
Ms. Toone at<EMAIL_ADDRESS>    OMB is required to make a decision concerning the collection of
information requirements contained in this proposed rule between 30 and
60 days after publication of this document in the Federal Register.
Therefore, a comment to OMB is best assured of having its full effect
if OMB receives it within 30 days of publication. The final rule will
respond to any OMB or public comments on the information collection
requirements contained in this proposal.
    FRA is not authorized to impose a penalty on persons for violating
information collection requirements which do not display a current OMB
control number, if required. FRA intends to obtain current OMB control
numbers for any new information collection requirements resulting from
this rulemaking action prior to the effective date of the final rule.
The OMB control number, when assigned, will be announced by separate
notice in the Federal Register.

D. Federalism Implications

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

E. International Trade Impact Assessment

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

extent practicable, to state the requirements in terms of the
performance desired, rather than in more narrow terms restricted to a
particular design or system.

F. Environmental Impact

    FRA has evaluated this rule in accordance with its ``Procedures for
Considering Environmental Impacts'' (FRA's Procedures) (64 FR 28545,
May 26, 1999) as required by the National Environmental Policy Act (42
U.S.C. 4321 et seq.), other environmental statutes, Executive Orders,
and related regulatory requirements. FRA has determined that this
proposed rule is not a major FRA action (requiring the preparation of
an environmental impact statement or environmental assessment) because
it is categorically excluded from detailed environmental review
pursuant to section 4(c)(20) of FRA's Procedures. See 64 FR 28547 (May
26, 1999).
    In accordance with section 4(c) and (e) of FRA's Procedures, the
agency has further concluded that no extraordinary circumstances exist
with respect to this regulation that might trigger the need for a more
detailed environmental review. As a result, FRA finds that this
proposed rule is not a major Federal action significantly affecting the
quality of the human environment.

G. Unfunded Mandates Reform Act of 1995

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

H. Energy Impact

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

I. Privacy Act

    FRA wishes to inform all potential commenters that anyone is able
to search the electronic form of all comments received into any agency
docket by the name of the individual submitting the comment (or signing
the comment, if submitted on behalf of an association, business, labor
union, etc.). Please see the privacy notice at http://www.regulations.gov/#!privacyNotice. You may also review DOT's complete
Privacy Act Statement in the Federal Register published on April 11,
2000 (65 FR 19477-78).

List of Subjects in 49 CFR Part 238

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

The Proposed Rule

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

PART 238--[AMENDED]

Subpart A--General

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

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

0
2. Section 238.5 is amended by adding in alphabetical order definitions
of ``By-pass,'' ``Door isolation lock,'' ``Door summary circuit,''
``End-of-train,'' ``Exterior side door safety system,'' ``No-motion
system,'' and ``Trainline door circuit'' to read as follows:

Sec.  238.5  Definitions.

* * * * *
    By-pass means a device designed to override a function.
* * * * *
    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.
    Door summary circuit means a trainline door circuit that provides
an indication to the controlling cab of the train that all exterior
side doors are closed as intended, or locked out with a door isolation
lock, or both.
* * * * *
    End-of-train 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.
* * * * *
    Exterior side door safety system means a system or subsystem of
safety features that enable the safe operation of the exterior side
doors of a passenger car or train. The exterior side door safety system
includes appurtenances and components that control, operate, and
display the status of the exterior side doors, and is interlocked with
the train's traction power control.
* * * * *
    No-motion system means a system on a train that detects the motion
of the train.
* * * * *
    Trainline door circuit means a circuit used to convey door signals
over the length of a train.
* * * * *

Subpart B--Safety Planning and General Requirements

0
3. Section 238.131 is added to subpart B read as follows:

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

    (a) Safety systems for powered exterior side doors. All powered
exterior

side door safety systems in passenger cars, and connected door safety
systems in locomotives used in passenger service, that are ordered on
or after [DATE 120 DAYS AFTER DATE OF PUBLICATION OF FINAL RULE IN THE
Federal Register], or placed in service for the first time on or after
[DATE 790 DAYS AFTER DATE OF PUBLICATION OF FINAL RULE IN THE Federal
Register], shall:
    (1) Be built in accordance with APTA standard PR-M-S-18-10,
``Standard for Powered Exterior Side Door System Design for New
Passenger Cars,'' 2011. In particular, locomotives used in passenger
service shall be connected or interlocked with the door summary circuit
to prohibit the train from developing tractive power if an exterior
side door in a passenger car other than a door under the direct
physical control of a crewmember for his or her exclusive use, is not
closed;
    (2) Be designed based on a Failure Modes, Effects, Criticality
Analysis (FMECA);
    (3) Contain an obstruction detection system sufficient to detect
and react to both small and large obstructions and allow the
obstruction to be released when detected;
    (4) Be designed so that activation of a door by-pass feature does
not affect the operation of the obstruction detection system;
    (5) Require a door control panel key or other secure device to
activate a door control panel;
    (6) Not be operated from a door control panel when the door control
panel key or other secure device is removed; and
    (7) Not be affected by the movement or position of the locomotive
throttle. A train's throttle position shall neither open nor close the
exterior side doors on the train.
    (b) Safety system for manual and powered exterior side doors. All
manual and powered exterior side door systems in passenger cars, and
connected door safety systems in locomotives used in passenger service,
that are ordered on or after [DATE 120 DAYS AFTER DATE OF PUBLICATION
OF FINAL RULE IN THE Federal Register], or placed in service for the
first time on or after [DATE 790 DAYS AFTER DATE OF PUBLICATION OF
FINAL RULE IN THE Federal Register] shall:
    (1) Be designed with a door summary circuit and shall be so
connected or interlocked as to prohibit the train from developing
tractive power if an exterior side door in a passenger car other than a
door under the direct physical control of a crewmember for his or her
exclusive use, is not closed;
    (2) Be connected to interior and exterior side door status
indicators;
    (3) Be connected to a door summary status indicator that is readily
viewable to the engineer from his or her normal position in the
operating cab; and
    (4) If equipped with a door by-pass device, be designed so that the
by-pass device functions only when activated from the operating cab of
the train.
    (c) Additional requirements. In addition to the requirements of
this section, requirements related to exterior side door safety on
passenger trains are provided in Sec. Sec.  238.112, 238.133, 238.135,
238.137, and 238.439.
0
4. Section 238.133 is added to subpart B to read as follows:

Sec.  238.133  Exterior side door safety systems--all passenger cars
and locomotives used in a passenger service.

    (a) By-pass device verification.
    (1) Visual inspection. Except as provided in paragraphs (a)(2) and
(a)(3) of this section, a member of the crew of each passenger train
must verify by observation that all door by-pass devices that can
affect the safe operation of the train are sealed in the normal (non-
by-pass) position when taking control of the train.
    (2) Functional test. Instead of a visual inspection of the door by-
pass devices, the railroad may develop a plan to perform a functional
test to determine that the door summary status indicator is functioning
as intended. The functional test plan shall be made available for
inspection by FRA.
    (3) Face-to-face relief. Crewmembers taking control of a train do
not need to perform either a visual inspection or a functional test of
the door by-pass devices in cases of face-to-face relief of another
train crew and notification by that crew as to the functioning of the
door by-pass devices.
    (b) Unsealed door by-pass device. A crewmember must notify the
railroad's designated authority pursuant to the railroad's defect
reporting system if a door by-pass device that could affect the safe
operation of the train is found unsealed during the train's daily
operation. If the train crew can test the door safety system and
determine that the door summary status indicator is functioning as
intended, the train can travel in service until the next forward repair
point where a seal can be applied by a qualified maintenance person
(QMP) or until its next calendar day inspection, whichever occurs
first; if not, the train crew must follow the procedures outlined in
paragraph (c) of this section.
    (c) En route failure. If it becomes necessary to activate a door
by-pass device, the train may continue to its destination terminal,
provided that the train crew conducts a safety briefing that includes a
description of the location(s) where crewmembers will position
themselves on the train in order to observe the boarding and alighting
of passengers, notifies the railroad's designated authority that the
train's door by-pass device has been activated, and adheres to the
operating rules required by Sec.  238.135. After the train has reached
its destination terminal, the train may continue in passenger service
until its arrival at the next forward repair point or its next calendar
day inspection, whichever occurs first, provided that prior to movement
of equipment with a door by-pass device activated:
    (1) An on-site QMP shall determine that repairs cannot be made at
the time and it is safe to move the equipment in passenger service. If
a QMP is not available on site, these determinations may be made based
upon a description of the condition provided by an on-site qualified
person (QP) to a QMP offsite; and
    (2) The QP or QMP shall notify the crewmember in charge of the
movement of the train that the door by-pass device has been activated.
A safety briefing must be held and shall include a description of the
location(s) where crewmembers will position themselves on the train in
order to observe the boarding and alighting of passengers.
    (d) Records. The railroad shall maintain a record of each door by-
pass activation and each unintended opening of a powered exterior side
door, including any repair(s) made, in the defect tracking system as
required by Sec.  238.19.
    (e) Door control panels. Exterior side doors shall not be capable
of operation from a door control panel when the key or other similar
device is removed.
    (f) End-of-train. If end-of-train switches are used, the switches
shall be secured in a manner to prevent access by unauthorized
personnel.
    (g)(1) Exterior side door safety system override devices. Exterior
side door safety system override devices that can adversely affect the
train's door safety system must be inactive and sealed in all passenger
cars and locomotives in the train consist, including cab cars and MU
locomotives, if they are so equipped with such a device.
    (2) Calendar day inspection. As part of the equipment's calendar
day inspection, all exterior side door safety system override devices
must be inactive and sealed in all passenger cars and all locomotives
in the train consist, including cab cars and MU locomotives,

if they are so equipped with such a device.
0
5. Section 238.135 is added to subpart B to read as follows:

Sec.  238.135  Operating practices relating to exterior side door
safety systems.

    (a) At the beginning of his or her duty assignment prior to a
train's departure, each crewmember must participate in a safety
briefing that identifies each crewmember's responsibilities relating to
the safe operation of the exterior side doors on the train.
    (b) All passenger train exterior side doors and trap doors must be
closed when a train is in motion between stations except when:
    (1) The train is departing or arriving at a station if:
    (i) A crewmember needs to observe the station platform; and
    (ii) The open door is attended by the crewmember; or
    (2) A crewmember must perform on-ground functions, such as, but not
limited to, lining switches, making up or splitting the train,
providing crossing protection, or inspecting the train.
    (c)(1) Except as provided in paragraph (b) of this section,
passenger railroads must receive 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.
    (2) Any request for special approval must include:
    (i) A written justification explaining the need to operate a
passenger train with its exterior side doors or trap doors, or both,
open between stations; and
    (ii) A detailed hazard analysis, including a description of
specific measures to mitigate any added risk.
    (3) The request must be signed by the chief executive officer
(CEO), or equivalent, of the organization(s) making the request.
    (d) No later than [DATE 1,095 DAYS AFTER DATE OF PUBLICATION OF
FINAL RULE IN THE Federal Register], each railroad shall adopt and
comply with operating rules on how to safely override a door summary
circuit or no-motion system, or both, in the event of an en route
exterior side door failure or malfunction on a passenger train.
Railroads shall provide these written rules to their employees and make
them available for inspection by FRA. These written rules shall
include:
    (1) Instructions to crewmembers describing what conditions must be
present in order to override the door summary circuit or no-motion
system, or both; and
    (2) Steps crewmembers must take after the door summary circuit, or
no-motion system, or both have been overridden to help provide for
continued passenger safety.
    (e) No later than [DATE 1,095 DAYS AFTER DATE OF PUBLICATION OF
FINAL RULE IN THE Federal Register], each passenger train crewmember
must be trained on:
    (1) The requirements of this section; and
    (2) How to identify and isolate equipment with a malfunctioning
exterior powered or manual side door.
    (f) Beginning [DATE 1,095 DAYS AFTER DATE OF PUBLICATION OF FINAL
RULE IN THE Federal Register], each railroad shall periodically conduct
operational (efficiency) tests and observations of its operating
crewmembers and control center employees to determine each employee's
knowledge of the railroad's powered and manual exterior side door
safety procedures for its passenger trains.
    (g) No later than [DATE 1,095 DAYS AFTER DATE OF PUBLICATION OF
FINAL RULE IN THE Federal Register], each railroad shall adopt and
comply with operating rules requiring train crewmembers to determine
the status of their train's exterior side doors so that their train may
safely depart a station. These rules shall require crewmembers to
determine that there are no obstructions in their train's exterior side
doors before the train departs.
    6. Section 238.137 is added to subpart B to read as follows:

Sec.  238.137  Mixed consist; operating equipment with incompatible
exterior side door systems.

    (a) A train made up of equipment with incompatible exterior side
door systems shall be operated within the constraints of the door
safety system in each unit of the train.
    (b) No later than [DATE 1,095 DAYS AFTER DATE OF PUBLICATION OF
FINAL RULE IN THE Federal Register], each railroad shall develop
operating rules to provide for the safe use of equipment with
incompatible exterior side door systems when utilized in a mixed
consist.

Joseph C. Szabo,
Administrator.
[FR Doc. 2014-06482 Filed 3-25-14; 8:45 am]
BILLING CODE 4910-06-P