Appendix A to Part 238--Schedule of Civil Penalties

    This appendix contains a schedule of civil penalties for use to
enforce this part. Because such penalty schedules are statements of
agency policy, notice and comment are not required prior to their
issuance. See 5 U.S.C. 553(b)(3)(A). Nevertheless, FRA invited comment
on the penalty schedule. However, FRA did not receive any comments.
    Accordingly, FRA is amending the penalty schedule to reflect the
addition of the following sections to this part: Sec.  238.131,
Exterior side door safety systems--new passenger cars and locomotives
used in passenger service; Sec.  238.133, Exterior side door safety
systems--all passenger cars and locomotives used in a passenger
service; Sec.  238.135, Operating practices for exterior side door
safety systems; and Sec.  238.137, Mixed consist; operating equipment
with incompatible exterior side door systems.

VI. Regulatory Impact and Notices

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

    This final rule has been evaluated in accordance with Executive
Order 12866 (Regulatory Planning and Review), Executive Order 13563
(Improving Regulation and Regulatory Review), and DOT policies and
procedures. A regulatory evaluation has been prepared addressing the
economic impact of the final rule over a 20-year period. The economic
impacts of the final rule are estimated at well under $100 million per
year. This section summarizes the economic impacts of the final rule.
    The intent of the final regulation is to increase safety by
reducing the injuries caused by the operation of a passenger train's
exterior side doors. The doors can cause injuries to passengers from
striking or holding them as they board or alight from trains. These
injuries are unintended consequences that result from normal train
operations. Railroad rules governing the operation of the doors may not
provide adequate information to crewmembers, for example, about when
and how to use door by-pass devices and the interaction of the doors
with other train systems. Although most passenger trips occur without a
door incident, the consequences of improper door operations can and
have resulted in serious harm and even death. In November 2006, a
passenger died after being caught in the doors of a departing NJT train
at the Bradley Beach, NJ station.
    FRA intends to reduce door incidents and injuries in two ways.
First, the final rule addresses the railroads' rules and procedures for
operating doors. The final rule requires railroads to have and

implement operating rules for their employees that emphasize
understanding the capabilities and limits of the door safety systems
installed on the passenger cars and connected locomotives used in
passenger service that they operate. The overall intent of the
operating rules requirement is that the train crew should be aware of
the status of the door safety systems on their train, such as if the
train is operating in by-pass mode (which overrides certain door safety
features), if a door is locked-out because of a malfunction, or if they
are working on trains that have cars with different door safety
systems. Specific requirements include the need for the train crew to
verify that the door by-pass devices are sealed on the train they are
operating, to report instances when a by-pass device is found unsealed,
and to understand crew responsibilities to safely operate the train
when by-pass mode has been activated. The final rule also contains
provisions to mitigate existing practices that may unintentionally
increase the risk of door-caused injuries. For example, the final rule
requires door control panels (used to open and close the doors) to
become and remain inactive if a door control key or some other secure
device is removed from the panel. Also, if switches are used to denote
the end of the train circuit, then these switches need to be secured.
Securing the switches used to denote the end of the train reduces the
opportunity for part of the train to be cut-off from the summary
circuit and be left unprotected by the door safety system (a situation
which could occur if the end-of-train circuit switches are activated at
some location other than at the actual end of the train). Additionally,
FRA is concerned about the inherent risk posed by a few railroads'
practice of running trains with the doors open between stations.
However, FRA allows railroads the flexibility to continue the practice,
but only by special approval supported by a hazard analysis including
risk mitigation measures. Other requirements for operating rules task
the crew with determining that the doors are free of obstructions so
that the train may safely depart a station, and with procedures for
safely operating trains that consist of mixed passenger cars and
locomotives used in passenger service, such as cars with different door
systems. For these operating rules and operating rules describing
procedures to maintain safety when the train is in by-pass mode, FRA
allows three years for implementing compliance. Passenger railroads
also have a three-year period to train crewmembers on these operating
rules. To determine that the employees understand such operating rules,
railroads have three years to begin conducting periodic operational
(efficiency) tests of its crewmembers and control center personnel, as
appropriate to their roles ensuring the safe operation of the exterior
side doors and the door by-pass devices.
    The second part of the final rule concerns requirements for doors
on new passenger cars and connected locomotives used in passenger
service. FRA is adopting the APTA Standard discussed above containing
the design requirements for door safety systems on new passenger cars
ordered with powered exterior side doors, and for connected door safety
systems on new locomotives used in passenger service. For example, new
cars with powered exterior side doors need an obstruction detection
system, a key or other secure device to activate (i.e., turn on) a door
control panel, and the doors may not close or open by moving the
locomotive throttle control (i.e., the doors should be controlled by
the crew instead of by the movement of the train). The Standard is
structured in a hierarchical order, addressing the door safety features
at the individual door level through the overall system level. The
Standard is structured this way to potentially prevent or mitigate
unsafe door conditions at one of several levels. This structure also
provides railroads flexibility to determine the most appropriate
equipment design for their particular operations. In this way, the
Standard is performance-based. Additionally, the final rule includes
some minimum safety standards for manual and powered exterior side
doors on new passenger cars and for connected door safety systems on
new locomotives used in passenger service. These types of new passenger
equipment need to have a door summary circuit that prevents the train
from taking power and moving if an exterior side door is open. Other
safety requirements that apply to new cars with either powered or
manual exterior side doors are door status lights or indicators, a door
summary status indicator or light that is easily viewable by the
engineer, and by-pass devices that work only when activated from the
operating cab of the train. The final rule notes that these
requirements for passenger trains with manual or powered doors apply to
both commuter and intercity passenger service railroads (but not to
private equipment).
    FRA is requiring additional door safety features on new cars and
connected locomotives. These safety features can be installed more
cost-effectively in such new equipment compared to potentially
requiring the retrofit of existing equipment. These safety features on
new cars and connected locomotives are all currently available.
    FRA analyzed the economic impacts of this rule against a ``no
action'' baseline. The no action baseline reflects the state of the
world in the absence of this final rule. The estimated costs resulting
from the final rule over the 20-year period of analysis total $15.2
million undiscounted, with a present value of about $8.3 million
calculated using a 7-percent discount rate (PV, 7%), and a present
value of $11.5 million calculated using a 3-percent discount rate (PV,
3%). The estimated quantified benefits over a 20-year period total
$83.9 million undiscounted, $43.3 million (PV, 7%), and $61.7 million
(PV, 3%). These costs and benefits result in net positive benefits over
20 years of about $68.7 million undiscounted, $35.0 million (PV, 7%),
and $50.2 million (PV, 3%).
    In the regulatory evaluation accompanying the final rule, the
burdens accounted for remain primarily the same as in the regulatory
evaluation accompanying the proposed rule. The most significant change
was expanding the costs resulting from section 238.135(c), which
requires railroads to receive special approval from FRA to operate
passenger trains with open doors between stations in circumstances
other than those specifically allowed by the rule. The costs for this
provision were expanded to include potential mitigations that a
railroad may have to put in place to reduce the risk to passengers. In
addition, after the proposed regulatory evaluation was published, DOT
issued new guidance in June 2014 for the value of a statistical life
that is used in estimating benefits. The guidance also updated the
median growth rate in wages that affects the cost estimates. The costs
and benefits have been revised in the final regulatory evaluation to
reflect this new guidance. Also, the start of the period of analysis,
i.e., year 1, has been changed from 2014 to 2015 to reflect the passage
of time since the proposed rule was published. These changes are
explained in the final regulatory evaluation accompanying the final
rule. Furthermore, DOT again revised the value of a statistical life
guidance in June 2015 for analyses prepared in 2015. The June 2015
guidance increases the value of a statistical life from $9.2 million to
$9.4 million. The new value would not alter the benefits or costs
enough to change the resulting net-benefit outcome for

this final rule. As the final regulatory evaluation updates the 2014
analysis for the proposed rule, and the benefit-cost decisions would
not be affected by the new DOT guidance, this final analysis continues
to use the DOT guidance for the value of a statistical life issued in
June 2014 for estimating impacts.
    The final 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 from the safety standards
for door safety systems on 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 injuries in the past (2001-2005), and the assumption that the
final 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, similar to the average
of previous years' results. There may be other additional benefits that
were not quantified, 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 have
reduced door system maintenance costs as a result, as newer passenger
cars can be expected to have more reliable door systems than older
cars.
    The costs and benefits are summarized in the tables Costs Summary
and Benefits Summary, respectively.

                                              Table--Costs Summary
----------------------------------------------------------------------------------------------------------------
                                                                             Total present       Total present
    Final rule reference (and        Cost category    Total undiscounted    value of costs      value of costs
regulatory evaluation reference)                             costs         discounted at 7%    discounted at 3%
----------------------------------------------------------------------------------------------------------------
238.133(a) (8.2(a)), By-Pass      Verify Door By-     $11,140,576.......  $5,499,252........  $8,032,569.
 Device Verification.              Pass Devices Are
                                   Sealed and Ensure
                                   Integrity of the
                                   Train.
238.133(a) (8.2(a)), Developing   As an Alternative,  $9,805............  $8,085............  $8,913.
 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  $557,029..........  $274,963..........  $401,628.
 Door By-Pass Device.              By-Pass Devices
                                   when Found
                                   Unsealed, Report
                                   Defect.
238.133(c) (8.2(c)), En Route     Determine if Safe   $78,093...........  $40,723...........  $57,686.
 Failure.                          to Proceed with
                                   Door By-Pass
                                   Activated, and
                                   Hold Crew Safety
                                   Briefing.
238.133(d) (8.2(d)), Records....  Record the Door By- $13,051...........  $6,806............  $9,640.
                                   Pass Activation.
238.133(d) (8.2(d)), Records....  Record Unintended   $52,203...........  $27,222...........  $38,561.
                                   Door Openings.
238.133(e) (8.2(e)), Door         Average of          (0.5*$186,574) +    (0.5*$174,369) +    (0.5*$181,140) +
 Control Panels.                   Engineering and     (0.5*$26,839) =     (0.5*$24,186) =     (0.5*$25,643) =
                                   Operating Rule      $106,707.           $99,277.            $103,391.
                                   Solutions to
                                   Prevent
                                   Unauthorized
                                   Access to Door
                                   Control Panels.
238.133(f) (8.2(f)), End-of-      Secure End-of-      $205,635..........  $192,182..........  $199,645.
 Train Circuit.                    Train Circuit
                                   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-     $79,467...........  $41,440...........  $58,701.
 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), 238.135(c) (8.3(b),   Railroads that      File Justification  File Justification  File Justification
 8.3(c)), Operate with the         File a Written      = $3,122, Install   = $2,918, Install   = $3,031, Install
 Exterior Side Doors and Traps     Justification       Typical             Typical             Typical
 Closed when Traveling Between     with FRA            Mitigations =       Mitigations =       Mitigations =
 Stations, and Special Approval    Requesting          $150,000, Total =   $140,187, Total =   $145,631, Total =
 to do so.                         Special Approval    $153,122.           $143,105.           $148,662.
                                   to Operate with
                                   the Exterior Side
                                   Doors Open
                                   Between Stations,
                                   Install Typical
                                   Risk Mitigations
                                   (Signage,
                                   Markings,
                                   Lighting).
238.135(d), 238.135(f),           Developing          $153,632..........  $107,862..........  $130,219.
 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), Additional    Provide Written     Enter, Copy,        Enter, Copy,        Enter, Copy,
 Requirement to Provide Written    Operating Rules     Distribute Rules    Distribute =        Distribute =
 Operating Rules for By-Pass.      to Crewmembers      = $2,199, Read =    $1,487, Read =      $1,836, Read =
                                   and Control         $100,591, Total =   $67,678, Total =    $83,807, Total =
                                   Center Personnel    $102,790.           $69,165.            $85,642.
                                   for Safely
                                   Overriding Door
                                   Safety Systems,
                                   Allow Time for
                                   These Affected
                                   Individuals 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           $11,235, Perform    $8,547, Perform     $9,910, Perform
                                   Training on         Training =          Training =          Training =
                                   Exterior Side       $576,540, Total =   $391,380, Total =   $482,143, Total =
                                   Door Safety         $587,776.           $399,927.           $492,053.
                                   Systems and
                                   Operating Rules,
                                   Perform Training.
238.135(g) (8.3.2), Operational   Conduct             $116,019..........  $52,666...........  $81,067.
 (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      $1,576,608........  $1,068,506........  $1,328,884.
 Powered Door System Standards     Safety Features
 for New Passenger Equipment.      for New Passenger
                                   Cars With Either
                                   Powered or Manual
                                   Exterior Side
                                   Doors and
                                   Connected Loco's
                                   Used in Passenger
                                   Service.
                                 -------------------------------------------------------------------------------
    Total.......................  ..................  $15,232,512.......  $8,311,555........  $11,468,527.
----------------------------------------------------------------------------------------------------------------

                                                                 Table--Benefits Summary
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                                Estimated          Estimated
                                                               (VSL=$9.2          Estimated         reduction in       reduction in      Total value of
                                                              million) AIS       reduction in        injuries,         fatalities,       reductions in
                        Rule year                             level dollar        injuries,      monetary value at  monetary value at     injuries and
                                                                 value          monetary value          50%                50%             fatalities
                                                                                effectiveness      effectiveness
--------------------------------------------------------------------------------------------------------------------------------------------------------
1........................................................           $301,389         $5,605,832         $2,802,916           $941,840         $3,744,756
2........................................................            304,945          5,671,981          2,835,991            952,954          3,788,944
3........................................................            308,544          5,738,910          2,869,455            964,199          3,833,654
4........................................................            312,184          5,806,630          2,903,315            975,576          3,878,891
5........................................................            315,868          5,875,148          2,937,574            987,088          3,924,662
6........................................................            319,595          5,944,475          2,972,237            998,736          3,970,973
7........................................................            323,367          6,014,619          3,007,310          1,010,521          4,017,830
8........................................................            327,182          6,085,592          3,042,796          1,022,445          4,065,241

9........................................................            331,043          6,157,402          3,078,701          1,034,510          4,113,211
10.......................................................            334,949          6,230,059          3,115,030          1,046,717          4,161,747
11.......................................................            338,902          6,303,574          3,151,787          1,059,068          4,210,855
12.......................................................            342,901          6,377,956          3,188,978          1,071,565          4,260,543
13.......................................................            346,947          6,453,216          3,226,608          1,084,210          4,310,818
14.......................................................            351,041          6,529,364          3,264,682          1,097,003          4,361,685
15.......................................................            355,183          6,606,410          3,303,205          1,109,948          4,413,153
16.......................................................            359,375          6,684,366          3,342,183          1,123,045          4,465,228
17.......................................................            363,615          6,763,242          3,381,621          1,136,297          4,517,918
18.......................................................            367,906          6,843,048          3,421,524          1,149,706          4,571,230
19.......................................................            372,247          6,923,796          3,461,898          1,163,272          4,625,170
20.......................................................            376,640          7,005,497          3,502,748          1,176,999          4,679,747
                                                          ----------------------------------------------------------------------------------------------
    Total undiscounted...................................  .................  .................         62,810,558         21,105,698         83,916,257
    Total PV @7%.........................................  .................  .................         32,423,683         10,895,055         43,318,737
    Total PV @3%.........................................  .................  .................         46,189,262         15,520,585         61,709,847
--------------------------------------------------------------------------------------------------------------------------------------------------------
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) = $9.2 million in base year 2013, increased at a rate of 1.18 percent annually, to equal $9.4 million in rule year 1.
PV = Present Value.

B. Regulatory Flexibility Act and Executive Order 13272; Certification
of No Significant Economic Impact on a Substantial Number of Small
Entities

    The Regulatory Flexibility Act of 1980 (RFA) (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 conduct an initial regulatory flexibility
analysis (IRFA) unless it determines and certifies that a proposed rule
does not have a significant economic impact on a substantial number of
small entities. When an agency prepares a final rule, the agency needs
to prepare a final regulatory flexibility analysis (FRFA), or if a FRFA
is not prepared, the head of the agency must certify that the final
rule will not have a significant economic impact on a substantial
number of small entities. See 5 U.S.C. 604(a) and 605(b).
    FRA prepared an IRFA at the time the proposed passenger door rule
was published in the Federal Register. FRA requested comment on
potential small business impacts of the requirements in the proposed
rule. No small entities submitted public comments, nor did anyone
submit comments regarding the costs of the proposed rule on small
entities.
    However, stakeholders submitted four comments about the
requirements in the NPRM. Sensotech, Inc. wanted FRA to consider
Sensotech's acoustic technology for a door safety system. In response,
FRA notes that it leaves the specific type of technologies used for
door safety systems up to the discretion of the regulated entities. A
regulated entity can choose the technology that is most cost-effective
for its operations to comply with the final rule's requirements. In its
comment, SEPTA asked for an additional exception from Sec.  238.135(b).
Section 238.135(b) generally requires side and trap doors to remain
closed as the train travels between stations. SEPTA has operational
concerns with this requirement. Veolia also expressed concern about the
same section of the rule. Veolia uses a procedure that requires a
conductor to verify a signal indication at a particular location. In
order to verify the signal indication, Veolia believes a conductor may
have to open a door while the train is moving. Veolia asked for
clarification about whether its procedure would violate Sec.
238.135(b). For both commenters, FRA responds that there are exceptions
in Sec.  238.135(b) for crew observations of a station platform and for
on-ground functions such as lining switches. Furthermore, if a railroad
does not qualify for the exceptions in Sec.  238.135(b), a railroad may
apply for relief under Sec.  238.135(c). Rather than create an
additional permanent exception in the final rule, FRA believes that the
process in Sec.  238.135(c) is the appropriate way to consider
exceptions. Finally, one anonymous person commented about hours of
service issues in the trucking industry and a Federal Motor Carrier
Safety Administration proposal. Since the comment does not apply to
this passenger door safety rulemaking, FRA is not addressing this
comment in this final rule. The full text of the comments can be found
in the public docket for this rulemaking on www.regulations.gov.
    FRA made no changes in the final rule for these public comments but
did revise the regulatory language in a few sections for clarity. Some
clarifications for particular sections of the rule are discussed below.
    In Sec.  238.135(a) about the crew participating in daily safety/
job briefings, FRA added language to clarify that the safety briefing
must discuss safe operation of the doors for situations that the crew
may encounter throughout the duty dour. For example, if there was work
being done on a station platform so that a portion of the platform was
not available, the crew would need to discuss safely operating the
doors when arriving or departing that station. The regulatory analysis
for the proposed rule assumed that job briefings currently cover the
variety of door-related tasks that the crew performs, including safe
door operations. Both the proposed and final rules add emphasis for the
crew to be aware of safe door procedures, which will reasonably include
discussing situations along their route that could affect door safety.
This briefing could be combined with existing safety briefings

at minimal extra cost. No change is therefore made to the previous cost
estimates in the proposed rule.
    Section 238.135(c) was modified to make it explicit that FRA may
request additional information from a railroad in support of its
request to operate with the doors open in circumstances other than
those allowed under Sec.  238.135(b). FRA expects only a few railroads
to make such a request, none of them small entities. In addition, the
regulatory analysis accompanying the NPRM already allocated time for a
substantive, well-documented request, minimizing the effort that would
be needed to gather additional supporting documentation.
    Sections 238.137(a) and (b) concern operation of trains with mixed
equipment, such as cars with different door safety systems. In the
final rule, FRA is clarifying the language to make it clear that
railroads must not only adopt such rules, but comply with them. In the
regulatory evaluation for the proposed rule, the costs for operating
rules for mixed consist trains were accounted for along with the other
operating rules. Thus, it was assumed that railroads would both adopt
and comply with such rules. In addition, the regulatory evaluation
could not claim benefits from the operating rules in terms of reduced
injuries if the operating rules were not actually used. The compliance
costs result from training crewmembers in the operating rules. These
costs were already accounted for in the proposed regulatory evaluation
and no change in this burden is made in the final regulatory
evaluation.
    In discussing changes to the final regulatory evaluation, the type
of burdens accounted for remain primarily the same as in the proposed
rule regulatory evaluation. However, after the proposed regulatory
evaluation was published, DOT issued new guidance for the value of a
statistical life that is used in estimating benefits. The guidance also
updated the median growth rate in wages that affects the cost
estimates. The costs and benefits have been revised in the final
regulatory evaluation to reflect this new guidance. Also, the start of
the period of analysis, i.e., year 1, has been changed from 2014 to
2015 to reflect the passage of time since the proposed rule was
published. These changes are explained in the final regulatory
evaluation prepared to accompany the final rule.
    The analysis to support that the final rule will not have a
significant economic impact on a substantial number of small entities
is presented after some information about the final rule to aid
discussion.
1. Reasons for Considering Agency Action
    As background, and as noted in the IRFA, 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 doors getting on and off the train without
incident. 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 have resulted from normal train operations.
    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 the passengers' interaction with
the doors and the employees' control of the doors. For example,
passengers may assume 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 know 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 light switch on without any exterior side
door safety features.
    This final rule will improve railroad safety through regulatory
language establishing new design requirements, and requirements for
operating practices for the use of exterior side door safety systems on
passenger cars and connected locomotives. Specifically, this final rule
incorporates by reference the standards for powered exterior side door
safety systems on new passenger cars and connected door safety systems
on new locomotives used in passenger service, from the APTA Standard
PR-M-S-18-10 (``Standard for Powered Exterior Side Door System Design
for New Passenger Cars''), discussed above.
2. Description of Regulated Entities
    The ``universe'' of the entities considered generally includes only
those small entities that can reasonably be expected to be directly
regulated by this action. Small railroads that provide passenger
service are the only types of small entities that may be affected
directly by this final 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 definition 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.
    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. The contract
operators are typically large freight railroads, large transportation
companies, or Amtrak (a Class I railroad), which perform primary
operating and maintenance functions for the passenger railroads. For
the purpose of assessing this final 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. The large transportation companies that are contractors are
typically substantial private companies such as Herzog

Transit Services, Inc., or part of an international conglomerate such
as Keolis S.A. Group or Veolia Environnement S.A. These international
conglomerates have substantial multidisciplinary workforces and can
perform most to all of the operating functions the passenger railroad
requires.
    Federal agencies may adopt their own size standards for small
entities in consultation with SBA and in conjunction with public
comment. Under 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 as 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 using this definition for this
rulemaking.
3. Railroads Impacted
    All railroads that provide intercity, or commuter or other short-
haul, passenger train service, as provided in 49 CFR 238.3
(Applicability), will have to comply with all the provisions in this
final rule. However, the effort to comply with this final rule is
commensurate with the size of the entity, the number of trains the
entity operates, the number of employees the railroad employs, and the
railroad's current operating rules for the operation of its trains'
exterior side doors. Tourist, historic, and excursion railroads are
exempt from this final rule. See 49 CFR 238.3.
    For purposes of this analysis, there are two intercity passenger
railroads, Amtrak and the Alaska Railroad Corporation. Neither is
considered a small entity. Amtrak is a Class I railroad and therefore
not 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 FRA's published statement of agency policy referenced above.
The Alaska Railroad is owned by the State of Alaska, which has a
population well in excess of 50,000. Therefore, they are not considered
small entities in this analysis.
    In addition to the above intercity passenger railroads, there are
currently 28 other railroads that provide passenger train service in
the U.S. Most of these 28 railroads are part of larger transit
organizations that receive Federal funds and serve major metropolitan
areas with populations greater than 50,000. Therefore, most of these
are not small entities.
    However, two of these 28 railroads are considered small entities:
The Saratoga & North Creek Railway (SNC), and the Hawkeye Express,
which is operated by the Iowa Northern Railway Company (IANR). 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. IANR owns and operates the six bi-level
passenger cars used for this small passenger operation which runs on
average only seven days over a calendar year. IANR has approximately
100 employees and is primarily a freight operation totaling 184,385
freight train miles in 2010. The Hawkeye Express service has a
contractual arrangement with the University, a State of Iowa
institution located in Iowa City, Iowa. The population of Iowa City is
approximately 69,000. The SNC began operation in the summer of 2011 and
currently provides intermittent passenger train service over a 57-mile
line between Saratoga Springs and North Creek, New York, making seven
station stops in between. 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. It also operates special events
trains. 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. The SNC has about 37 total employees, including about 7
engineers and conductors that are responsible for safe door operations
under this final rule.
Substantial Number of Small Entities
    There are two railroads that are considered small entities for
purposes of this analysis and together they comprise about 7 percent of
the railroads impacted directly by this regulation. Thus, 7 percent of
the impacted railroads could be considered to be a substantial number
of small entities. However, these two small entities represent a much
smaller portion of the total railroad industry impacted by this final
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.
No Significant Economic Impact
    Some passenger railroads have voluntarily been in compliance with
the requirements in this final rule for some time. FRA expects that
most of the skills necessary to comply with the final rule are
possessed by operating crew employees and recordkeeping and reporting
personnel. For the affected small entities, the additional burden of
the requirements is marginal. The nature of the operations of these two
small entities indicates lower over-all costs to these railroads. The
Hawkeye Express has a very limited operation in the number of days the
railroad operates, the low number of cars (6 bi-level cars), and the
total trips made by its trains. As a result, the costs for almost all
of the final rule's burdens on the Hawkeye Express are low.\5\ The SNC
operates more trains and for more days than the Hawkeye Express, but
has a low number of cars and limited number of trips. This type of
operation will keep the costs from the final rule's requirements low.
And, as discussed further below, the requirements applicable to
purchasing new cars and locomotives do not have any impact on these two
small entities because they do not purchase or order new passenger cars
or passenger locomotives.
---------------------------------------------------------------------------

    \5\ In addition, 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.
---------------------------------------------------------------------------

    There are reporting, recordkeeping, and compliance burdens
associated with this regulation. FRA estimates that the total cost of
the final rule for the railroad industry over a 20-year period will be
$15.2 million (undiscounted)--$8.3 million (discounted at 7 percent),
or $11.5 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 final rule will be
borne by small entities. FRA estimates that the approximate total cost
for small railroads for the 20-year period could range between $75,000
and $151,000 (undiscounted) depending on discount rates and the

extent of costs relative to larger railroads. FRA estimates impacts on
these two railroads annually could range on average between $950 and
$1900 to comply with the final rule. The cost to these two small
entities will be considerably less on average than that of the other 28
railroads. FRA reasonably believes this will not be a significant
economic burden. For a thorough presentation of cost estimates please
refer to the regulatory evaluation, which is in the docket for this
rulemaking.
    Turning now to the economic impacts of specific provisions of the
final rule, the regulatory evaluation estimates that the requirements
in Sec.  238.133(a) (crewmember door by-pass verification) are the
largest cost for railroads, accounting for about two-thirds of total
discounted costs. Section 238.133(a) requires verifying that the by-
pass devices to override the door safety features are sealed in the
normal, non-by-pass mode. The related provision in Sec.  238.133(b)
requires by-pass devices that are found unsealed to be reported and has
conditions for replacing the seal; it accounts for about 3 percent of
costs. However, neither the Hawkeye Express nor SNC operates trains
that use by-pass devices, and would therefore have no costs associated
with this requirement.
    The second most costly provision, accounting for about 16 percent
of costs, is Sec.  238.131, which implements door safety standards for
new passenger cars and connected locomotives, including the industry
APTA Standard. These requirements also do not impact these two small
entities because they do not purchase or order new passenger cars or
passenger locomotives. In fact, Hawkeye Express' operator owns the cars
and locomotives. Due to the limited operations of both entities, and
other factors, it is unlikely that these entities will purchase new
passenger cars anytime in the near future. In addition, for all
railroads, Sec.  238.131 applies to new rail passenger cars and
connected locomotives used in passenger service that are ordered on or
after 120 days after the date this rule is published in the Federal
Register, or placed into service for the first time on or after 790
days after the date the rule is published in the Federal Register. This
time period gives the railroads sufficient time to reach compliance.
    For Sec.  238.135, the costs will vary for these two entities. For
paragraph (b) of Sec.  238.135, which generally requires exterior side
doors and trap doors to be closed when the train is moving between
stations, FRA does not anticipate any cost to these small entities
because both railroads currently operate with their trains' exterior
side doors closed between train stations.
    Paragraphs (d) and (f) 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 to be trained on the
requirements of the section (i.e., Sec.  238.135), and paragraph (g)
requires corresponding operational testing to demonstrate the
crewmembers' and control center personnel's knowledge of the door
operating rules. Likewise, paragraphs (a) and (b) of Sec.  238.137
require railroads to adopt and comply with operating rules to provide
for the safe use of equipment with incompatible exterior side door
systems when utilized in a mixed consist. For most railroads some of
these requirements will be new burdens with associated costs. Railroads
will have to review their existing operating rules and 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. Moreover, Sec.  238.137 would not apply to most railroads
because most railroads do not operate mixed consists.\6\ Thus, the
economic burdens for Sec.  238.135(b) through (g), as well as Sec.
238.137(a) and (b), depend on whether the railroads' current operating
rules already include the door operation requirements in the final rule
and whether they operate mixed consists.
---------------------------------------------------------------------------

    \6\ For example, FRA observed that MARC and MBTA operated mixed
consists.
---------------------------------------------------------------------------

    The door safety features and their associated operating rules in
the final rule are not new or novel procedures, but currently exist.
All 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. In
addition, for Sec.  238.135(d) through (g), and Sec.  238.137(b), FRA
is giving railroads 1,095 days (3 years) after the date of publication
of the final rule in the Federal Register to comply (or begin to
comply, for Sec.  238.135(g)). Lastly, the cost of all these
requirements for small business entities is estimated to be less than
two percent of the total cost of the final 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
only compete with individual automobile traffic and serve to reduce
congestion on 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 final rule will have an economic
impact on all passenger railroads, it will not have an impact on the
competitive position of small railroads.
4. Certification
    Pursuant to the RFA, FRA prepared and made available for public
comment an initial regulatory flexibility analysis describing the
impacts of the proposed rule on small entities (5 U.S.C. 603(a)). FRA
did not receive any comments from small entities or comments regarding
the economic impact on small entities. FRA does not expect the final
rule to have a significant economic impact on a substantial number of
small entities. Therefore, in lieu of preparing a final regulatory
flexibility analysis, FRA will certify the final rule per section 605
of the RFA.
    This final rule directly affects all railroads that provide
intercity, or commuter or short-haul, passenger train service, of which
there are currently 30 for purposes of this analysis (two intercity
passenger railroads and 28 other railroads that provide passenger train
service). FRA estimates that two of these railroads, or about 7
percent, are small entities. Therefore, this final rule will have an
impact on a substantial number of small entities. FRA notes that these
entities operate a small number of trains annually and employ a small
number of crewmembers responsible for safe exterior side door
operations.
    However, FRA has determined that the economic impact on entities
affected by the final rule will not be significant. The impact of the
most burdensome requirement, to verify that by-pass devices are in the
normal position and sealed, does not affect these entities because they
do not run trains that use by-pass devices. The second most burdensome
provision, requiring certain door safety features on new passenger cars
and connected locomotives used in passenger service, will also not
affect these entities as they are not expected to order new passenger
equipment. In addition, the final rule allows additional time to meet
these requirements. The

other requirements of the final rule are about adopting and complying
with safe door operating rules, and training crewmembers on these door
operating rules. The impact of these operating rules will depend on the
nature of a railroad's passenger operations. The two small entities
have limited numbers of employees and train operations per year to
which this rule will apply. Also, the final rule provides flexibility
in meeting these requirements by giving railroads up to three years
after the publication of the final rule to adopt and comply with these
operating rules and training requirements. Therefore, FRA believes that
the economic impact of these operating rules and training requirements
will be minimal. Accordingly, the Administrator of the FRA hereby
certifies that this final rule will not have a significant economic
impact on a substantial number of small entities.

C. Paperwork Reduction Act

    FRA is submitting the information collection requirements in this
final rule for review and approval to the Office of Management and
Budget (OMB) under 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.
     Notifications.
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--        30 railroads......  76 tags...........  3 minutes.........  4 hours.
     Movement--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       30 railroads......  1 petition........  120 hours.........  120 hours.
     approval of alternative
     compliance.
    --Petitions for special       30 railroads......  10 petitions......  40 hours..........  400 hours.
     approval of pre-revenue
     service acceptance testing
     plan.
    --Comments on petitions.....  Public/RR Industry  4 comments........  1 hour............  4 hours.
238.103--Fire safety:
    --Procuring new pass.         2 new railroads...  2 analyses........  150 hours.........  300 hours.
     equipment--Fire safety
     analysis.
    --Existing equipment--Final   30 railroads......  1 analysis........  40 hours..........  40 hours.
     fire 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.
 training--Training employees--    100 trainers.       trainers.
 Mechanical inspection.
    --Recordkeeping--Employee/    30 railroads......  2,500 records.....  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    9 equipment         2 plans...........  192 hours.........  384 hours.
     has not been previously       manufacturers.
     used in revenue service in
     the U.S.
    --Subsequent equipment        9 equipment         2 plans...........  60 hours..........  120 hours.
     orders.                       manufacturers.
238.131--New passenger equipment  6 equipment         3 FMECAs..........  4 hours...........  12 hours.
 w/exterior side doors--FMECA      manufacturers.
 analysis for door safety system
 (New Requirement).
238.133--Exterior side door       28 railroads......  30 plans..........  4 hours...........  120 hours.
 safety systems--Functional test
 plan (New Requirement).

    --Unsealed door bypass        28 railroads......  9,994               30 seconds........  84 hours.
     device--Crewmember                                notifications.
     notification to designated
     authority of unsealed door
     by-pass device.
    --Train crew safety briefing  28 railroads......  300 briefings.....  2 minutes.........  10 hours.
     after activation of door by-
     pass device.
    --Train crew notification to  28 railroads......  300 notices.......  30 seconds........  3 hours.
     designated authority.
    --Qualified person (QP) or    28 railroads......  300                 5 minutes.........  25 hours.
     qualified mechanical person                       decisions\consult
     (QMP) determination that                          s.
     repairs cannot be made and
     that it is safe to move
     equipment.
    --QP or QMP notification to   28 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           28 railroads......  300 briefings.....  10 minutes........  50 hours.
     briefing--regarding their
     position on train.
    --Record of door by-pass      28 railroads......  300 records.......  2 minutes.........  10 hours.
     activation.
    --Record of unintended door   28 railroads......  20 records........  2 hours...........  40 hours.
     opening.
    --Record of unsealed door by- 28 railroads......  20 records........  4 hours...........  80 hours.
     pass devices as part of
     calendar day inspection.
238.135--Operating practices for  28 railroads......  2 requests........  25 hours..........  50 hours.
 exterior side door safety
 systems (New Requirements)--RR
 request for special approval
 from FRA to operate passenger
 train w/exterior side doors or
 trap doors, or both, open.
    --FRA request to passenger    28 railroads......  1 document........  12 hours..........  12 hours.
     RR for additional
     information regarding RR
     special request for
     approval.
    --RR written operating rule   28 railroads......  10 operating rules  42 hours..........  420 hours.
     on how to safely override a
     door summary circuit or no-
     motion system, or both.
    --Copy of RR written          28 railroads......  10,000 copies.....  1 minute..........  167 hours.
     operating rules to
     employees.
    --RR employee training in     28 railroads......  3,383 tr.           30 minutes........  1,692 hours.
     this section's requirements                       employees.
     and how to identify/isolate
     malfunctioning exterior
     powered or manual side door.
    --Training of new RR          5 new railroads...  150 workers.......  30 minutes........  75 hours.
     employees.
    --Operational/efficiency      28 railroads......  3,383 tests.......  2 minutes.........  113 hours.
     tests of RR operating
     crewmembers and control
     center employees.
    --RR operating rule           28 railroads......  Included above      Included above      Included above
     requiring train crewmembers                       under section       under sec.          under sec.
     to determine status of                            238.135(d).         238.135(d).         238.135(d).
     their train's exterior side
     doors.
238.137--RR operating rule to     10 railroads......  Included above      Included above      Included above
 provide for the safe use of                           under section       under section       under section
 equipment with incompatible                           238.135(d).         238.135(d).         238.135(d).
 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:
    --Welded safety appliances    30 railroads......  30 lists..........  1 hour............  30 hours.
     considered defective: Lists.
    --Lists identifying equip. w/ 30 railroads......  30 lists..........  1 hour............  30 hours.
     welded safety appliances.
    --Defective welded safety     30 railroads......  4 tags............  3 minutes.........  .20 hr.
     appliances--tags.
    --Notification to             30 railroads......  2 notices.........  1 minute..........  .0333 hr.
     crewmembers about non-
     compliant equipment.
    --Inspection plans..........  30 railroads......  30 plans..........  16 hours..........  480 hours.
    --Inspection personnel--      30 railroads......  60 workers........  4 hours...........  240 hours.
     training.
    --Remedial action: Defect/    30 railroads......  1 record..........  2.25 hours........  2 hours.
     crack in weld--record.
    --Petitions for special       30 railroads......  15 petitions......  4 hours...........  60 hours.
     approval of alternative
     compliance--impractical
     equipment design.

    --Records of inspection/      30 railroads......  3,060 records.....  12 minutes........  612 hours.
     repair 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   30 railroads......  30 procedures.....  2 hours...........  60 hours.
     of hand/parking brakes.
238.237--Automated monitoring:
    --Documentation for alerter/  30 railroads......  3 documents.......  2 hours...........  6 hours.
     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......  50 tags...........  3 minutes.........  3 hours.
     equipped with inoperative
     dynamic brakes: Tagging.
    --MU passenger equipment      30 railroads......  4 documents.......  2 hours...........  8 hours.
     found with inoperative/
     ineffective air compressors
     at exterior calendar day
     inspection: Documents.
    --Written notice to train     30 railroads......  100 notices.......  3 minutes.........  5 hours.
     crew about inoperative/
     ineffective air compressors.
    --Records of inoperative air  30 railroads......  100 records.......  2 minutes.........  3 hours.
     compressors.
    --Record of exterior          30 railroads......  1,959,620 records.  10 minutes + 1      359,264 hours.
     calendar day mechanical                                               minute.
     inspection.
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         30 railroads......  1,968,980 records.  5 minutes + 1       196,898 hours.
     calendar 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:
    --Notice to train crew that   30 railroads......  18,250 notices....  5 seconds.........  25 hours.
     test has been performed
     (verbal notice).
    --Communicating signal        30 railroads......  365,000 tests.....  15 seconds........  1,521 hours.
     tested and operating.
238.317--Class II brake test--    30 railroads......  365,000 tests.....  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.
238.445--Automated monitoring:
    --Performance monitoring:     1 railroad........  10,000 alerts.....  10 seconds........  28 hours.
     Alerters/alarms.
    --Monitoring system: Self-    1 railroad........  21,900 notices....  20 seconds........  122 hours.
     test 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. For information or a copy of the
paperwork package submitted to OMB, contact Mr. Robert Brogan,
Information Clearance Officer, Office of Railroad Safety, FRA, at 202-
493-6292, or Ms. Kimberly Toone, Records Management Officer, Office of
Information Technology, FRA, at<PHONE_NUMBER>, or via email at the
following addresses<EMAIL_ADDRESS><EMAIL_ADDRESS>    Organizations and individuals desiring to submit comments on the
collection of information requirements should send them directly to the
Office of Management and Budget, Office of Information and Regulatory
Affairs, Washington, DC 20503, Attention: FRA Desk Officer. Comments
may also be sent via email to the Office of Management and Budget at
the following address<EMAIL_ADDRESS>    OMB is required to make a decision concerning the collection of
information requirements contained in this final 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.
    FRA cannot 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 new information collection requirements resulting from this
rulemaking action prior to the effective date of this 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, an 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.
    FRA has analyzed this final rule under the principles and criteria
in Executive Order 13132. This final rule will not have a substantial
effect on States or their political subdivisions, and it will not
affect the relationships between the Federal government and States or
their political subdivisions, or the distribution of power and
responsibilities among the various levels of government. In addition,
FRA determined this regulatory action will not impose substantial
direct compliance costs on States or their political subdivisions.
Therefore, the consultation and funding requirements of Executive Order
13132 do not apply.
    However, this final rule 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 Supreme Court has interpreted the former
LIA to preempt the field of 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 final rule under the National Environmental
Policy Act (NEPA; 42 U.S.C. 4321 et seq.), other environmental
statutes, related regulatory requirements, and its ``Procedures for
Considering Environmental Impacts'' (FRA's Procedures) (64 FR 28545,
May 26, 1999). FRA has determined this final rule is categorically
excluded from detailed environmental review under section 4(c)(20) of
FRA's NEPA Procedures, ``Promulgation of railroad safety rules and
policy statements that do not result in significantly increased
emissions of air or water pollutants or noise or increased traffic
congestion in any mode of transportation.'' See 64 FR

28547, May 26, 1999. Categorical exclusions (CEs) are actions
identified in an agency's NEPA implementing procedures that do not
normally have a significant impact on the environment and therefore do
not require either an environmental assessment (EA) or environmental
impact statement (EIS). See 40 CFR 1508.4.
    In analyzing the applicability of a CE, the agency must also
consider whether extraordinary circumstances are present that would
warrant a more detailed environmental review through the preparation of
an EA or EIS. Id. Under section 4(c) and (e) of FRA's Procedures, FRA
has further concluded that no extraordinary circumstances exist with
respect to this regulation that might trigger the need for a more
detailed environmental review. The purpose of this rulemaking is to
develop and install safer door operating mechanisms and procedures
including testing and notification requirements. FRA does not
anticipate any environmental impacts from these requirements and finds
that there are no extraordinary circumstances present in connection
with this final rule.

G. Executive Order 12898 (Environmental Justice)

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

H. Executive Order 13175 (Tribal Consultation)

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

I. Unfunded Mandates Reform Act of 1995

    Under section 201 of the Unfunded Mandates Reform Act of 1995 (Pub.
L. 104-4, 2 U.S.C. 1531), each Federal agency ``shall, unless otherwise
prohibited by law, assess the effects of Federal regulatory actions on
State, local, and tribal governments, and the private sector (other
than to the extent that such regulations incorporate requirements
specifically set forth in law).'' Section 202 of the Act (2 U.S.C.
1532) further requires that ``before promulgating any general notice of
proposed rulemaking that is likely to result in the promulgation of any
rule that includes any Federal mandate that may result in expenditure
by State, local, and tribal governments, in the aggregate, or by the
private sector, of $100,000,000 or more (adjusted annually for
inflation) in any 1 year, and before promulgating any final rule for
which a general notice of proposed rulemaking was published, the agency
shall prepare a written statement'' detailing the effect on State,
local, and tribal governments and the private sector. When adjusted for
inflation using the Consumer Price Index for All Urban Consumers as
published by the Bureau of Labor Statistics, the equivalent value of
$100,000,000 in year 2014 dollars is $155,000,000.\7\ This final rule
will not result in the expenditure, in the aggregate, of $155,000,000
or more in any one year, and thus preparation of such a statement is
not required.
---------------------------------------------------------------------------

    \7\ See DOT guidance ``2015 Threshold of Significant Regulatory
Actions Under the Unfunded Mandates Reform Act of 1995,'' May 6,
2015 (update), available electronically at http://www.transportation.gov/office-policy/transportation-policy/2015-threshold-significant-regulatory-actions-under-unfunded.
---------------------------------------------------------------------------

J. Energy Impact

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

K. Privacy Act

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

L. Analysis Under 1 CFR Part 51

    As required by 1 CFR 51.5, FRA has summarized the standard
incorporated by reference and shown its reasonable availability in the
section-by-section analysis of this rulemaking document.

 List of Subjects in 49 CFR Part 238

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

The Rule

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

PART 238--[AMENDED]

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.

Subpart A--General

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 circuit'', ``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 circuit means a feature typically used to determine
the physical end of the train, or the last passenger car in the train,
or both, for the door summary circuit.
* * * * *
    Exterior side door safety system means a system of safety features
that enable the safe operation of the exterior side doors of a
passenger car or train. The exterior side door safety system includes
appurtenances and components that control, operate, and display the
status of the exterior side doors, and is interlocked with the 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 to 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 April 5, 2016, or placed in service for the first
time on or after February 5, 2018, 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,'' approved February 11, 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 is not
closed, unless the door is under the direct physical control of a
crewmember for his or her exclusive use. The incorporation by reference
of this APTA standard was approved by the Director of the Federal
Register in accordance with 5 U.S.C. 552(a) and 1 CFR part 51. You may
obtain a copy of the incorporated document from the American Public
Transportation Association, 1666 K Street NW., Suite 1100, Washington,
DC 20006 (telephone<PHONE_NUMBER>; www.apta.com). You may inspect a copy
of the document at the Federal Railroad Administration, Docket Clerk,
1200 New Jersey Avenue SE., Washington, DC or at the National Archives
and Records Administration (NARA). For information on the availability
of this material at NARA, call<PHONE_NUMBER>, or go to http://www.archives.gov/federal_register/code_of_federal_regulations/ibr_locations.html;
    (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 April 5, 2016, or placed in service for
the first time on or after February 5, 2018 shall be:
    (1) Designed with a door summary circuit and so connected or
interlocked as to prohibit the train from developing tractive power if
an exterior side door in a passenger car is not closed, unless the door
is under the direct physical control of a crewmember for his or her
exclusive use;
    (2) Connected to interior and exterior side door status indicators;
    (3) 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, 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 (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 may 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.
The train crew must then hold a safety briefing that includes
information such as the locations where each crewmember will position
himself or herself on the train to ensure that passengers board and
alight from the train safely.
    (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 circuit. End-of-train circuit integrity shall be
maintained. When switches are used to establish the end-of-train
circuit, the switches shall be secured in a manner to prevent access by
unauthorized personnel.
    (g) Exterior side door safety system override devices. (1) 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.
    (2) 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.

0
5. Section 238.135 is added to subpart B to read as follows:

Sec.  238.135  Operating practices for exterior side door safety
systems.

    (a) At the beginning of his or her duty assignment prior to the
train's departure, each crewmember must participate in a safety
briefing that identifies each crewmember's responsibilities relating to
the safe operation of the train's exterior side doors, including
responsibilities for the safe operation of the exterior side doors when
arriving at or departing a station.
    (b) After April 5, 2016, 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.
    (4) FRA may request that the passenger railroad submit additional
information to support its request before FRA approves the request.
    (d) No later than December 6, 2018, 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 crewmembers and
control center personnel and make them available for inspection by FRA.
These written rules shall include:
    (1) Instructions to crewmembers and control center personnel,
describing what conditions must be present in order to override the
door summary circuit or no-motion system, or both; and
    (2) Steps crewmembers and control center personnel must take after
the door summary circuit or no-motion system, or both, have been
overridden to help provide for continued passenger safety.
    (e) No later than December 6, 2018, 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) No later than December 6, 2018, 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.
    (g) Beginning December 6, 2018, each railroad shall periodically
conduct operational (efficiency) tests and observations of its
operating crewmembers and control center personnel as appropriate to
their roles, to determine each individual's knowledge of the railroad's
powered and manual exterior side door safety procedures for its
passenger trains.

0
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 each such door
system.
    (b) No later than December 6, 2018, each railroad shall adopt and
comply with operating rules to provide for the safe use of equipment
with incompatible exterior side door systems when utilized in a mixed
consist.

0
7. Appendix A to part 238 is amended by adding entries for Sec. Sec.
238.131, 238.133, 238.135, and 238.137 in numerical order under subpart
B to read as follows:

         Appendix A to Part 238--Schedule of Civil Penalties 1 2
------------------------------------------------------------------------
                                                              Willful
                 Section                     Violation       violation
------------------------------------------------------------------------
           Subpart B--Safety Planning and General Requirements
------------------------------------------------------------------------

                              * * * * * * *
------------------------------------------------------------------------
238.131 Exterior side door safety                 10,000          15,000
 systems--new passenger cars and
 locomotives used in passenger service..
238.133 Exterior side door safety
 systems--all passenger cars and
 locomotives used in a passenger
 service:
    (a)(1) Failure to verify position of           2,500           5,000
     by-pass device or by-pass device
     not sealed.........................
    (a)(2) Failure to provide functional           5,000           7,500
     test plan..........................
    (a)(3) Failure to perform visual               2,500           5,000
     inspection or functional test......
(b) Unsealed door by-pass device:
    (b)(1) Door by-pass device not                 2,500           5,000
     inactive, sealed, or seal
     ineffective........................
    (b)(2) Failure to notify designated            5,000           7,500
     authority..........................
    (b)(3) Movement beyond repair point.           7,500          11,000
    (b)(4) Door by-pass device not                 2,500           5,000
     sealed by QMP at calendar day
     inspection.........................
    (c)(1) Failure to follow en route by-          7,500          11,000
     pass activation procedures;
     improper movement of defective
     equipment..........................
    (c)(2) Failure to use QMP...........           5,000           7,500
    (d) Failure to maintain record......           2,000           4,000
    (e) Door control panel not inactive            5,000           7,500
     when the key or other similar
     device is removed..................
(f) End-of-train circuit:
    (f)(1) End-of-train circuit                    5,000           7,500
     integrity not maintained...........
    (f)(2) Switches not secured to                 2,500           5,000
     prevent unauthorized access........
    (g) Door by-pass device not                    2,500           5,000
     inactive, sealed or seal
     ineffective........................
238.135 Operating practices for exterior
 side door safety systems:
    (a) Failure to conduct proper safety           7,500          11,000
     briefing...........................
    (b)(1) Exterior side doors and trap           10,000          15,000
     doors not closed when a train is in
     motion between stations............
    (b)(2) Failure to follow conditions           10,000          15,000
     for operating a train while in
     motion between stations with an
     exterior side door or trap door
     open...............................
    (d) Failure to adopt and comply with           9,500          13,000
     operating rules on how to safely
     override a door summary circuit or
     no-motion system...................
    (e) Failure to provide training.....           9,500          13,000
    (f) Failure to adopt and comply with           9,500          13,000
     operating rules requiring
     crewmembers to determine the status
     of the train's exterior side doors.
    (g) Failure to periodically conduct            9,500          13,000
     operational (efficiency) tests and
     observations.......................
238.137 Mixed consist; operating
 equipment with incompatible exterior
 side door systems:
    (a) Incompatible exterior side door            5,000           7,500
     systems not operated within the
     constraints of each door safety
     system.............................
    (b) Failure to adopt and comply with           9,500          13,000
     operating rules to provide for the
     safe use of equipment with
     incompatible exterior side door
     systems when utilized in a mixed
     consist............................

                              * * * * * * *
------------------------------------------------------------------------

    Issued in Washington, DC, on November 25, 2015.
Sarah Feinberg,
Administrator.
---------------------------------------------------------------------------

    \1\ A penalty may be assessed against an individual only for a
willful violation. Generally when two or more violations of these
regulations are discovered with respect to a single unit of
passenger equipment that is placed or continued in service by a
railroad, the appropriate penalties set forth above are aggregated
up to a maximum of $16,000 per day. However, failure to perform,
with respect to a particular unit of passenger equipment, any of the
inspections and tests required under subparts D and F of this part
will be treated as a violation separate and distinct from, and in
addition to, any substantive violative conditions found on that unit
of passenger equipment. Moreover, the Administrator reserves the
right to assess a penalty of up to $105,000 for any violation where
circumstances warrant. See 49 CFR part 209, appendix A.
    Failure to observe any condition for movement of defective
equipment set forth in Sec.  238.17 will deprive the railroad of the
benefit of the movement-for-repair provision and make the railroad
and any responsible individuals liable for penalty under the
particular regulatory section(s) concerning the substantive
defect(s) present on the unit of passenger equipment at the time of
movement.
    Failure to observe any condition for the movement of passenger
equipment containing defective safety appliances, other than power
brakes, set forth in Sec.  238.17(e) will deprive the railroad of
the movement-for-repair provision and make the railroad and any
responsible individuals liable for penalty under the particular
regulatory section(s) contained in part 231 of this chapter or Sec.
238.429 concerning the substantive defective condition.
    The penalties listed for failure to perform the exterior and
interior mechanical inspections and tests required under Sec.
238.303 and Sec.  238.305 may be assessed for each unit of passenger
equipment contained in a train that is not properly inspected.
Whereas, the penalties listed for failure to perform the brake
inspections and tests under Sec.  238.313 through Sec.  238.319 may
be assessed for each train that is not properly inspected.
    \2\ The penalty schedule uses section numbers from 49 CFR part
238. If more than one item is listed as a type of violation of a
given section, each item is also designated by a ``penalty code,''
which is used to facilitate assessment of civil penalties, and which
may or may not correspond to any subsection designation(s). For
convenience, penalty citations will cite the CFR and the penalty
code, if any. FRA reserves the right, should litigation become
necessary, to substitute in its complaint the CFR citation in place
of the combined CFR and penalty code citation, should they differ.
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[FR Doc. 2015-30488 Filed 12-4-15; 8:45 am]
 BILLING CODE 4910-06-P