
[Federal Register Volume 80, Number 234 (Monday, December 7, 2015)]
[Rules and Regulations]
[Pages 76117-76149]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2015-30488]



[[Page 76117]]

Vol. 80

Monday,

No. 234

December 7, 2015

Part III





Department of Transportation





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Federal Railroad Administration





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49 CFR Part 238





Passenger Train Exterior Side Door Safety; Final Rule

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

[[Page 76118]]


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DEPARTMENT OF TRANSPORTATION

Federal Railroad Administration

49 CFR Part 238

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


Passenger Train Exterior Side Door Safety

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

ACTION: Final rule.

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

DATES: This final rule is effective February 5, 2016. The incorporation 
by reference of certain publications listed in the rule is approved by 
the Director of the Federal Register as of February 5, 2016. Petitions 
for reconsideration must be received on or before February 5, 2016. 
Comments in response to petitions for reconsideration must be received 
on or before March 21, 2016.

ADDRESSES: Petitions for reconsideration and comments on petitions for 
reconsideration: Petitions for reconsideration or comments on petitions 
for reconsideration related to Docket No. FRA-2011-0063, Notice No. 2, 
may be submitted by any of the following methods:
     Web site: The Federal eRulemaking Portal, 
www.regulations.gov. Follow the Web site's online instructions for 
submitting comments, to include petitions for reconsideration.
     Fax: 202-493-2251.
     Mail: Docket Management Facility, U.S. Department of 
Transportation, 1200 New Jersey Avenue SE., Room W12-140, Washington, 
DC 20590.
     Hand Delivery: Docket Management Facility, U.S. Department 
of Transportation, 1200 New Jersey Avenue SE., Room W12-140 on the 
Ground level of the West Building, between 9 a.m. and 5 p.m., Monday 
through Friday, except Federal holidays.
    Instructions: All submissions must include the agency name and 
docket number or Regulatory Identification Number (RIN) for this 
rulemaking (2130-AC34). Note that all comments received will be posted 
without change to http://www.regulations.gov, including any personal 
information provided. Please see the Privacy Act heading in the 
SUPPLEMENTARY INFORMATION section of this document for Privacy Act 
information for any submitted comments, petitions, or materials.
    Docket: For access to the docket to read background documents, any 
petition for reconsideration submitted, or comments received, go to 
http://www.regulations.gov at any time or visit the Docket Management 
Facility, U.S. Department of Transportation, 1200 New Jersey Avenue 
SE., Room W12-140 on the Ground level of the West Building, between 9 
a.m. and 5 p.m., Monday through Friday, except Federal holidays.

FOR FURTHER INFORMATION CONTACT: Pete Lapr[eacute], Railroad Safety 
Specialist, Passenger Rail Division, U.S. Department of Transportation, 
Federal Railroad Administration, Office of Railroad Safety, Mail Stop 
25, West Building 3rd Floor, 1200 New Jersey Avenue SE., Washington, DC 
20590 (telephone: 845-216-5794); or Brian Roberts, Trial Attorney, U.S. 
Department of Transportation, Federal Railroad Administration, Office 
of Chief Counsel, Mail Stop 10, West Building 3rd Floor, 1200 New 
Jersey Avenue SE., Washington, DC 20590 (telephone: 202-493-6052).

SUPPLEMENTARY INFORMATION:

Table of Contents for Supplementary Information

I. Executive Summary
II. Statutory and Regulatory Background
    A. Passenger Equipment Safety Standards Background
    B. The Need for New Design Standards and Operating Practices for 
Exterior Side Doors on Passenger Train Equipment
    C. RSAC Overview
    D. Passenger Safety Working Group and General Passenger Safety 
Task Force
III. Discussion of Specific Comments and Conclusions
IV. Technical Background
    A. Overview
    B. Scope of FRA Safety Assessment of Passenger Railroads
    C. Uses of Passenger Car Exterior Side Doors
    D. Types of Passenger Car Exterior Side Doors
    E. Exterior Side Door Configurations and Operation
    F. Assessment Findings
    1. Door Position
    2. Door Control Panels
    3. FMECA
    4. Power Door Status
    5. No-Motion Circuit
    6. End-of-Train Circuit
    7. Door Safety Features
    8. Traction Inhibit
    9. Malfunctioning Equipment and Door Lock-Out
    10. Malfunctioning Equipment and Door By-Pass
    11. Effects of Throttle Use on Powered Exterior Side Doors
    12. Mixed Consist Operation
    13. Operating Rules
V. Section-by-Section Analysis
VI. Regulatory Impact and Notices
    A. Executive Orders 12866 and 13563 and DOT Regulatory Policies 
and Procedures
    B. Regulatory Flexibility Act and Executive Order 13272; 
Certification of No Significant Economic Impact on a Substantial 
Number of Small Entities
    C. Paperwork Reduction Act
    D. Federalism Implications
    E. International Trade Impact Assessment
    F. Environmental Impact
    G. Executive Order 12898 (Environmental Justice)
    H. Executive Order 13175 (Tribal Consultation)
    I. Unfunded Mandates Reform Act of 1995
    J. Energy Impact
    K. Privacy Act
    L. Analysis Under 1 CFR Part 51

I. Executive Summary

    Having carefully considered the public comments in response to 
FRA's March 26, 2014, proposed rule on passenger train exterior side 
door safety, see 79 FR 16978, FRA issues this final rule amending the 
Passenger Equipment Safety Standards, 49 CFR part 238. This final rule 
establishes new requirements to improve the integrity of passenger 
train exterior side door safety systems and promote passenger train 
safety overall through new safety standards for the safe operation and 
use of passenger train exterior side doors (also sometimes referred to 
in this rulemaking as ``doors'' and ``side doors''). Through the new 
requirements in this final rule, FRA intends to limit the number and 
severity of injuries associated with the use and operation of passenger 
train exterior side doors and increase the overall level of safety for 
passengers and train crewmembers.
    This final rule is based on recommended language developed by the 
Railroad Safety Advisory Committee's (RSAC) General Passenger Safety 
Task Force (Task Force) and includes new requirements for both powered 
and manual exterior side doors and door safety systems on passenger 
trains. Operating rules for train crews relating to exterior side doors 
and their safety systems on passenger trains and new definitions for 
this part are also included in this final rule. In addition, this final 
rule incorporates by reference American Public Transportation 
Association (APTA) Standard PR-M-S-18-10, ``Standard for Powered 
Exterior Side Door System Design for New Passenger Cars'' (February 11, 
2011), which contains a set of minimum

[[Page 76119]]

standards for powered exterior side door systems and door system 
functioning on new rail passenger cars and locomotives used in 
passenger service.
    Other requirements established by this final rule include, but are 
not limited to: Equipping new passenger cars with powered exterior side 
doors with an obstruction detection system; connecting new passenger 
cars (with either manual or powered exterior side doors) to a door 
summary circuit to prohibit the train from developing tractive power if 
any of the exterior side doors are open; requiring safety briefings for 
train crews to identify crewmember responsibilities for the safe 
operation of exterior side doors; operating passenger trains with their 
exterior side doors and trap doors closed when in motion between 
stations, except in limited circumstances or with FRA prior approval; 
and requiring railroads to develop operating rules on how to safely 
operate the exterior side doors of a passenger train with incompatible 
exterior side door safety systems and how to safely override a door 
summary circuit or a no-motion system, or both, when an exterior side 
door failure or malfunction occurs.
    FRA analyzed the economic impacts of this final rule against a ``no 
action'' baseline that reflects what would happen in the absence of 
this final rule. FRA expects the requirements for the operating rules 
and adopted APTA standard for new equipment to prevent on average about 
19 injuries and 0.20 fatalities per year in the future based on similar 
incidents in the past. The estimated benefits from these prevented 
casualties over a 20-year period total $83.9 million undiscounted; 
these estimated benefits have a present value of $43.3 million 
calculated using a 7-percent discount rate, and a present value of 
$61.7 million calculated using a 3-percent discount rate. Given that 
some procedural and equipment errors may still occur in the future, the 
analysis assumes a 50-percent effectiveness rate in preventing these 
types of injuries and fatalities when estimating monetary benefits. In 
addition, there may be other benefits from the final rule, such as 
fewer passenger claims for personal property damage, maintaining 
passenger goodwill and trust, and by lowering future maintenance costs 
(by encouraging the replacement of older equipment with new passenger 
cars equipped with more reliable door safety systems).
    FRA also quantified the incremental burden of the final rule upon 
commuter and intercity passenger railroads. The primary contributor to 
the estimated costs is the train crew's task of verifying that the door 
by-pass devices on the train are sealed in the normal non-by-pass mode, 
an operating rule requirement. The door by-pass devices are used to 
override door safety systems in certain circumstances, for example, 
allowing a train to develop tractive power and complete its route. The 
second greatest cost factor is the estimated cost to implement some of 
the door safety features on new passenger cars with either powered or 
manual doors and locomotives used in passenger service. The estimated 
costs over the 20-year period of analysis total $15.2 million 
undiscounted, with a present value of about $8.3 million calculated 
using a 7-percent discount rate, and a present value of about $11.5 
million calculated using a 3-percent discount rate. The rule incurs 
relatively small costs because most of the initial burdens are expected 
from changes to railroad operating rules. The design standards for door 
safety systems apply to new passenger cars and locomotives used in 
passenger service where they can be installed cost-effectively.
    These costs and benefits result in net positive benefits over 20 
years of about $68.7 million undiscounted, with a present value of 
$35.0 million calculated using a 7-percent discount rate, and present 
value of $50.2 million calculated using a 3-percent discount rate.

II. Statutory and Regulatory Background

A. Passenger Equipment Safety Standards Background

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

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

    FRA's principal reason for issuing this final rule is to reduce the 
number and severity of injuries caused by exterior side doors striking 
or trapping passengers as they board or alight from passenger trains in 
non-emergency situations. FRA has observed that incidents involving 
exterior side doors in routine use on passenger trains have previously 
resulted in casualties and serious injuries.
    For example, on November 21, 2006, a New Jersey Transit Rail 
Operations (NJT) train was departing a station in Bradley Beach, New 
Jersey, when the closing exterior side doors of the train caught and 
held a passenger attempting to exit the train. The passenger was then 
dragged by the train along the station

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platform as the train was leaving the station. The passenger died as a 
result of his injuries.
    Through its investigation of the incident, FRA found that the 
train's assistant conductor was not in the proper position to monitor 
all the train's exterior side doors as they were closing. Specifically, 
the assistant conductor could not see the passenger exit through a door 
behind where the assistant conductor was located. The assistant 
conductor also did not observe the door-indicator lights on the door 
control panel which indicated that the exterior side doors on the 
passenger car were not all closed as intended. In addition, FRA learned 
the train was being operated with its door by-pass switch activated, 
negating the passenger car's door safety system, which was designed to 
reopen the exterior side doors after detecting an obstruction.
    As a result of this incident, NJT reviewed its operating rules and 
limited the use of the door by-pass feature in its passenger train 
operations. Contemporaneously, FRA issued Safety Advisory 2006-05, 
``Notice of Safety Advisory: Passenger Train Safety--Passenger Boarding 
or Alighting from Trains'' (71 FR 69606, Dec. 1, 2006). The safety 
advisory recommended that passenger railroads reassess their rules and 
procedures to make certain that trains do not depart a station until 
all passengers have successfully boarded or alighted from the train. 
The safety advisory also noted the important role of passenger train 
crews in the safe operation of a train after a door by-pass switch has 
been activated. FRA encouraged passenger railroads to voluntarily 
implement the recommendations of the safety advisory.
    Subsequently, there have been other instances where passengers have 
become trapped in the exterior side doors of trains. In one instance, 
on February 2, 2007, a local police officer witnessed a passenger stuck 
between the exterior side doors of a moving Long Island Rail Road 
(LIRR) train at a station in New York City, New York. As a result, the 
passenger's right leg was dragged on the tactile strip of the station 
platform, causing abrasions to the passenger's leg. The police officer 
stopped the train and pulled the passenger free from the exterior side 
doors.
    Other instances were ``close calls'' in which passengers narrowly 
avoided injury. On March 4, 2011, in La Grange, Illinois, a passenger's 
arm and cane got caught in the closing exterior side doors of a 
Northeast Illinois Regional Commuter Railroad Corporation (Metra) train 
while attempting to board the train. A fellow passenger inside the 
train was able to flip the door's emergency switch just as the train 
began to move. As a result, the trapped passenger was released and 
avoided being dragged down the station platform. A similar incident 
occurred on a Metra train on December 19, 2009, when a four-year-old 
boy's boot became caught in the exterior side doors when alighting from 
the train. The child's mother had to pull the child's leg free from the 
train doors as the train was leaving the station.
    As a result of these types of incidents, Metra changed its 
operating rules to require a ``second look'' up and down each train 
before departing a station. This operating rule requires the conductor 
to close all exterior side doors on the train, except the door in which 
he or she is standing, to take a second look up and down the station 
platform to make sure all the train's exterior side doors are closed 
and clear of passengers. After the second look, the conductor may then 
close his or her open door and signal to the train's engineer to depart 
the station.
    Since the issuance of the NPRM for this rulemaking in March 2014, 
there have been other injuries involving passengers and exterior side 
doors. The Massachusetts Bay Transportation Authority (MBTA) reported 
to FRA that in June 2014 an MBTA passenger got his luggage stuck in the 
closing exterior side doors of the train and was subsequently injured 
when the train started to move. When the train started to leave the 
station platform, the passenger sustained injuries after he was dragged 
by the train a total of 30 to 40 feet before falling.
    In addition, Peninsula Corridor Joint Powers Board (Caltrain) 
reported to FRA an incident that occurred in October 2014 where a 
passenger was injured after she put her hand in the closing exterior 
side door of a passenger train at the Burlingame Station in San Mateo, 
California. The train's passenger door safety system did not work as 
intended and the passenger got her hand caught in the closing door and 
it did not re-open. As a result, the passenger was dragged by the train 
approximately 10 feet.
    Based on these types of incidents, and other findings and concerns, 
including initial findings from assessing the safety of exterior side 
door systems on passenger railroads in the northeast region of the 
United States, FRA tasked RSAC to review Safety Advisory 2006-5 and 
develop recommendations for new safety standards to improve passenger 
and crewmember safety for the operation and use of exterior side doors. 
The Task Force, a subgroup of the RSAC Passenger Safety Working Group 
(Working Group), was assigned to develop these recommendations.
    The Task Force was already reviewing passenger station gap issues 
in April 2007 when it was assigned this task. The Task Force then 
assembled the Passenger Door Safety Subgroup (Door Safety Subgroup) to 
develop recommended regulatory language to improve the safety of 
exterior side door systems on passenger trains. FRA shared with RSAC 
its initial findings that many passenger railroads in the Northeast 
were not operated with fully-functional passenger train exterior side 
door safety systems, and FRA then conducted in-person assessments of 
the exterior side door safety systems on a total of 24 passenger 
railroads throughout the Nation. During those assessments, FRA reviewed 
many different models of passenger equipment and gained important 
information about the risks to passengers and train crews associated 
with the operation and use of passenger train exterior side doors. FRA 
shared this information with the Door Safety Subgroup, which met a 
total of nine times from 2008 to 2011.
    Through its meetings, the Door Safety Subgroup developed proposed 
regulatory language to improve the safe use and operation of exterior 
side doors on passenger trains. The Task Force approved the consensus 
language on February 25, 2011, which was then adopted by the Working 
Group and full Committee on March 31, 2011, and May 20, 2011, 
respectively.
    While the Door Safety Subgroup was developing proposed regulatory 
language, APTA developed and approved Standard SS-M-18-10, ``Standard 
for Powered Exterior Side Door System Design for New Passenger Cars.'' 
Subsequent to RSAC's approval of the consensus recommendations that 
form the basis of this final rule, APTA changed its numbering 
nomenclature for its safety standards, which resulted in the numbering 
of this standard changing from SS-M-18-10 to PR-M-S-18-10 without 
changing the substantive content of the standard. Thus, this standard 
is identified as PR-M-S-18-10 in this final rule. This APTA standard 
contains minimum standards for powered exterior side door systems and 
door system function on new rail passenger cars because APTA designed 
it to be used in specifications for the procurement of new passenger 
cars. The standard addresses door system design requirements at the 
door level, car level, and train level. Non-powered doors and other 
types of doors on passenger cars that are not exterior side doors are 
not

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covered by APTA's standard. This final rule incorporates by reference 
this APTA standard for powered exterior side door safety systems on new 
passenger cars and connected door safety systems on new locomotives 
used in passenger service. A copy of this APTA standard is included in 
the docket of this rulemaking for public review.

C. RSAC Overview

    In March 1996, FRA established RSAC as a forum for collaborative 
rulemaking and program development. RSAC includes representatives from 
all of the agency's major stakeholder groups, including railroads, 
labor organizations, suppliers and manufacturers, and other interested 
parties.\1\ To the maximum extent practicable, FRA utilizes RSAC to 
provide consensus recommendations with respect to both proposed and 
final agency action. When appropriate, FRA assigns a task to RSAC, and 
after consideration and debate, RSAC may accept or reject the task. If 
RSAC accepts the task, it establishes a working group with the 
appropriate expertise and representation of interests to develop 
recommendations to FRA for action on the task. These recommendations 
are developed by consensus. A working group may establish one or more 
task forces to develop facts and options on a particular aspect of a 
given task. The individual task force then provides that information to 
the working group for consideration. When a working group comes to 
unanimous consensus on recommendations for action, the package is 
presented to the full Committee for a vote. If RSAC is unable to reach 
consensus on a recommendation for action, the task is withdrawn and FRA 
determines the best course of action. If the proposal is accepted by a 
simple majority of RSAC, the proposal is formally recommended to the 
Administrator of FRA. FRA then determines what action to take on the 
recommendation. Because FRA staff members play an active role at the 
working group level discussing the issues and options and drafting the 
language of the consensus proposal, FRA is often favorably inclined 
toward the RSAC recommendation. However, FRA is not bound to follow the 
recommendation and the agency exercises its independent judgment on 
whether the recommended rule achieves the agency's regulatory goal(s), 
is soundly supported, and is consistent with policy and legal 
requirements. Often, FRA varies in some respects from the RSAC 
recommendation when developing the actual regulatory proposal or final 
rule. FRA notes and explains any such variations in the rulemaking it 
issues
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    \1\ A list of RSAC member groups includes the following: 
American Association of Private Railroad Car Owners (AAPRCO); 
American Association of State Highway and Transportation Officials 
(AASHTO); American Chemistry Council; American Petroleum Institute; 
American Short Line and Regional Railroad Association (ASLRRA); 
American Train Dispatchers Association (ATDA); APTA; Association of 
American Railroads (AAR); Association of Railway Museums; 
Association of State Rail Safety Managers (ASRSM); Brotherhood of 
Locomotive Engineers and Trainmen (BLET); Brotherhood of Maintenance 
of Way Employes Division (BMWED); Brotherhood of Railroad Signalmen 
(BRS); Chlorine Institute; Federal Transit Administration (FTA); * 
Fertilizer Institute; High Speed Ground Transportation Association; 
Institute of Makers of Explosives; International Association of 
Machinists and Aerospace Workers; International Brotherhood of 
Electrical Workers; Labor Council for Latin American Advancement; * 
League of Railway Industry Women; * National Association of Railroad 
Passengers (NARP); National Association of Railway Business Women; * 
National Conference of Firemen & Oilers; National Railroad 
Construction and Maintenance Association (NRCMA); National Railroad 
Passenger Corporation (Amtrak); National Transportation Safety Board 
(NTSB); * Railway Supply Institute (RSI); Safe Travel America (STA); 
Secretaria de Comunicaciones y Transporte; * Sheet Metal Workers 
International Association (SMWIA); Tourist Railway Association, 
Inc.; Transport Canada; * Transport Workers Union of America (TWU); 
Transportation Communications International Union/BRC (TCIU/BRC); 
Transportation Security Administration (TSA); * and United 
Transportation Union (UTU).
    * Indicates associate, non-voting membership.
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D. Passenger Safety Working Group and General Passenger Safety Task 
Force

    In May 2003, RSAC established the Working Group to handle the task 
of reviewing passenger equipment safety needs and programs as well as 
developing recommendations for specific actions to advance the safety 
of rail passenger service.\2\
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    \2\ Members of the Working Group, in addition to FRA, include 
the following: AAR, including members from BNSF Railway Company 
(BNSF), CSX Transportation, Inc. (CSXT), and Union Pacific Railroad 
Company (UP); AAPRCO; AASHTO; Amtrak; APTA, including members from 
Bombardier, Inc., Herzog Transit Services, Inc., Interfleet 
Technology, Inc. (Interfleet, formerly LDK Engineering, Inc.), LIRR, 
Maryland Transit Administration (MTA), Metro-North Commuter Railroad 
Company (Metro-North), Metra, Southern California Regional Rail 
Authority (Metrolink), and Southeastern Pennsylvania Transportation 
Authority (SEPTA); ASLRRA; BLET; BRS; FTA; NARP; NTSB; RSI; SMWIA; 
STA; TCIU/BRC; TSA; TWU; and UTU.
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    In September 2006, the Working Group established the Task Force 
principally to examine the following issues: (1) Exterior side door 
securement; (2) passenger safety in train stations; and (3) system 
safety plans.\3\ After being assigned its task by the Working Group, 
the Task Force assembled the Door Safety Subgroup to develop 
recommended regulatory language to improve the safety of exterior side 
door systems on passenger trains. The Door Safety Subgroup consisted of 
Task Force members who were interested in addressing the risks 
associated with the operation and use of exterior side doors on 
passenger equipment. The Door Safety Subgroup met during scheduled Task 
Force meetings.\4\
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    \3\ Members of the Task Force include representatives from 
various organizations that are part of the larger Working Group and, 
in addition to FRA, include the following: AAR, including members 
from BNSF, CSXT, Norfolk Southern Railway Co., and UP; AASHTO; 
Amtrak; APTA, including members from Alaska Railroad Corporation, 
Caltrain, LIRR, MBTA, Metro-North, MTA, NJT, New Mexico Rail Runner 
Express, Port Authority Trans-Hudson, SEPTA, Metrolink, and Utah 
Transit Authority; ASLRRA; ATDA; BLET; FTA; NARP; NRCMA; NTSB; 
Transport Canada; and UTU.
    \4\ The Task Force met on the following dates and in the 
following locations to discuss passenger train exterior side door 
safety: April 23-24, 2008, in San Diego, CA; July 29-30, 2008, in 
Cambridge, MA; December 2, 2008, in Cambridge, MA; March 3, 2009, in 
Arlington, VA; April 21, 2009, in Washington, DC; May 27-28, 2009, 
in Cambridge, MA; July 7-8, 2009, in Philadelphia, PA; October 6-8, 
2009, in Orlando, FL; and February 24-25, 2011, in Washington, DC.
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    To aid the Task Force with its delegated task, FRA's Office of 
Chief Counsel, in conjunction with FRA's Office of Railroad Safety, 
typically drafted proposed regulatory text for discussion purposes at 
Door Safety Subgroup meetings. Door Safety Subgroup members would then 
offer suggested changes to this proposed draft text. Staff from DOT's 
John A. Volpe National Transportation System Center also attended these 
meetings and contributed to the discussions. Minutes of each meeting 
are part of the docket in this proceeding and are available for public 
inspection.
    Through these various discussions, the Door Safety Subgroup 
developed proposed regulatory language which the Task Force accepted as 
a recommendation to the Working Group on February 25, 2011. The Task 
Force's consensus language was then subsequently approved by the 
Working Group on March 31, 2011. The consensus language was then 
presented before the full Committee on May 20, 2011, where it was 
approved by unanimous vote. Thus, the Working Group's recommendation 
was adopted by the full Committee as the recommendation to FRA.
    In the March 26, 2014 NPRM, FRA proposed adding some regulatory 
text that was not expressly part of the RSAC's consensus 
recommendation. For instance, for the benefit of the regulated 
community, in proposed Sec.  238.131(c), FRA identified other sections 
in part

[[Page 76122]]

238 that include substantive door safety requirements. FRA also 
clarified that all exterior side doors on new intercity passenger train 
cars--in addition to new commuter train cars--would be subject to the 
requirements of Sec.  238.131.
    In addition, FRA made changes to the RSAC recommended language to 
clarify the proposed requirements in the NPRM. For example, FRA 
clarified that the provisions of the NPRM applied to full-sized 
exterior side doors besides those used for the boarding and alighting 
of passengers at train stations, such as baggage doors, but did not 
apply to small hatches of compartment-sized doors and the exterior side 
doors on private cars. FRA also decided not to include in the NPRM an 
RSAC recommendation that powered, exterior side passenger doors be 
connected to a manual override device capable of opening the exterior 
side doors when the doors are locked out, because this design 
requirement was already covered under existing regulations at Sec.  
238.112(a) and (b). FRA also moved an RSAC consensus item proposed 
under existing Sec.  238.305 (``Interior calendar day mechanical 
inspection of passenger cars'') to new proposed Sec.  238.133(g)(2) in 
the NPRM, so the requirement would apply to all tiers of passenger 
cars, including conventional locomotives used in passenger service.
    FRA specifically asked for comment on these areas of the proposal. 
However, FRA did not receive any comments on these or other areas of 
the NPRM where FRA specifically invited comment.

III. Discussion of Specific Comments and Conclusions

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

[[Page 76123]]

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

IV. Technical Background

A. Overview

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

B. Scope of FRA Safety Assessment of Passenger Railroads

    FRA reviewed accident data involving passenger train exterior side 
doors immediately following the incident in Bradley Beach, New Jersey, 
discussed in Section II.B., above. From its review, FRA determined that 
while accidents were infrequent they could have severe consequences. 
FRA identified numerous factors, conditions, and components that could 
adversely impact the safe operation or the integrity of the door safety 
system of a passenger train. These include door position, controls, and 
status indicators, no-motion and end-of-train circuits, power failure, 
traction-inhibit, throttle movement, mixed consist operation, 
malfunctioning equipment, door operating rules, and employee knowledge 
of the door safety system(s) on the train he or she is operating.
    As noted above, FRA decided to perform a safety assessment of 24 
railroads operating passenger trains utilizing many different models of 
equipment in the United States. These assessments were performed to 
identify the risks endangering passenger and crew safety, specifically 
when passengers were riding upon, boarding, or alighting from trains. 
FRA employed analytical techniques to identify any limitations of the 
safety features engineered into the trains' exterior side doors and of 
the railroads' rules governing their employees who operate them. Each 
of the passenger railroads was assessed individually, and exterior side 
door safety concerns were found with virtually all the railroads 
surveyed. However, the door safety concerns varied among the railroads 
in nature and degree.
    There are various types of trains that are designed for particular 
purposes. The type and sequence of locomotives and cars assembled or 
coupled together to form a train is referred to as the train consist. A 
train consist can typically be changed frequently at the railroad's 
discretion. As part of its assessment, FRA reviewed the predominant 
types of passenger train service utilized in the United States to 
determine the risks posed to passengers and train crews by exterior 
side door safety systems.
    One type of service involves passenger trains with conventional 
locomotives in the lead pulling consists of passenger coaches and 
sometimes other types of cars such as baggage cars, dining cars, and 
sleeping cars. Such trains are common on long-distance, intercity rail 
routes operated by Amtrak.
    Most passenger rail service in the Nation is provided by commuter 
railroads, which typically operate one or both of the two most common 
types of service: Push-pull service and multiple-unit (MU) locomotive 
service. Push-pull service is passenger train service

[[Page 76124]]

typically operated in one direction of travel with a conventional 
locomotive in the rear of the train pushing the consist (the ``push 
mode'') and with a cab car in the lead position of the train. The train 
can then transition into the opposite direction of travel, where the 
service is operated with the conventional locomotive in the lead 
position of the train pulling the consist (the ``pull mode'') with the 
cab car in the rear of the train. A cab car is both a passenger car and 
a locomotive. The car has both seats for passengers and a control cab 
from which the engineer can operate the train. Control cables (or 
electric couplers) run the length of the train to facilitate commands 
between the control cab, passenger cars, and the conventional 
locomotive. These control cables make up an electric circuit called the 
trainline circuit. Electrical cables also run the length of the train 
to provide power for heat, light, and other purposes.
    Self-propelled electric or diesel MU locomotives may operate 
individually in passenger train service, but typically operate semi-
permanently coupled together as a pair or triplet with a control cab at 
each end of the train consist. During peak commuting hours, multiple 
pairs or triplets of MU locomotives are combined and operated together 
to form a single passenger train.
    In Amtrak's Northeast Corridor, high-speed Acela Express passenger 
train service is provided using trainsets. Acela Express trainsets are 
train consists of specific types of passenger cars such as first class, 
business class, and caf[eacute] cars that are semi-permanently coupled 
between power cars located at each end of the consist. These trainsets 
virtually never change as the power cars and passenger cars are semi-
permanently coupled and integrated together with computer controls. The 
power cars provide tractive power to both ends simultaneously and have 
a control cab from which the engineer can operate the train, but do not 
carry passengers.

C. Uses of Passenger Car Exterior Side Doors

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

D. Types of Passenger Car Exterior Side Doors

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

E. Exterior Side Door Configurations and Operation

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

F. Assessment Findings

    FRA identified a number of key factors, conditions, and components 
that could impact passenger and crew safety from the use and operation 
of passenger train exterior side doors. These are addressed, 
individually, in detail below.
1. Door Position
    FRA reviewed the risk posed by the open position of exterior side 
doors while passenger trains were in motion. FRA determined that 
railroads operating passenger trains with manually operated exterior 
side doors cannot control whether an individual door is opened or 
closed unless a crewmember is present at each door. When a crewmember 
is not present, passengers themselves can open the exterior side doors 
of the cars and exit or enter the train. Therefore, the potential 
exists for passengers to jump off or on moving trains at stations. At 
the same time, FRA found that other passenger trains were purposefully 
run with their manually operated exterior side doors in an open 
position even though train crewmembers sometimes were not stationed at 
the doors.
    Passenger trains with powered exterior side doors are normally 
operated with the doors closed between stations. However, some 
passenger railroads operated trains with their doors open between 
stations. These passenger stations are in close proximity to each other 
and alternate between high- and low-level platforms for passenger 
boarding and alighting. The operation of passenger trains with open 
exterior side doors presents significant safety concerns as passengers 
and crewmembers could potentially fall out of an open door while the 
trains are moving. Due to the safety hazards arising from operating a 
passenger train with open exterior side doors, FRA has determined that, 
with limited exceptions for crew use only, passenger

[[Page 76125]]

trains should have their exterior side doors closed when they are 
moving between stations.
2. Door Control Panels
    Powered exterior side doors on passenger cars are controlled and 
operated by door control panels, which are usually located on both 
sides of each car. These panels provide an interface between the 
train's door system and the train crew, and typically require 
activation with a door key. The door key is inserted into the control 
panel and is then used to turn the panel on or off. Once the panel is 
turned on, a conductor can issue commands to open or close exterior 
side doors by pressing buttons on the panel. Some passenger trains have 
door control panels that allow only local control of the exterior side 
doors. This means the conductor can operate the exterior side doors 
only in the same car as the door control panel. Other passenger trains 
allow their door control panels to operate all exterior side doors on 
the side of the train where the panel is activated. This allows the 
door control panel in any passenger car to open simultaneously all the 
exterior side doors on one side of the train. The conductor also can 
open or close only those doors forward of the activated panel, those 
doors rearward of the activated panel, or simply the single door 
directly adjacent to the activated panel.
    FRA found many instances in which door control panels were left 
energized after the door control panel key was removed. This can occur 
when the keyhole for the door control panel key is worn or not 
maintained and the conductor removes the key without actually turning 
off the door control panel. With the door control panel energized, 
passengers can press the door-open button on the panel and open one or 
more exterior side doors on the train even when the train is still 
moving. This situation can occur on many different types of equipment.
3. Failure Modes, Effects, and Criticality Analysis (FMECA)
    As part of its assessment, FRA evaluated how the door systems on 
various passenger trains responded to a loss of door control power by 
de-energizing the door control circuit breaker. FRA found significantly 
different responses on various railroads when door control systems 
experienced a circuit failure causing a loss of power. Some exterior 
side doors closed, some did not close at all, and others simply stopped 
where they were if they were moving at the time of the failure. 
Additionally, in a number of instances, the train could still produce 
tractive power even though the door control circuit failure allowed the 
exterior side doors to remain open.
    Employees who operate the exterior side doors of a passenger train 
should understand how a safety system for a door they control will 
respond to a loss of power. Employees can then take steps to safeguard 
against any safety hazards raised by the loss of power. This final rule 
requires all door systems on new passenger cars, and connected door 
systems on new locomotives used in passenger service, to be subject to 
a formal safety analysis that includes a FMECA before being placed into 
service. By requiring new passenger cars and locomotives used in 
passenger service to be subjected to this analysis before being placed 
into service, railroads will help ensure that the failure of a single 
component of a door safety system will not create an unsafe condition 
for passengers and train crewmembers.
4. Power Door Status
    Power door status is monitored by door position switches and can be 
conveyed locally or through the trainline circuit using various 
arrangements of lights to relay the condition of the doors to the train 
crew. On most passenger trains, one or more lights illuminate on the 
interior or exterior of a passenger car above the exterior side door 
that is open. The lights then extinguish when the exterior side doors 
are closed.
    If the train's door status is configured with a door summary 
circuit for trainline display, one or more lights illuminate on the 
active door control panel when all the doors are closed on that side of 
the train. Therefore, if a power door did not close, the external and 
internal lights would remain illuminated and the trainline door status 
light on the door control panel would not illuminate. This door status 
trainline circuit is often, but not always, displayed to the engineer 
as a door closed light in the locomotive cab. When the light is 
illuminated it tells the engineer that the exterior side doors on both 
sides of the train are closed and the train is ready to safely leave 
the station.
    FRA found that all trains with powered exterior side door systems 
had some type of door status indicators train crews could use to 
determine if there was an obstruction in the exterior side doors. 
However, in many instances on-board personnel were not using the door 
status indicators as intended. In some cases, crewmembers did not use 
these indicators because the indicators' lens color was not maintained 
properly and, therefore, the indicators were not reliable. In other 
cases, FRA found that train crews looked in the general location of an 
indicator light on a door control panel, but at times mistakenly read a 
different indicator as the door status indicator because the lens color 
was not uniformly maintained. Door status indicators need to be 
maintained properly for ready and reliable reference by crewmembers 
tasked with safely operating the door systems. If properly maintained, 
these indicators should alert train crewmembers about a possible 
obstruction in an exterior side door.
5. No-Motion Circuit
    No-motion is an electric circuit the door safety system uses to 
determine if a passenger car or train is moving or not. This circuit is 
designed to prevent the exterior side doors of a train from opening 
while the train is in motion, except for a crew access door. A crew 
access door can be any exterior side door on a passenger train that a 
crewmember opens for his or her use with a door control power key. No-
motion circuitry will also cause the exterior side doors to close when 
the train accelerates above a pre-determined speed. If the no-motion 
circuit (also referred to as a ``no-motion system'' in this document) 
malfunctions, the conductor cannot open the exterior side doors using 
trainline commands since the circuit is designed to fail safely and the 
door system assumes that the train is in motion. However, if such a 
malfunction occurs, many passenger cars are equipped with a by-pass 
switch that can override the no-motion circuit and enable the exterior 
side doors to open.
    During its assessment, FRA discovered that some railroads train 
crews actually used the no-motion circuit to close the exterior side 
doors when departing stations. In these instances, train crewmembers 
were not closing the exterior side doors using a door control panel, 
but instead were using the throttle to accelerate the train and close 
the exterior side doors through the no-motion circuit. The assessment 
also identified that passenger and train crew safety was at risk on 
many railroads because safety-sensitive switches that could impact the 
door system, such as the no-motion by-pass switch, were not properly 
positioned or protected. An improperly positioned no-motion by-pass 
switch presents the risk of an undesired opening of an exterior side 
door while the train is in motion, which could go undetected by the 
train's crew.

[[Page 76126]]

    Exterior side doors should be closed only after the train crew 
determines it is safe for the train to depart the station. To protect 
passenger and train crew safety, the no-motion by-pass switch should be 
secured or sealed. This will mitigate the potential of an accidental 
activation of this safety-critical device.
6. End-of-Train Circuit
    The end-of-train circuit is part of the door safety system. The 
circuit is used to identify the last passenger car in the train 
consist, or the physical end of the train, or both. Door control system 
manufacturers have utilized various ways to identify and convey the end 
of the train to the door safety system. The end of the train is 
identified on different passenger cars by using jumpers, manual or 
automatic switches, circuitry in electric couplers, marker lights, or 
other devices. Door safety circuits can become compromised when the end 
of the train is established somewhere other than the last car of the 
train. This situation can occur by the unintentional activation of the 
end-of-train circuit. For example, some passenger cars toggle switches, 
which are readily accessible to passengers, are used to establish the 
end of the train. If improperly positioned and activated by a passenger 
or train crewmember at a location that is not at the end of the train, 
all passenger cars rearward of the car with the activated end-of-train 
circuit would not be recognized by the door safety system. Because the 
door safety features in those cars would not function, this would 
increase the risk of a passenger becoming entangled in a door and 
dragged when the train departs the station.
    FRA's assessment identified eight railroads on which end-of-train 
circuit switches were not properly positioned or protected. These 
switches should be secured and protected to prevent access by 
unauthorized personnel and unintentional activation which could 
compromise the safety of the door control system and go undetected by 
the train crew.
7. Door Safety Features
    As touched on above, the sophistication of passenger car door 
safety features is just as varied as the arrangement of the exterior 
side doors themselves. Hinged-type manually operated exterior side 
doors do not utilize any specific door system safety features. Yet, FRA 
found that all but one model of passenger cars with manual or powered 
sliding-type doors employed a flexible, rubber-like strip of varying 
widths on the leading edge of the door. This flexible strip runs from 
the floor to the ceiling along the edge of the door to seal the car 
interior from environmental conditions. Although not necessarily 
intended for a door system safety purpose, this flexible strip or seal 
on the edge of the door is pliable and bends, which aids in pulling an 
obstruction free from the door. In addition, FRA found that some power 
door systems added a door push-back feature intended to aid in freeing 
an obstruction in a door. The push-back feature allows someone to push 
back on a closing door so that the individual can open or partially 
open the door and clear an obstruction. However, not all passenger cars 
that have a flexible strip on the edge of the door have a door push-
back feature.
    Power door systems on passenger cars can also be outfitted with 
obstruction detection systems. Obstruction detection systems use 
sensors to determine if something is preventing an exterior side door 
from closing as intended. The system will cause the exterior side door 
to react to an obstruction by automatically stopping the door from 
closing or by reversing the door movement like elevator doors. Most 
obstruction detection systems require the exterior side door to 
actually physically impact the obstruction to detect it. These types of 
obstruction detection systems use a pressure-sensitive edge on the 
leading edge of the exterior side door or door jamb, or both. If 
something is caught in the door, the sensitive edge becomes compressed 
and causes the door to react to the obstruction by stopping the closing 
door or by reversing the door movement. Other obstruction detection 
systems employ a tilting switch that detects when the door is bumped 
off balance by an obstruction and causes a reaction similar to doors 
employing a sensitive edge for obstruction detection.
    There are also systems that use more sophisticated technologies to 
detect obstructions. These advanced systems monitor motor amperage, or 
air pressure in passenger cars with powered electro-pneumatic exterior 
side doors. These systems detect an increase in the electric current or 
air pressure, which tells the door safety system there is an 
obstruction in the exterior side doors. Other advanced obstruction 
detection systems do not actually require the exterior side doors to 
impact an obstruction to detect it. Instead, they may use photo optics 
or laser light beams to prevent the door from closing if something 
interrupts a light beam that runs along the path of the closing 
exterior side door. They may also use other technologies; see the 
discussion of Sensotech's comment in Section III., above.
    However, FRA found during its assessment that it was possible to 
become entangled in a powered exterior side door on numerous different 
models of equipment, even when door obstruction detection systems were 
utilized. In these cases, the door obstruction detection systems failed 
to detect either small obstructions (e.g., a human hand) or large 
obstructions (e.g., a wheelchair).
    FRA believes that while door obstruction detection systems reduce 
the risks to passenger safety and newer systems utilize more reliable 
technology, they do have limitations. Therefore, train crews need a 
clear understanding of the limitations of the safety features on the 
exterior side doors of the trains they are operating. When train crews 
do not thoroughly understand the limitations of their trains' exterior 
side door safety features, passengers and train crews alike could face 
an increased risk of serious injury or death. Crews must realize the 
limits of the safety features of each powered door safety system for 
each type of passenger vehicle they operate.
8. Traction Inhibit
    As mentioned above, door control safety systems can be connected to 
a train's propulsion system. On these systems, the status of powered 
exterior side doors is communicated through the trainline, and the door 
summary circuit is interlocked with the train's propulsion system. 
Therefore, when a powered exterior side door is open, the train cannot 
produce tractive power and move, a function commonly referred to as 
``traction inhibit.'' Similarly, if an exterior side door on a train is 
not completely closed, and there is an obstruction in the door, the 
traction inhibit function prevents the train from developing tractive 
power and departing the station. Only after all the exterior side doors 
are closed as intended can the train produce tractive power and leave 
the station.
    During its assessment, FRA found many different models of equipment 
in which the exterior side door safety systems were not connected to 
the propulsion system of the train. Consequently, these trains could 
produce tractive power whether or not the exterior side doors were open 
or closed. Thus, if a passenger became entangled in a door, the 
passenger could be dragged by one of these trains because they lacked a 
design feature to stop such a train from developing tractive power and 
leaving the station.

[[Page 76127]]

    FRA also found that on many different models of passenger cars and 
locomotives used in passenger service with a door obstruction system 
and traction inhibit, it was possible for the train to produce tractive 
power even when an individual became entangled in an exterior side 
door. This unexpected condition was possible because the door 
obstruction system did not detect the obstruction and instead conveyed 
a message that all the exterior side doors were closed. Therefore, the 
final rule will enhance passenger and train crew safety by requiring 
all new passenger cars to have door safety systems which include door 
obstruction detection systems that release obstructions when detected.
9. Malfunctioning Equipment and Door Lock-Out
    Due to the complexity of powered exterior side doors and their 
controls, car manufacturers have designed door systems to respond to 
equipment malfunctions. If an exterior side door malfunctions, each 
door can be individually isolated from the trainline circuit without 
affecting the rest of the train. Train crews refer to this as ``cutting 
out'' or ``locking-out'' a door. This is especially important if the 
door system is connected to the train's propulsion system, as one 
malfunctioning exterior side door that cannot close is designed to 
inhibit the development of tractive power for the entire train. 
Therefore, many passenger cars are equipped with exterior side door 
lock-out switches that can disconnect power to the malfunctioning 
exterior side door while still allowing the trainline circuit to 
complete so that the train can draw tractive power and move.
    During FRA's assessment, FRA observed train crewmembers that did 
not know how to isolate or lock-out a malfunctioning exterior side 
door. FRA found that, instead, train crews would often activate the 
door by-pass system. Such a practice presents a significant risk to 
safety. Properly locking-out one malfunctioning exterior side door 
maintains the integrity of the train's door safety system while still 
providing door obstruction and traction inhibit protection for all 
other exterior side doors on the train. However, overriding the door 
safety system through the door by-pass feature can undermine the safety 
features on all exterior side doors, including traction inhibit. 
Activating the door by-pass feature this way unnecessarily increases 
the possibility that a passenger or train crewmember could be caught in 
a door and dragged by a train.
10. Malfunctioning Equipment and Door By-Pass
    If a train crew cannot identify which exterior side door is 
malfunctioning on its train, the train crew can utilize a door by-pass 
device to override the door safety system to move the train. However, 
as noted above, activation of the door by-pass device on many types of 
equipment negates some or all of the exterior side door safety 
features.
    FRA found during its assessment that many passenger cars had 
exterior side door safety circuits that could become compromised by the 
unintentional activation of a door by-pass device. On these models of 
passenger cars, if a by-pass switch was activated anywhere on a 
passenger train it would place the entire train in door by-pass mode. 
This would in essence by-pass the entire train's door safety system, 
which presents a significant risk to passenger and crew safety. 
Elsewhere, FRA found that the door by-pass switch would only affect the 
exterior side doors of the train if it was activated in the controlling 
locomotive. Overall, FRA found that accidental activation of the door 
by-pass switch often happened without the knowledge of the train crew, 
whether the switch was located in the controlling locomotive cab or a 
trailing locomotive cab. Consequently, door by-pass devices must be 
sealed in an off position to mitigate the potential of an accidental 
activation of the door by-pass device.
    However, if there is an en-route exterior side door malfunction, 
railroads must have a procedure for communicating to all train 
crewmembers that there is a defect in the train's exterior side doors, 
the door by-pass device has been activated, and the door safety system 
has been overridden.
11. Effects of Throttle Use on Powered Exterior Side Doors
    The locomotive throttle lever is used to control the locomotive's 
power. It can also be used to issue commands to the powered exterior 
side doors. As mentioned above, some exterior side doors are 
manufactured so that the movement of the locomotive throttle from a 
position of rest to motion automatically issues a command to close all 
the powered exterior side doors.
    However, FRA's assessment found that passenger cars responded 
differently to application of a train's throttle. For some powered 
exterior side doors, the movement of the locomotive throttle caused 
them to close. For other door systems, the doors would stop closing and 
freeze if they were in motion when the throttle was applied. Other door 
systems operated as intended and were not affected by the position of 
the throttle. In addition, concerns associated with locomotive throttle 
movement were further exacerbated if the passenger train was in door 
by-pass mode when the throttle was applied. On these trains, the 
throttle movement, in combination with the door by-pass feature 
activation, negated some or all of the exterior side door obstruction 
safety features.
    A train's exterior side doors should be commanded to close only 
after the train crew determines it is safe to depart. If throttle 
movement can affect the functioning of a train's exterior side doors, 
then employee training is necessary to help ensure the train crew 
understands the risks involved.
12. Mixed Consist Operation
    Railroads routinely operate passenger trains comprised of mixed 
consists or different models of passenger cars, which can have 
incompatible door systems. Mixed consists can contain passenger cars 
with different types of exterior side doors, such as manual doors and 
powered doors, or different types of powered exterior side doors that 
are not compatible with each other's door safety system. When exterior 
side door systems are incompatible, they do not properly communicate 
trainline commands and are not part of a single door summary circuit. 
These door systems are usually incompatible due to the design of the 
individual passenger cars or because the door systems utilize different 
control systems, wiring, or operating voltages, often a result of the 
varying ages of the different models of passenger cars used in a mixed 
consist.
    The operation of trains comprised of different types of passenger 
cars with incompatible exterior side door systems requires additional 
measures to help ensure passenger safety. For example, in a mixed 
consist train with manual and powered exterior side doors, the portion 
of the train with the manual doors requires train crewmembers to take 
extra measures to ensure the doors are closed. The operation of a mixed 
consist train comprised of passenger cars with different models or 
types of powered exterior side doors that are not compatible with each 
other's door safety system requires train crewmembers to take such 
extra measures as well. The different cars may not communicate door 
opening and closing commands throughout the length of the train. These 
door systems usually have different safety features; for example, a 
portion of

[[Page 76128]]

the train could have exterior side doors equipped with a door 
obstruction detection system, while the remainder of the train's doors 
do not. The powered door system on a passenger car without a door 
obstruction system is limited in its ability or unable to detect, 
annunciate, or release an obstruction in a door. FRA also found that in 
these mixed consist trains the door summary circuit did not account for 
all the exterior side doors, due to incompatible equipment. The door 
status indicator would therefore be misleading as it would indicate the 
status for only part of the mixed consist train. As a result, FRA 
believes there is an inherent, increased risk of becoming entangled in 
an exterior side door on a mixed consist train.
    Train crews may need to take extra measures to ensure the safe 
functioning of doors in mixed consist trains they operate. These extra 
measures should ensure the operation of mixed consist trains provides a 
level of safety at least equivalent to that of a train operating with 
compatible exterior side door safety systems.
13. Operating Rules
    Passenger railroads have established sets of operating rules to 
provide instruction and guidance to employees on how they should act in 
given situations. Railroad operating rules for the functioning of 
passenger train exterior side door systems can vary broadly from 
railroad to railroad. For example, FRA found that some railroads' 
operating rules did not require a train's exterior side doors to be 
closed while the train was in motion between stations. Other railroads' 
rules did not define the safety limitations of each type of door safety 
system in the passenger cars their train crews operated and sometimes 
the train crews were unaware of these limitations. Some railroads had 
operating rules addressing use of exterior side doors and station 
stops, and some did require crewmembers to make platform observations 
for train arrivals at and departures from stations. However, often 
these rules did not instruct crewmembers to ensure trains did not 
depart from stations until all passengers had successfully boarded or 
alighted from the trains. Finally, FRA found that some operating rules 
did not address the additional steps necessary to provide continued 
passenger safety following activation of a safety override device, such 
as a door by-pass or no-motion by-pass switch.
    Railroad operating rules are fundamental tools to enhance overall 
railroad safety. Passenger train crews need a clear understanding of 
the risks to safety involved in the operation of exterior side doors. 
They must understand the limitations of the safety features of each 
exterior side door system for the equipment they operate. Such an 
understanding is especially critical when an exterior side door safety 
system fails and the crew must take action to ensure passenger safety 
until the system can be restored back to its designed level.

V. Section-by-Section Analysis

Subpart A--General

Section 238.5 Definitions
    FRA is amending this section to add the following new definitions 
to this part: By-pass, door isolation lock, door summary circuit, end-
of-train circuit, exterior side door safety system, no-motion system, 
and trainline door circuit. FRA intends for these definitions to 
clarify the meaning of significant terms used in this final rule. These 
definitions will minimize the potential for misinterpretation of the 
regulatory language. RSAC recommended that FRA add these definitions to 
this section, and FRA agrees with RSAC's recommendation.
    ``By-pass'' means a device designed to override a function. This 
term describes devices that override various safety features on a 
passenger train. For example, a door by-pass is a by-pass feature that 
when activated overrides the door summary circuit. Among its functions, 
the door summary circuit indicates to the controlling cab of the train 
that all exterior side doors are closed as intended, or locked out with 
a door isolation lock, or both. In some instances, train crews must use 
a by-pass device when a passenger train's exterior side doors or its 
appurtenances fail en route so the train can reach its destination.
    ``Door isolation lock'' means a cutout/lockout mechanism installed 
at each exterior side door panel to secure a door in the closed and 
latched position, provide a door-closed indication to the summary 
circuit, and remove power from the door motor or door motor controls. 
FRA added this term because it is in the definition of a door summary 
circuit and helps clarify what potential information is being relayed 
to the controlling cab of a train by the door summary circuit.
    ``Door summary circuit'' means a trainline door circuit that, among 
its functions, indicates to the controlling cab of the train that all 
exterior side doors are closed as intended, or locked out with a door 
isolation lock, or both. FRA added this term to clarify what this 
circuit does in relation to the operation of a passenger train and what 
information it provides the controlling cab of the train about the 
exterior side doors.
    ``End-of-train circuit'' means a feature typically used to 
determine the physical end of the train, or the last passenger car in 
the train, or both, for the door summary circuit. FRA added this term 
to make clear what an end-of-train circuit does in a passenger train. 
For clarity, FRA changed the term to ``end-of-train circuit'' in the 
final rule rather than just ``end-of-train,'' as proposed in the NPRM. 
For additional discussion about end-of-train circuits, see the 
Technical Background, Section IV.F.6.
    ``Exterior side door safety system'' means a system of safety 
features that enable the safe operation of the exterior side doors of a 
passenger car or train. The exterior side door safety system includes 
appurtenances and components that control, operate, and display the 
status of the exterior side doors, and is interlocked with the traction 
power control. FRA added this term to explain what types of systems or 
subsystems of safety features make up an exterior side door safety 
system.
    ``No-motion system'' means a system on a train that detects the 
motion of the train. This system is normally integrated with the 
exterior side door safety system.
    ``Trainline door circuit'' means a circuit used to convey door 
signals over the length of a train. This term is used in the definition 
of door summary circuit.

Subpart B--Safety Planning and General Requirements

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

[[Page 76129]]

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

[[Page 76130]]

side doors. FRA does not intend to require passengers in an emergency 
to use a key to operate any manual override device for opening powered 
exterior side doors. See 49 CFR 238.112. Such manual override devices 
must be readily accessible to passengers in an emergency. Instead, this 
requirement is intended to reduce the risk that passengers in non-
emergency situations will gain access to the door control system and 
open the exterior side doors to prematurely exit a train while it is 
still in motion.
    FRA makes clear that although this final rule often states 
requirements in terms of the duties of railroad crewmembers, any person 
as defined in Sec.  238.5, including a contractor or subcontractor to a 
railroad, who performs any function required by this final rule, must 
perform that function in accordance with this rule. See Sec.  238.9(c) 
(``Responsibility for compliance''). Consequently, the requirements of 
this final rule apply to contractors and subcontractors performing 
railroad crewmember functions.
    Paragraph (a)(6) is related to paragraph (a)(5). This paragraph 
makes clear that if the door control panel key or other similar device 
is removed from the door control panel, the powered exterior side doors 
on the train cannot be opened or closed from the door control panel. A 
door control panel key or other similar device is required to operate 
the powered exterior side doors from the door control panel.
    This requirement helps ensure that only the conductor or another 
qualified crewmember can open or close the exterior side doors from the 
door control panel. This requirement will minimize the possibility that 
passengers will open the exterior side doors in non-emergency 
situations when a train is entering or departing a station. However, 
FRA notes that under Sec.  238.112, powered exterior side doors must 
continue to be equipped with a manual override device to allow 
passengers to open the doors in emergency situations.
    Paragraph (a)(7) ensures that train throttle movement will have no 
effect on the proper functioning of exterior side door safety systems 
in new passenger cars and connected door safety systems in new 
locomotives used in passenger service. As discussed in the Technical 
Background, Section IV.F.11, FRA discovered through its door safety 
assessment that certain passenger car door systems were designed so 
that the exterior side doors would automatically close when the train's 
throttle was applied. As FRA understands, the rationale behind such a 
design is to provide an operational enhancement for the engineer to 
automatically command the exterior side doors to close when the 
throttle is applied. However, from FRA's observations during its door 
safety assessment, the exterior side doors on some railroads' trains 
would stop moving and remain open while other exterior side doors would 
close when the train's throttle was applied. This could result in doors 
being partially open while trains are in motion, thereby increasing the 
risk that passengers could fall out of trains and suffer injuries. 
Moreover, FRA also learned that powered exterior side doors on trains 
running in door by-pass mode reacted very differently when the throttle 
was applied. On these trains, the throttle movement, in combination 
with the door by-pass feature activation, negated some or all of the 
exterior side door obstruction safety features. Therefore, FRA is 
requiring that, for new passenger cars and locomotives used in 
passenger service, locomotive throttle movement does not open or close 
a passenger train's exterior side doors or have any other effect on the 
proper functioning of the train's door safety system.
    Paragraph (b) applies to new rail passenger cars, with either 
manual or powered exterior side doors, and connected door safety 
systems on new locomotives used in passenger service, ordered on or 
after April 5, 2016, or placed in service for the first time on or 
after February 5, 2018. This paragraph does not apply to existing rail 
passenger cars or locomotives used in passenger service with either 
manual or powered exterior side doors.
    Paragraph (b)(1) requires new passenger cars with manual or powered 
exterior side doors, and connected door safety systems on new 
locomotives used in passenger service, to be designed with a door 
summary circuit to prohibit trains from developing tractive power if 
the exterior side doors are not closed. This paragraph is necessary to 
prevent serious injuries from occurring when trains have their exterior 
side doors open while moving.
    However, FRA is allowing an exception for train crew use. This 
requirement does not apply to an exterior side door that is under the 
direct physical control of a crewmember for his or her exclusive use 
when a train generates, or is in the process of generating, tractive 
power. This limited exception is necessary to help train crews make 
platform and other observations outside of the train. For example, 
train crews often open one exterior side door to ensure the train is 
sitting properly along the station platform before opening all of the 
exterior side doors and allowing passengers to board and exit from the 
train.
    Paragraph (b)(2) requires that manual and powered exterior side 
doors on new passenger cars be connected to interior and exterior door 
status indicators, and that new locomotives used in passenger service 
be compatible with such indicators. The exterior side doors must be 
connected to interior and exterior door status indicators, usually 
lights, to indicate when a door is not closed. These indicators provide 
railroad personnel both inside the train and on the station platform a 
fast, easy way to visually identify whether an exterior side door is 
not closed as intended. FRA believes that these interior and exterior 
door status indicators will help train crews determine whether it is 
safe for trains to depart stations.
    Paragraph (b)(3) requires all new passenger cars with manual or 
powered exterior side doors and all new passenger locomotives to be 
connected to a door summary status indicator located in the train's 
operating cab and viewable from the engineer's normal operating 
position. When all the exterior passenger side doors on a train are 
closed, the door summary status indicator, usually a light, illuminates 
in the engineer's operating cab. As a result, the indicator provides an 
easy way for an engineer to know that all the exterior side doors have 
been closed as intended and it is safe for the train to depart. If the 
indicator is not illuminated, the engineer knows that the exterior side 
doors are not closed and that the train's brakes should be maintained 
so the train does not move.
    Paragraph (b)(4) requires that, for all new passenger cars with 
manual or powered exterior side doors, and all new locomotives used in 
passenger service equipped with a door by-pass system, the door by-pass 
system will be functional only when activated from the controlling 
locomotive. Putting a train in door by-pass mode allows the train to 
develop tractive power regardless of the status of the doors. During 
its door safety assessment of passenger railroads, FRA found that for 
many models of equipment the entire passenger train could be put into 
door by-pass mode by activating one of several different door by-pass 
switches throughout the train consist. Moreover, FRA even found that 
by-pass switches could be activated without the knowledge of the train 
crew--a dangerous situation.
    Because this paragraph requires that the door by-pass switch can 
only be activated in the controlling locomotive of a passenger train, 
engineers should

[[Page 76131]]

always know if the door safety system has been overridden through the 
use of the door by-pass switch. In addition, having the switch only be 
activated in the controlling locomotive of the train greatly minimizes 
the risk that a passenger may activate the device, whether 
inadvertently or not. Since this device affects vital safety features, 
FRA believes that all precautions should be taken to ensure that a 
train is put in door by-pass mode only after careful consideration by 
the train's crew.
    Paragraph (c) identifies other sections in this part that include 
substantive requirements for exterior side door safety for ease of 
reference. These include requirements for using side doors in an 
emergency.
Section 238.133 Exterior Side Door Safety Systems--All Passenger Cars 
and Locomotives Used in Passenger Service
    FRA is adding this new section to part 238, addressed below by 
paragraph.
    Paragraph (a) requires that each passenger train crew verify all 
exterior side door by-pass devices that could affect the safe operation 
of the train are sealed in the non-by-pass position when taking control 
of the train. For example, from its door safety assessment of various 
passenger railroads, FRA discovered that on some railroads the door by-
pass switches in the cabs of trailing locomotives could place an entire 
train in door by-pass mode if activated anywhere on the train. FRA 
believes that all train crewmembers should understand when first taking 
control of a passenger train whether the exterior side doors of the 
train are in door by-pass mode. However, when there is face-to-face 
relief of another train crew, the train crew coming on duty will not 
need to verify the status of the door by-pass devices by visual 
inspection. This exception will help railroad efficiency by not 
requiring on-coming train crews to conduct an inspection to verify 
whether their train is being operated in door by-pass status if they 
are directly notified by the out-going crew through face-to-face relief 
regarding the status of the train's door by-pass devices. When there is 
no direct face-to-face relief by the crew going off duty, the on-coming 
train crew must verify the status of their train's door by-pass 
devices.
    However, paragraph (a) also allows railroads to develop a 
functional test to verify that the door summary status indicator is 
functioning as intended, instead of a visual inspection of each door 
by-pass device. Allowing qualified railroad personnel to conduct a 
functional test instead of a visual inspection of all door by-pass 
switches makes the verification process more efficient. Of course, the 
testing plan the railroad develops to replace individual visual 
inspections must be adequate to determine that each door safety system 
is functioning as intended.
    Paragraph (b) requires passenger train crewmembers to notify the 
railroad's designated authority under the railroad's defect reporting 
system if a door by-pass device that could affect the safe operation of 
the train is found unsealed during the train's daily operation. If the 
train crew can test the door safety system and determine the door 
summary status indicator is functioning as intended, then the train may 
remain in service until the next forward repair point where a qualified 
maintenance person (QMP), as defined in Sec.  238.5, can apply a seal, 
or until its next calendar day inspection, whichever occurs first. If 
the crew cannot determine that the door summary status indicator is 
functioning as intended, then the train crew must follow the procedures 
in paragraph (c) of this section.
    Paragraph (c) requires that, when it becomes necessary to activate 
a door by-pass device while a train is en route, the train may continue 
to its destination terminal if the train crew: Conducts a safety 
briefing that includes a description of the location(s) where 
crewmembers will position themselves on the train to observe the 
boarding and alighting of passengers; notifies the railroad's 
designated authority that the train's door by-pass device has been 
activated; and adheres to the operating rules required by Sec.  238.135 
(``Operating practices for exterior side door safety systems''). After 
the train has reached its destination terminal, the train may continue 
in passenger service until the train's arrival at the next forward 
repair point or until its next calendar day inspection, whichever 
occurs first, if the railroad adheres to the requirements in paragraphs 
(c)(1) and (2) of this section before moving the equipment with an 
active door by-pass device.
    Paragraph (c)(1) allows a passenger train with a door by-pass 
device activated to remain in service past its destination terminal if 
an on-site QMP determines it is safe to use the equipment in passenger 
service and repairs cannot be made at the time of inspection. If a QMP 
is not available, a determination to keep the equipment in service may 
be made based upon an on-site qualified person's (QP), as defined in 
Sec.  238.5, description of the condition to a QMP offsite. This 
requirement will help ensure passenger safety by requiring a QMP to 
make the determination on whether it is safe to move the train, but 
will still provide the railroad with sufficient flexibility to handle 
an activated door by-pass device.
    Paragraph (c)(2) requires that either the QP or QMP notify the 
crewmember in charge of the train's movement that the door by-pass 
device has been activated. This notification requirement ensures that 
the crewmember in charge of the train's movement knows the train is 
operating with its door by-pass device activated and that some or all 
of the door safety features of the train's exterior side doors may not 
be properly functioning. In addition, the train crew must then hold a 
safety briefing that includes information such as the locations where 
each crewmember will position himself or herself on the train to ensure 
that passengers board and alight from the train safely. This safety 
briefing helps to ensure that the train operates with the same level of 
safety after the door by-pass device has been activated as it did 
before the device was activated.
    Paragraph (d) requires each passenger railroad to maintain a record 
of any door by-pass activation, unintended opening of a powered 
exterior side door, and subsequent repair(s) made to the passenger door 
safety system in the defect tracking system required by Sec.  238.19. 
While railroads do currently maintain records concerning the 
malfunction of exterior side doors and subsequent repairs, FRA is not 
aware that railroads maintain such records when a door by-pass device 
has been activated or only when there has been an unintentional door 
opening. Collecting this information will provide useful data 
concerning test and maintenance intervals that are developed under this 
part, e.g., Sec.  238.107 and subpart F. Like other records collected 
under Sec.  238.19, railroads must make these records available to FRA 
for inspection upon request.
    Paragraph (e) is intended to prevent exterior side doors from being 
operated from a door control panel when the door key or other similar 
device has been removed. As evidenced by FRA's assessment of various 
passenger train door operations, this language is necessary because 
some trains' door safety systems have allowed the door control panel to 
remain energized after the door control panel key or similar device was 
removed from the panel. When door control panels can still be operated 
after the specific door key or similar device has been removed, 
passengers can open the train's exterior side doors by simply pressing 
the door open button. FRA is concerned because passengers have opened 
exterior side

[[Page 76132]]

doors to exit trains early before the trains came to a complete stop at 
stations. Additionally, some passengers have opened the exterior side 
doors to exit trains while leaving stations because they forgot to exit 
while the trains were stopped at station platforms. Either of these 
scenarios could easily result in severe passenger injuries.
    Accordingly, this requirement mandates the use of a door panel key 
or a similar device to energize or activate the door control panel. The 
door control panel key or device will be held by the train's crew. FRA 
does make clear that nothing in this paragraph is meant to change any 
of the requirements in Sec.  238.112 for the accessibility and 
operation of manual override devices for exterior side doors in an 
emergency situation. This paragraph does not require passengers in an 
emergency situation to use a key to operate any manual override device 
for opening powered exterior side doors required by Sec.  238.112. 
Passengers and crewmembers must still be able to utilize the manual 
override devices for exterior side doors in an emergency situation 
without the use of a door key or other similar device.
    Paragraph (f) requires a train to maintain the integrity of its 
door safety systems by proper activation of the end-of-train circuit. 
This includes, but is not limited to, securing the end-of-train circuit 
in a manner that prevents unauthorized access. The railroad must secure 
the end-of-train circuit to protect the integrity of the train. FRA 
discovered that, in many models of passenger cars, a simple switch was 
used to activate the end-of-train circuit and denote the end of the 
train. This switch was often in the vestibule area of the car and 
accessible to passengers. FRA also found a switch that was activated in 
a car other than at the end of the train. Activation of the switch 
eliminates from the door summary circuit all passenger car exterior 
side doors beyond the activated switch, allowing the potential for a 
passenger in one of those cars to become entangled in an exterior side 
door and dragged when the train departs because the door safety 
features do not function. This paragraph helps ensure in particular 
that if a railroad uses end-of-train circuit switches in its trains, 
the railroad takes sufficient care of the switches to prevent them from 
being tampered with or inadvertently activated by unauthorized users. 
FRA added language to this section in this final rule to clarify that 
railroads must ensure the integrity of the end-of-train circuit and not 
just prevent unauthorized access to end-of-train circuit switches on 
trains that use such switches to affect the end-of-train circuit.
    Paragraph (g)(1) requires all exterior side door safety system 
override devices that could adversely affect a train's door safety 
system to be inactive and sealed in all passenger cars and locomotives 
in the train consist. This requirement applies to cab cars and MU 
locomotives, as well as conventional locomotives. The requirements of 
this paragraph are subject to the provisions of paragraph (c) of this 
section for a train when it is necessary to activate a door by-pass 
device, to ensure the train may safely continue to its destination 
terminal.
    Paragraph (g)(2) is similar to paragraph (g)(1). However, this 
paragraph emphasizes that as part of the calendar day inspection, QMPs 
will verify that all exterior side door safety system override devices 
are inactive and sealed in all passenger cars and all locomotives in a 
passenger train's consist, including cab cars and MU locomotives, if 
they are so equipped. Passenger cars or locomotives that QMPs find with 
unsealed or active exterior side door safety system override devices 
are considered defective under the regulation and subject to the 
movement-for-repair provisions of this part.
Section 238.135 Operating Practices for Exterior Side Door Safety 
Systems
    FRA is adding this new section to part 238, addressed below by 
paragraph.
    Paragraph (a) requires each crewmember to participate in a safety 
briefing that identifies each crewmember's responsibilities for the 
safe operation of the exterior side doors on the crewmember's train. 
The briefing takes place at the beginning of each crewmember's duty 
assignment before the train departs. This requirement helps ensure all 
the crewmembers involved in the operation of a passenger train 
understand their roles and responsibilities for the safe operation and 
use of the exterior side doors.
    In this final rule, FRA revised the language in this paragraph to 
clarify that the required safety briefing must address possible door 
safety issues arising anytime during the crew's operation of the 
assigned train, including when the train arrives at and departs from a 
station. The briefing requirement applies to providing direction 
throughout the crew's entire operation of the assigned train. For 
example, if construction or other work will be conducted at a station 
platform that could negatively impact the boarding and alighting of 
passengers or crewmembers at a station, the crew must discuss the 
platform work and the steps necessary to ensure the train's doors can 
be safely operated at the station.
    FRA invited comment from the railroad industry and the greater 
public on how this safety briefing should occur, but did not receive 
any comments during the comment period. Nonetheless, FRA makes clear 
that the safety briefing may be made part of other safety briefings or 
discussions involving the operation of the passenger train, provided 
each crewmember's role in the safe operation and use of the exterior 
side doors is clearly established.
    Paragraph (b) requires all passenger train exterior side doors and 
trap doors to be closed when a train is moving between stations, except 
as provided in paragraphs (b)(1) and (2). As stated previously in 
Section III, Discussion of Specific Comments and Conclusions, above, 
FRA received comments from SEPTA and Veolia regarding this paragraph. 
Both SEPTA and Veolia asked FRA to allow additional circumstances when 
passenger train exterior side doors and trap doors may be open when a 
train is moving between stations. As previously explained, FRA declines 
to establish additional, generally-applicable exceptions beyond what is 
provided in paragraphs (b)(1) and (2). However, FRA is providing 
additional time for railroads to comply. Paragraph applies after April 
5, 2016, or 60 days after the final rule takes effect. As proposed, 
paragraph (b) would have become applicable when the final rule took 
effect. In particular, this additional time will facilitate the process 
for SEPTA, Veolia, and any other entity to seek relief from the 
requirements of Sec.  238.135(b) by applying for special approval under 
Sec.  238.135(c) from FRA's Associate Administrator for Railroad 
Safety/Chief Safety Officer. Section 238.135(c) allows FRA to make 
individualized determinations that tailor any additional exceptions to 
the specific circumstances involved and the safety of the affected 
passengers and train crews. For more discussion of SEPTA's and Veolia's 
comments on this rulemaking, and FRA's response, see the Discussion of 
Specific Comments and Conclusions, Section III.
    Paragraph (b)(1) allows a passenger train to depart from or arrive 
at a station with an exterior side door or trap door open when a 
crewmember needs to observe the station platform (paragraph (b)(1)(i)) 
and the open door is attended by the crewmember (paragraph (b)(1)(ii)). 
For instance, observing the station platform is necessary when arriving 
at stations so that crewmembers can determine if their train is 
properly

[[Page 76133]]

positioned along the platform before opening the exterior side doors. 
In addition, crewmembers may need to open an exterior side door on 
their train to observe the station platform to help ensure the safety 
of late-boarding passengers for station departures. With a crewmember 
stationed at each open exterior side door or trap door when departing 
from or arriving at a station, the train crew can better protect 
passengers from placing themselves in harm's way and more quickly react 
to an emergency occurring on the station platform.
    Paragraph (b)(2) allows a passenger train to move between stations 
with its exterior side doors and trap doors open when a crewmember must 
perform on-ground functions. On-ground functions include, but are not 
limited to, lining switches, making up or splitting the train, 
providing crossing protection, and inspecting the train. This exception 
was created because the Door Safety Subgroup thought it would be too 
cumbersome and an undue hardship on passenger railroads to require them 
to operate their trains with their exterior side doors and trap doors 
closed when performing on-ground functions. For example, passenger 
train conductors often have to exit and reenter their trains several 
times when lining switches to establish the proper track route for 
their trains. However, FRA expects that crewmembers will close any such 
open exterior side doors or trap doors on their trains as soon as it is 
practical after completing the necessary on-ground functions.
    As discussed above, paragraph (c) requires that passenger railroads 
receive approval from FRA's Associate Administrator for Railroad 
Safety/Chief Safety Officer to operate passenger trains with their 
exterior side doors or trap doors, or both, open between stations 
except as provided in paragraph (b) of this section. Any request to FRA 
must include: A written justification explaining why the passenger 
railroad needs to operate its trains in this manner (paragraph 
(c)(2)(i)); and a detailed hazard analysis conducted by the railroad 
analyzing the hazards of running its trains in this manner, including 
specific mitigations to reduce the safety risk to passengers and train 
crews (paragraph (c)(2)(ii)). The chief executive officer (CEO), or 
equivalent, of the organization(s) making the request must sign the 
request (paragraph (c)(3)). In addition, FRA added paragraph (c)(4) to 
this final rule to clarify that railroads may need to submit other 
documents and different types of information to support the request. 
Passenger railroads must seek this special approval from FRA before 
operating trains in the requested manner, so that FRA can determine if 
passengers and train crews riding on such trains are adequately 
safeguarded against personal injury. FRA makes clear that if a 
passenger railroad must take additional steps to adequately safeguard 
passengers and train crews against personal injury, FRA may condition 
the grant of any special approval on the implementation of any such 
measures within the timeframes in the approval.
    Paragraph (d) requires railroads to adopt and comply with operating 
rules on how to safely override a door summary circuit or a no-motion 
system, or both, if there is an en route exterior side door failure or 
malfunction on a passenger train. Under this section's requirements, 
the railroads must provide these written rules to their employees and 
make them available for FRA inspection. The written rules must include: 
(1) Instructions to crewmembers and control center personnel describing 
what conditions must be present to override the door summary circuit or 
the no-motion system, or both (paragraph (d)(1)); and (2) steps 
crewmembers and control center personnel must take after the door 
summary circuit or no-motion system, or both, have been overridden, to 
help ensure continued passenger safety (paragraph (d)(2)). These 
paragraphs are intended to ensure a mechanism exists to communicate 
that a defect has occurred in a critical safety system on a passenger 
train and that passenger safety continues to be provided after the 
critical safety system is overridden.
    FRA is allowing a three-year period for the requirements in this 
paragraph to be implemented. FRA believes this three-year period will 
provide railroads with adequate time to develop and train their 
crewmembers and control center personnel on the operating rules and 
instructions, and minimize any cost. FRA wants to make clear that the 
term ``control center personnel'' in this final rule includes both 
railroad employees and railroad contractors and subcontractors who 
perform control center functions. See Sec.  238.9(c). Use of the term 
``control center personnel'' is also consistent with 49 CFR part 239, 
Passenger Train Emergency Preparedness, which uses the term ``control 
center personnel'' to describe the same persons. While crewmembers will 
continue to have the majority of the responsibilities under this 
section, control center personnel play an important role in how to 
safely override a door summary circuit or no-motion system, or both.
    Paragraph (e) requires each crewmember to be trained on: (1) The 
requirements in this section; and (2) how to identify and isolate 
equipment with a malfunctioning exterior powered or manual side door. 
For example, FRA expects that this training will cover how a crewmember 
determines which exterior side door is malfunctioning. FRA believes 
that training crewmembers is necessary to ensure that a passenger 
train's door safety systems are utilized to their designed level of 
safety. Crewmembers operating exterior side doors on passenger trains 
and tasked with providing passenger safety must understand the safety 
risks involved in the use and operation of exterior side doors.
    FRA makes clear that these requirements apply to both manual and 
powered exterior side doors. FRA is allowing a three-year period for 
railroads to implement the requirements of this paragraph. This three-
year period affords the railroads adequate time to train their 
crewmembers and minimize any cost.
    Paragraph (f) requires each railroad to adopt and comply with 
operating rules requiring its crewmembers to determine the status of 
their train's exterior side doors so their train may safely depart a 
station. In particular, this paragraph requires crewmembers to 
determine there are no obstructions in their passenger train's exterior 
side doors before the train departs. This operating rule requirement 
will safeguard against passengers becoming entangled in the exterior 
side doors of a train when boarding and alighting the train. FRA is 
allowing railroads a three-year period to implement the requirements of 
this paragraph. In the NPRM, this requirement was proposed under Sec.  
238.135(g). However, in this final rule FRA has switched proposed 
Sec. Sec.  238.135(f) and (g) because it flows logically that 
requirements about operating rules should come before requirements for 
conducting tests on those rules.
    Paragraph (g) requires that each railroad periodically conduct 
operational (efficiency) tests and observations of its operating 
crewmembers and control center personnel to determine each individual's 
proficiency with the side door safety procedures for both the 
railroad's exterior powered and manual passenger train side doors. FRA 
recognizes the critical role control center personnel have in ensuring 
the safe movement of trains. These individuals must receive operational 
(efficiency) testing appropriate to their role providing door 
operations support

[[Page 76134]]

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

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

[[Page 76135]]

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

[[Page 76136]]

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.
----------------------------------------------------------------------------------------------------------------

[[Page 76137]]

 
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

[[Page 76138]]

 
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

[[Page 76139]]

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

[[Page 76140]]

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

[[Page 76141]]

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

[[Page 76142]]

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).

[[Page 76143]]

 
    --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.

[[Page 76144]]

 
    --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.

[[Page 76145]]

 
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 202-493-6132, or via email at the 
following addresses: Robert.Brogan@dot.gov; Kim.Toone@dot.gov.
    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: oira_submissions@omb.eop.gov.
    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

[[Page 76146]]

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:

[[Page 76147]]

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 202-496-4800; 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 202-741-6030, 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.

[[Page 76148]]

    (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:

[[Page 76149]]



         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.
---------------------------------------------------------------------------

[FR Doc. 2015-30488 Filed 12-4-15; 8:45 am]
 BILLING CODE 4910-06-P


