49 C.F.R. Subpart G—Specific Safety Planning Requirements for Tier II Passenger Equipment
Title 49 - Transportation
This subpart contains specific safety planning requirements for the operation of Tier II passenger equipment, procurement of Tier II passenger equipment, and the introduction or major upgrade of new technology in existing Tier II passenger equipment that affects a safety system on such equipment. (a) Prior to commencing revenue service operation of Tier II passenger equipment, each railroad shall prepare and execute a written plan for the safe operation of such equipment. The plan may be combined with any other plan required under this part. The plan shall be updated at least every 365 days. At a minimum, the plan shall describe the approaches and processes to: (1) Identify all requirements necessary for the safe operation of the equipment in its operating environment; (2) Identify all known or potential hazards to the safe operation of the equipment; (3) Eliminate or reduce the risk posed by each hazard identified to an acceptable level using a formal safety methodology such as MIL-STD–882; and (4) Impose operational limitations, as necessary, on the operation of the equipment if the equipment cannot meet safety requirements. (b) For the procurement of Tier II passenger equipment, and for each major upgrade or introduction of new technology in existing Tier II passenger equipment that affects a safety system on such equipment, each railroad shall prepare and execute a written safety plan. The plan may be combined with any other plan required under this part. The plan shall describe the approaches and processes to: (1) Identify all safety requirements governing the design of the passenger equipment and its supporting systems; (2) Evaluate the total system, including hardware, software, testing, and support activities, to identify known or potential safety hazards over the life cycle of the equipment; (3) Identify safety issues during design reviews; (4) Eliminate or reduce the risk posed by each hazard identified to an acceptable level using a formal safety methodology such as MIL-STD-882; (5) Monitor the progress in resolving safety issues, reducing hazards, and meeting safety requirements; (6) Develop a program of testing or analysis, or both, to demonstrate that safety requirements have been met; and (7) Impose operational limitations, as necessary, on the operation of the equipment if the equipment cannot meet safety requirements. (c) Each railroad shall maintain sufficient documentation to demonstrate how the operation and design of its Tier II passenger equipment complies with safety requirements or, as appropriate, addresses safety requirements under paragraphs (a)(4) and (b)(7) of this section. Each railroad shall maintain sufficient documentation to track how safety issues are raised and resolved. (d) Each railroad shall make available to FRA for inspection and copying upon request each safety plan required by this section and any documentation required pursuant to such plan. [64 25660, May 12, 1999, as amended at 67 FR 19994, Apr. 23, 2002] [64 FR 25660, May 12, 1999, as amended at 65 FR 41310, July 3, 2000; 67 FR 19994, Apr. 23, 2002]] This appendix contains the test methods and performance criteria for the flammability and smoke emission characteristics of materials used in passenger cars and locomotive cabs, in accordance with the requirements of §238.103. (a) Incorporation by reference. Certain documents are incorporated by reference into this appendix with the approval of the Director of the Federal Register in accordance with 5 U.S.C. 552(a) and 1 CFR part 51. You may inspect a copy of each document during normal business hours at the Federal Railroad Administration, Docket Clerk, 1120 Vermont Ave., N.W., Suite 7000 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. The documents incorporated by reference into this appendix and the sources from which you may obtain these documents are listed below: (1) American Society for Testing and Materials (ASTM), 100 Barr Harbor Dr., West Conshohocken, PA 19428–2959. (i) ASTM C 1166–00, Standard Test Method for Flame Propagation of Dense and Cellular Elastomeric Gaskets and Accessories. (ii) ASTM D 2724–87, Standard Test Methods for Bonded, Fused, and Laminated Apparel Fabrics. (iii) ASTM D 3574–95, Standard Test Methods for Flexible Cellular Materials-Slab, Bonded, and Molded Urethane Foams. (iv) ASTM D 3675–98, Standard Test Method for Surface Flammability of Flexible Cellular Materials Using a Radiant Heat Energy Source. (v) ASTM E 119–00a, Standard Test Methods for Fire Tests of Building Construction and Materials. (vi) ASTM E 162–98, Standard Test Method for Surface Flammability of Materials Using a Radiant Heat Energy Source. (vii) ASTM E 648–00, Standard Test Method for Critical Radiant Flux of Floor-Covering Systems Using a Radiant Heat Energy Source. (viii) ASTM E 662–01, Standard Test Method for Specific Optical Density of Smoke Generated by Solid Materials. (ix) ASTM E 1354–99, Standard Test Method for Heat and Visible Smoke Release Rates for Materials and Products Using an Oxygen Consumption Calorimeter. (x) ASTM E 1537–99, Standard Test Method for Fire Testing of Upholstered Furniture. (xi) ASTM E 1590–01, Standard Test Method for Fire Testing of Mattresses. (2) General Services Administration, Federal Supply Service, Specification Section, 470 E. L'Enfant Plaza, S.W., Suite 8100, Washington, D.C., 20407. FED-STD-191A-Textile Test Method 5830, Leaching Resistance of Cloth; Standard Method (July 20, 1978). (3) State of California, Department of Consumer Affairs, Bureau of Home Furnishings and Thermal Insulation, 3485 Orange Grove Avenue, North Highlands, CA 95660–5595. (i) California Technical Bulletin (Cal TB) 129, Flammability Test Procedure for Mattresses for Use in Public Buildings (October, 1992). (ii) Cal TB 133, Flammability Test Procedure for Seating Furniture for Use in Public Occupancies (January, 1991). (b) Definitions. As used in this appendix— Average heat release rate (q
Critical radiant flux (C.R.F.) means, as defined in ASTM E 648–00, a measure of the behavior of horizontally-mounted floor covering systems exposed to a flaming ignition source in a graded radiant heat energy environment in a test chamber. Flame spread index (Is) means, as defined in ASTM E 162–98, a factor derived from the rate of progress of the flame front (Fs) and the rate of heat liberation by the material under test (Q), such that Is = Fs × Q. Flaming dripping means periodic dripping of flaming material from the site of material burning or material installation. Flaming running means continuous flaming material leaving the site of material burning or material installation. Heat release rate means, as defined in ASTM E 1354–99, the heat evolved from a specimen per unit of time. Specific extinction area (σf) means, as defined in ASTM E 1354–99, specific extinction area for smoke. Specific optical density (Ds) means, as defined in ASTM E 662–01, the optical density measured over unit path length within a chamber of unit volume, produced from a specimen of unit surface area, that is irradiated by a heat flux of 2.5 watts/cm2 for a specified period of time. Surface flammability means the rate at which flames will travel along surfaces. (c) Required test methods and performance criteria. The materials used in locomotive cabs and passenger cars shall be tested according to the methods and meet the performance criteria set forth in the following table and notes: 1 Materials tested for surface flammability shall not exhibit any flaming running or dripping. 2 The ASTM E 662–01 maximum test limits for smoke emission (specific optical density) shall be measured in either the flaming or non-flaming mode, utilizing the mode which generates the most smoke. 3 Testing of a complete seat assembly (including cushions, fabric layers, upholstery) according to ASTM E 1537–99 using the pass/fail criteria of Cal TB 133, and testing of a complete mattress assembly (including foam and ticking) according to ASTM E 1590–01 using the pass/fail criteria of Cal TB 129 shall be permitted in lieu of the test methods prescribed herein, provided the assembly component units remain unchanged or new (replacement) assembly components possess equivalent fire performance properties to the original components tested. A fire hazard analysis must also be conducted that considers the operating environment within which the seat or mattress assembly will be used in relation to the risk of vandalism, puncture, cutting, or other acts which may expose the individual components of the assemblies to an ignition source. Notes 5, 6, 7, and 8 apply. 4 Testing is performed without upholstery. 5 The surface flammability and smoke emission characteristics shall be demonstrated to be permanent after dynamic testing according to ASTM D 3574–95, Test I2 (Dynamic Fatigue Test by the Roller Shear at Constant Force) or Test I3 (Dynamic Fatigue Test by Constant Force Pounding) both using Procedure B, except that the test samples shall be a minimum of 6 inches (154 mm) by 18 inches (457 mm) by the thickness of the material in its end use configuration, or multiples thereof. If Test I3 is used, the size of the indentor described in paragraph 96.2 shall be modified to accommodate the specified test specimen. 6 The surface flammability and smoke emission characteristics shall be demonstrated to be permanent by washing, if appropriate, according to FED-STD–191A Textile Test Method 5830. 7 The surface flammability and smoke emission characteristics shall be demonstrated to be permanent by dry-cleaning, if appropriate, according to ASTM D 2724–87. 8 Materials that cannot be washed or dry-cleaned shall be so labeled and shall meet the applicable performance criteria after being cleaned as recommended by the manufacturer. 9 Signage is not required to meet any flammability or smoke emission performance criteria specified in this Appendix. 10 Materials used to fabricate miscellaneous, discontinuous small parts (such as knobs, rollers, fasteners, clips, grommets, and small electrical parts) that will not contribute materially to fire growth in end use configuration are exempt from flammability and smoke emission performance requirements, provided that the surface area of any individual small part is less than 16 square inches (100 cm2 ) in end use configuration and an appropriate fire hazard analysis is conducted which addresses the location and quantity of the materials used, and the vulnerability of the materials to ignition and contribution to flame spread. 11 If the surface area of any individual small part is less than 16 square inches (100 cm2 ) in end use configuration, materials used to fabricate such a part may be tested in accordance with ASTM E 1354–99 as an alternative to both (a) the ASTM E 162–98 flammability test procedure, or the appropriate flammability test procedure otherwise specified in the table, and (b) the ASTM E 662–01 smoke generation test procedure. Testing shall be at 50 kW/m2 applied heat flux with a retainer frame. Materials tested in accordance with ASTM E 1354–99 shall meet the following performance criteria: average heat release rate (q
12 Carpeting used as a wall or ceiling covering shall be tested according to ASTM E 162–98 and ASTM E 662–01 and meet the respective criteria of Is less than or equal to 35 and Ds (1.5) less than or equal to 100 and Ds (4.0) less than or equal to 200. Notes 1 and 2 apply. 13 Floor covering shall be tested with padding in accordance with ASTM E 648–00, if the padding is used in the actual installation. 14 For double window glazing, only the interior glazing is required to meet the requirements specified herein. (The exterior glazing is not required to meet these requirements.) 15 Penetrations (ducts, etc.) shall be designed against acting as passageways for fire and smoke and representative penetrations shall be included as part of test assemblies. 16 A structural flooring assembly separating the interior of a vehicle from its undercarriage shall meet the performance criteria during a nominal test period as determined by the railroad. The nominal test period must be twice the maximum expected time period under normal circumstances for a vehicle to stop completely and safely from its maximum operating speed, plus the time necessary to evacuate all the vehicle's occupants to a safe area. The nominal test period must not be less than 15 minutes. Only one specimen need be tested. A proportional reduction may be made in the dimensions of the specimen provided it serves to truly test the ability of the structural flooring assembly to perform as a barrier against under-vehicle fires. The fire resistance period required shall be consistent with the safe evacuation of a full load of passengers from the vehicle under worst-case conditions. 17 Portions of the vehicle body which separate major ignition sources, energy sources, or sources of fuel-load from vehicle interiors, shall have sufficient fire endurance as determined by a fire hazard analysis acceptable to the railroad which addresses the location and quantity of the materials used, as well as vulnerability of the materials to ignition, flame spread, and smoke generation. These portions include equipment carrying portions of a vehicle's roof and the interior structure separating the levels of a bi-level car, but do not include a flooring assembly subject to Note 16. A railroad is not required to use the ASTM E 119–00a test method. [67 FR 42910, June 25, 2002] This appendix contains the minimum suspension system safety performance standards for Tier II passenger equipment as required by §238.427. These requirements shall be the basis for evaluating suspension system safety performance until an industry standard acceptable to FRA is developed and approved under the procedures provided in §238.21. (a) Passenger equipment suspension systems shall be designed to limit the lateral and vertical forces and lateral to vertical (L/V) ratios, for the time duration required to travel five feet at any operating speed or over any class of track, under all operating conditions as determined by the railroad, as follows: (1) The maximum single wheel lateral to vertical force (L/V) ratio shall not exceed Nadal's limit as follows: where: δ=flange angle (deg). μ=coefficient of friction of 0.5. (2) The net axle lateral force shall not exceed 0.5 times the static vertical axle load. (3) The vertical wheel/rail force shall not be less than or equal to 10 percent of the static vertical wheel load. (4) The sum of the vertical wheel loads on one side of any truck shall not be less than or equal to 20 percent of the static vertical axle load. This shall include the effect of a crosswind allowance as specified by the railroad for the intended service. (5) The maximum truck side L/V ratio shall not exceed 0.6. (6) When stopped on track with a uniform 6-inch superelevation, vertical wheel loads, at all wheels, shall not be less than or equal to 60 percent of the nominal vertical wheel load on level track. (b) For purposes of this appendix, wheel/rail force measurements shall be processed through a low pass filter having a cut-off frequency of 25 Hz. The requirements contained in this appendix are intended to address the structural and puncture resistance properties of the locomotive fuel tank to reduce the risk of fuel spillage to acceptable levels under derailment and minor collision conditions. (a) Structural strength—(1) Load case 1—minor derailment. The end plate of the fuel tank shall support a sudden loading of one-half the weight of the car body at a vertical acceleration of 2g, without exceeding the ultimate strength of the material. The load is assumed to be supported on one rail, within an eight inch band (plus or minus) at a point nominally above the head of the rail, on tangent track. Consideration should be given in the design of the fuel tank to maximize the vertical clearance between the top of the rail and the bottom of the fuel tank. (2) Load case 2—jackknifed locomotive. The fuel tank shall support transversely at the center a sudden loading equivalent to one half the weight of the locomotive at a vertical acceleration of 2g, without exceeding the ultimate strength of the material. The load is assumed to be supported on one rail, distributed between the longitudinal center line and the edge of the tank bottom, with a rail head surface of two inches. (3) Load case 3—side impact. In a side impact collision by an 80,000 pound Gross Vehicle Weight tractor/trailer at the longitudinal center of the fuel tank, the fuel tank shall withstand, without exceeding the ultimate strength, a 200,000 pound load (2.5g) distributed over an area of six inches by forty-eight inches (half the bumper area) at a height of thirty inches above the rail (standard DOT bumper height). (4) Load case 4—penetration resistance. The minimum thickness of the sides, bottom sheet and end plates of the fuel tank shall be equivalent to a (b) Sideswipe. To minimize fuel tank damage during sideswipes (railroad vehicles and grade crossings), all drain plugs, clean-out ports, inspection covers, sight glasses, gauge openings, etc., must be flush with the tank surface or adequately protected to avoid catching foreign objects or breakage. All seams must be protected or flush to avoid catching foreign objects. (c) Spill controls. Vents and fills shall be designed to avert spillage of fuel in the event of a roll over. (a) Any maintenance program has the following four basic objectives: (1) To ensure realization of the design level of safety and reliability of the equipment; (2) To restore safety and reliability to their design levels when deterioration has occurred; (3) To obtain the information necessary for design improvements of those items whose design reliability proves inadequate; and (4) To accomplish these goals at a minimum total cost, including maintenance costs and the costs of residual failures. (b) Reliability-based maintenance programs are based on the following general principles. A failure is an unsatisfactory condition. There are two types of failures: functional and potential. Functional failures are usually reported by operating crews. Conversely, maintenance crews usually discover potential failures. A potential failure is an identifiable physical condition, which indicates that a functional failure is imminent. The consequences of a functional failure determine the priority of a maintenance effort. These consequences fall into the following general categories: (1) Safety consequences, involving possible loss of the equipment and its occupants; (2) Operational consequences, which involve an indirect economic loss as well as the direct cost of repair; (3) Non-operational consequences, which involve only the direct cost of repair; or (4) Hidden failure consequences, which involve exposure to a possible multiple failure as a result of the undetected failure of a hidden function. (c) In a reliability-based maintenance program, scheduled maintenance is required for any item whose loss of function or mode of failure could have safety consequences. If preventative tasks cannot reduce the risk of such failures to an acceptable level, the item requires redesign to alter its failure consequences. Scheduled maintenance is also required for any item whose functional failure will not be evident to the operating crew, and therefore reported for corrective action. In all other cases the consequences of failure are economic, and maintenance tasks directed at preventing such failures must be justified on economic grounds. All failure consequences, including economic consequences, are established by the design characteristics of the equipment and can be altered only by basic changes in the design. Safety consequences can, in nearly all cases, be reduced to economic consequences by the use of redundancy. Hidden functions can usually be made evident by instrumentation or other design features. The feasibility and cost effectiveness of scheduled maintenance depend on the inspectablility of the component, and the cost of corrective maintenance depends on its failure modes and design reliability. (d) The design reliability of equipment or components will only be achieved with an effective maintenance program. This level of reliability is established by the design of each component and the manufacturing processes that produced it. Scheduled maintenance can ensure that design reliability of each component is achieved, but maintenance alone cannot yield a level of reliability beyond the design reliability. (e) When a maintenance program is developed, it includes tasks that satisfy the criteria for both applicability and effectiveness. The applicability of a task is determined by the characteristics of the component or equipment to be maintained. The effectiveness is stated in terms of the consequences that the task is designed to prevent. The basics types of tasks that are performed by maintenance personnel are each applicable under a unique set of conditions. Tasks may be directed at preventing functional failures or preventing a failure event consisting of the sequential occurrence of two or more independent failures which may have consequences that would not be produced by any of the failures occurring separately. The task types include: (1) Inspections of an item to find and correct any potential failures; (2) Rework/remanufacture/overhaul of an item at or before some specified time or age limit; (3) Discard of an item (or parts of it) at or before some specified life limit; and (4) Failure finding inspections of a hidden-function item to find and correct functional failures that have already occurred but were not evident to the operating crew. (b) Components or systems in a reliability-based maintenance program may be defined as simple or complex. A simple component or system is one that is subject to only one or a very few failure modes. This type of component or system frequently shows decreasing reliability with increasing operating age. An age/time limit may be used to reduce the overall failure rate of simple components or systems. Here, safe-life limits, fail-safe designs, or damage tolerance-based residual life calculations may be imposed on a single component or system to play a crucial role in controlling critical failures. Complex components or systems are ones whose functional failure may result from many different failure modes and show little or no decrease in overall reliability with increasing age unless there is a dominant failure mode. Therefore, age limits imposed on complex components or systems have little or no effect on their overall failure rates. (g) When planning the maintenance of a component or system to protect the safety and operating capability of the equipment, a number of items must be considered in the reliability assessment process: (1) The consequences of each type of functional failure; (2) The visibility of a functional failure to the operating crew (evidence that a failure has occurred); (3) The visibility of reduced resistance to failure (evidence that a failure is imminent); (4) The age-reliability characteristics of each item; (5) The economic tradeoff between the cost of scheduled maintenance and the benefits to be derived from it; (6) A multiple failure, resulting from a sequence of independent failures, may have consequences that would not be caused by any one of the individual failures alone. These consequences are taken into account in the definition of the failure consequences for the first failure; and (7) A default strategy governs decision making in the absence of full information or agreement. This strategy provides for conservative initial decisions, to be revised on the basis of information derived from operating experience. (h) A successful reliability-based maintenance program must be dynamic. Any prior-to-service program is based on limited information. As such, the operating organization must be prepared to collect and respond to real data throughout the operating life of the equipment. Management of the ongoing maintenance program requires an organized information system for surveillance and analysis of the performance of each item under actual operating conditions. This information is needed to determine the refinements and modifications to be made in the initial maintenance program (including the adjustment of task intervals) and to determine the need for product improvement. The information derived from operating experience may be considered to have the following hierarchy of importance in the reliability-based maintenance program: (1) Failures that could affect operating safety; (2) Failures that have operational consequences; (3) The failure modes of units removed as a result of failures; (4) The general condition of unfailed parts in units that have failed; and (5) The general condition of serviceable units inspected as samples. (i) At the time an initial maintenance program is developed, information is usually available to determine the tasks necessary to protect safety and operating capability. However, the information required to determine optimum task intervals and the applicability of age or life limits can be obtained only from age or life exploration after the equipment enters service. With any new equipment there is always the possibility of unanticipated failure modes. The first occurrence of any serious unanticipated failure should immediately set into motion the following improvement cycle: (1) An inspection task is developed to prevent recurrences while the item is being redesigned; (2) The operating fleet is modified to incorporate the redesigned part; and (3) After the modification has proved successful, the special inspection task is eliminated from the maintenance program. (j) Component improvements based on identification of the actual reliability characteristics of each item through age or life exploration, is part of the normal development cycle of all complex equipment.
Title 49: Transportation
PART 238—PASSENGER EQUIPMENT SAFETY STANDARDS
Subpart G—Specific Safety Planning Requirements for Tier II Passenger Equipment
§ 238.601 Scope.
§ 238.603 Safety planning requirements.
Appendix A to Part 238—Schedule of Civil Penalties1
------------------------------------------------------------------------ Willful Section Violation violation------------------------------------------------------------------------ SUBPART A_GENERAL238.15 Movement of power brake defects: (b) Improper movement from Class I or IA 5,000 7,500 brake test............................... (c) Improper movement of en route defect.. 2,500 5,000 (2), (3) Insufficient tag or record... 1,000 2,000 (4) Failure to determine percent 2,500 5,000 operative brake...................... (d) Failure to follow operating 5,000 7,500 restrictions............................. (e) Failure to follow restrictions for 2,500 5,000 inoperative front or rear unit...........238.17 Movement of other than power brake defects: \1\ (c)(4), (5) Insufficient tag or record.... 1,000 2,000 (d) Failure to inspect or improper use of 2,500 5,000 roller bearings.......................... (e) Improper movement of defective safety (1) appliances...............................238.19 Reporting and tracking defective equipment: (a) Failure to have reporting or tracking 7,500 11,000 system................................... (b) Failure to retain records............. 2,000 4,000 (c) Failure to make records available..... 1,000 2,000 (d) Failure to list power brake repair 2,000 4,000 points................................... SUBPART B_SAFETY PLANNING AND GENERAL REQUIREMENTS238.103 Fire protection plan/fire safety: (a) Failure to use proper materials....... 5,000 7,500 (b) Improper certification................ 1,000 2,000 (c) Failure to consider fire safety on new 5,000 7,500 equipment................................ (d) Failure to perform fire safety 5,000 7,500 analysis................................. (e) Failure to develop, adopt or comply 5,000 7,500 with procedures..........................238.105 Train electronic hardware and software safety: (a), (b), (c) Failure to develop and 7,500 11,000 maintain hardware and software safety.... (d) Failure to include required design 5,000 7,500 features................................. (e) Failure to comply with hardware and 5,000 7,500 software safety program..................238.107 Inspection, testing, and maintenance plan: (b) Failure to develop plan............... 7,500 11,000 (b)(1)-(5) Failure of plan to address 3,000 6,000 specific item............................ (d) Failure to conduct annual review...... 5,000 7,500238.109 Training, qualification, and designation program: (a) Failure to develop or adopt program... 7,500 11,000 (b)(1)-(4) Failure of plan to address 3,000 6,000 specific item............................ (b)(5)-(12) Failure to comply with 5,000 7,500 specific required provision of the program.................................. (b)(13) Failure to maintain adequate 2,500 5,000 records..................................238.111 Pre-revenue service acceptance testing plan: (a) Failure to properly test previously 7,500 11,000 used equipment........................... (b)(1) Failure to develop plan............ 7,500 11,000 (b)(2) Failure to submit plan to FRA...... 5,000 7,500 (b)(3) Failure to comply with plan........ 5,000 7,500 (b)(4) Failure to document results of 5,000 7,500 testing.................................. (b)(5) Failure to correct safety 5,000 7,500 deficiencies or impose operating limits.. (b)(6) Failure to maintain records........ 3,000 6,000 (b)(7) Failure to obtain FRA approval..... 5,000 7,500238.113 Emergency window exits................ 2,500 5,000238.115 Emergency lighting.................... 2,500 5,000238.117 Protection against personal injury.... 2,500 5,000238.119 Rim-stamped straight plate wheels..... 2,500 5,000 SUBPART C_SPECIFIC REQUIREMENTS FOR TIER I EQUIPMENT238.203 Static end strength................... 2,500 5,000238.205 Anti-climbing mechanism............... 2,500 5,000238.207 Link between coupling mechanism and 2,500 5,000 car body.....................................238.209 Forward-facing end structure of 2,500 5,000 locomotives..................................238.211 Collision posts....................... 2,500 5,000238.213 Corner posts.......................... 2,500 5,000238.215 Rollover strength..................... 2,500 5,000238.217 Side structure........................ 2,500 5,000238.219 Truck-to-car-body attachment.......... 2,500 5,000238.221 Glazing............................... 2,500 5,000238.223 Fuel tanks............................ 2,500 5,000238.225 Electrical System..................... 2,500 5,000238.227 Suspension system..................... 2,500 5,000238.231 Brake System (a)-(g), (i)-(n)......... 2,500 5,000 (h)(1), (2) Hand or parking brake missing 5,000 7,500 or inoperative........................... (h)(3) Hand or parking brake not applied 5,000 7,500 to hold equipment unattended on grade or prematurely released.....................238.233 Interior fittings and surfaces........ 2,500 7,500238.235 Doors................................. 2,500 5,000238.237 Automated monitoring.................. 2,500 5,000SUBPART D_INSPECTION, TESTING, AND MAINTENANCE REQUIREMENTS FOR TIER I EQUIPMENT238.303 Exterior mechanical inspection of passenger equipment: (a)(1) Failure to perform mechanical \1\ 2,000 4,000 inspection............................... (a)(2) Failure to inspect secondary brake 2,500 5,000 system................................... (b) Failure to perform inspection on car \1\ 2,000 4,000 added to train........................... (c) Failure to utilize properly qualified 2,000 4,000 personnel................................ (e)(1) Products of combustion not released 2,500 5,000 outside cab.............................. (e)(2) Battery not vented or gassing 2,500 5,000 excessively.............................. (e)(3) Coupler not in proper condition.... 2,500 5,000 (e)(4) No device under drawbar pins or 2,500 5,000 connection pins.......................... (e)(5) Suspension system and spring 2,500 5,000 rigging not in proper condition.......... (e)(6) Truck not in proper condition...... 2,500 5,000 (e)(7) Side bearing not in proper 2,500 5,000 condition................................ (e)(8) Wheel not in proper condition: (i), (iv) Flat spot(s) and shelled spot(s): (A) One spot 2\1/2\[inch] or more 2,500 5,000 but less than 3[inch] in length.... (B) One spot 3[inch] or more in 5,000 7,500 length............................. (C) Two adjoining spots each of 2,500 5,000 which is 2[inch] or more in length but less than 2\1/2\[inch] in length............................. (D) Two adjoining spots each of 5,000 7,500 which are at least 2[inch] in length, if either spot is 2\1/ 2\7[inch] or more in length........ (ii) Gouge or chip in flange: (A) More than 1\1/2\[inch] but less 2,500 5,000 than 1\5/8\[inch] in length; and more than \1/2\[inch] but less than \5/8\[inch] in width............... (B) 1\5/8\[inch] or more in length 5,000 7,500 and \5/8\[inch] or more in width... (iii) Broken rim........................ 5,000 7,500 (v) Seam in tread....................... 2,500 5,000 (vi) Flange thickness of: 2,500 5,000 (A) \7/8\[inch] or less but more than............................... (B) \13/16\[inch] or less........... 5,000 7,500 (vii) Tread worn hollow................. 2,500 5,000 (viii) Flange height of: (A) 1\1/2\[inch] or greater but less 2,500 5,000 than 1\5/8\[inch].................. (B) 1\5/8\[inch] or more............ 5,000 7,500 (ix) Rim thickness: (A) Less than 1[inch]............... 2,500 5,000 (B) \15/16\[inch] or less........... 5,000 7,500 (x) Crack or break in flange, tread, rim, plate, or hub: (A) Crack of less than 1[inch]...... 2,500 5,000 (B) Crack of 1[inch] or more........ 5,000 7,500 (C) Break........................... 5,000 7,500 (xi) Loose wheel........................ 5,000 7,500 (xii) Welded wheel...................... 5,000 7,500 (e)(10) Improper grounding or insulation.. 5,000 7,500 (e)(11) Jumpers or cable connections not 2,500 5,000 in proper condition...................... (e)(12) Door or cover plate not properly 2,500 5,000 marked................................... (e)(13) Buffer plate not properly placed.. 2,500 5,000 (e)(14) Diaphragm not properly placed or 2,500 5,000 aligned.................................. (e)(15) Secondary braking system not in 2,500 5,000 operating mode or contains known defect.. (e)(16) Roller bearings: (i) Overheated........................ 5,000 7,500 (ii) Cap screw loose or missing....... 2,500 5,000 (iii) Cap screw lock broken or missing 1,000 2,000 (iv) Seal loose, damaged, or leaks 2,500 5,000 lubricant............................ (g) Record of inspection: (1), (4) Failure to maintain record of 5,000 4,000 inspection........................... (2) Record contains insufficient 1,000 2,000 information..........................238.305 Interior mechanical inspection of passenger cars: (a) Failure to perform inspection......... \1\ 1,000 2,000 (b) Failure to utilize properly qualified 1,000 2,000 personnel................................ (c)(1) Failure to protect against personal 2,500 5,000 injury................................... (c)(2) Floors not free of condition that 2,500 5,000 creates hazard........................... (c)(3) Access to manual door release not 2,000 4,000 in place................................. (c)(4) Emergency equipment not in place... 1,000 2,000 (c)(5) Emergency brake valve not stenciled 2,500 5,000 or marked................................ (c)(6) Door or cover plates not properly 2,500 5,000 marked................................... (c)(7) Safety signage not in place or 1,000 2,000 legible.................................. (c)(8) Trap door unsafe or improperly 2,500 5,000 secured.................................. (c)(9) Vestibule steps not illuminated.... 2,000 4,000 (c)(10) Door not safely operate as 2,500 5,000 intended................................. (c)(11) Seat broken, loose, or not 2,500 5,000 properly attached........................ (e) Record of inspection: (1), (4) Failure to maintain record of 2,000 4,000 inspection........................... (2) Record contains insufficient 1,000 1,000 information.......................... (f) Record of inspection: (1), (4) Failure to maintain record of 2,000 4,000 inspection........................... (2) Record contains insufficient 1,000 2,000 information..........................238.307 Periodic mechanical inspection of passenger cars and unpowered vehicles: (a) Failure to perform periodic mechanical \1\ 2,500 5,000 inspection............................... (b) Failure to utilize properly qualified 2,500 5,000 personnel................................ (c)(1) Seat or seat attachment broken or 2,500 5,000 loose.................................... (c)(2) Luggage rack broken or loose....... 2,500 5,000 (c)(3) Bed, bunks, or restraints broken or 2,500 5,000 loose.................................... (c)(4) Emergency window exit not properly 2,500 5,000 operate.................................. (c)(5) Emergency lighting not operational. 2,500 5,000 (c)(6) Switches not in proper condition... 2,500 5,000 (c)(7) Coupler not in proper condition.... 2,500 5,000 (c)(8) Truck not equipped with securing 2,500 5,000 arrangement.............................. (c)(9) Truck center casting cracked or 5,000 7,500 broken................................... (c)(10) General conditions endangering 2,500 5,000 crew, passengers......................... (d) Manual door release not operate as 2,500 5,000 intended................................. (d)(1) Seat or seat attachment broken or 2,500 5,000 loose.................................... (d)(2) Luggage rack broken or loose....... 2,500 5,000 (d)(3) Bed, bunks, or restraints broken or 2,500 5,000 loose.................................... (d)(4) Emergency window exit not properly 2,500 5,000 operate.................................. (d)(5) Coupler not in proper condition.... 2,500 5,000 (e)(1) Failure to maintain record of 2,000 4,000 inspection............................... (i)-(iv) Record contains insufficient 1,000 2,000 information.......................... (f)(1) Record of inspection: (i) Failure to maintain record of 2,000 4,000 inspection........................... (ii) Record contains insufficient 1,000 2,000 information..........................238.309 Periodic brake equipment maintenance: (b) Failure to perform on MU locomotive... 2,500 5,000 (c) Failure to perform on conventional 2,500 5,000 locomotive............................... (d) Failure to perform on passenger 2,500 5,000 coaches or other unpowered vehicle....... (e) Failure to perform on cab car......... 2,500 5,000 (f) Record of periodic maintenance: (1), (2) Failure to maintain record or 2,000 4,000 stencil.............................. 238.311 Single car tests: (a) Failure to test in accord with 2,500 5,000 required procedure....................... (b) Failure to utilize properly qualified 2,500 5,000 personnel................................ (c), (e) Failure to perform single car 2,500 5,000 test..................................... (f) Improper movement of car for testing.. 2,000 4,000 (g) Failure to test after repair or 2,000 4,000 replacement of component.................238.313 Class I brake test: (a) Failure to perform on commuter or \1\ 10,000 15,000 short distance intercity passenger train. (b) Failure to perform on long-distance \1\ 10,000 15,000 intercity passenger train................ (c) Failure to perform on cars added to \1\ 5,000 7,500 passenger train.......................... (d) Failure to utilized properly qualified 5,000 7,500 personnel................................ (f) Passenger train used from Class I 5,000 7,500 brake test with less than 100% operative brakes................................... (g) Partial failure to perform inspection 5,000 7,500 on a passenger train..................... (3) Failure to adjust piston travel 2,500 5,000 (per car)............................ (h) Failure to maintain record............ 2,000 4,000238.315 Class IA brake test: (a) Failure to perform inspection......... \1\ 5,000 7,500 (d) Failure to utilize properly qualified 2,500 5,000 personnel................................ (e) Passenger train used from Class IA 5,000 7,500 brake test with improper percentage of operative brakes......................... (f) Partial failure to perform inspection 2,500 5,000 on passenger train.......................238.317 Class II brake test: (a) Failure to perform inspection......... \1\ 2,500 5,000 (b) Failure to utilize properly qualified 2,500 5,000 personnel................................ (c) Improper use of defective equipment 2,500 5,000 from Class II brake test.................238.319 Running brake tests: (a), (b) Failure to perform test.......... 2,000 4,000 SUBPART E_SPECIFIC REQUIREMENTS FOR TIER II PASSENGER EQUIPMENT238.403 Crash energy management............... 2,500 5,000238.405 Longitudinal static compressive 2,500 5,000 strength.....................................238.407 Anti-climbing mechanism............... 2,500 5,000238.409 Forward end structures of power car cabs: (a) Center collision post................. 2,500 5,000 (b) Side collision posts.................. 2,500 5,000 (c) Corner posts.......................... 2,500 5,000 (d) Skin.................................. 2,500 5,000238.411 Rear end structures of power car cabs: (a) Corner posts.......................... 2,500 5,000 (b) Collision posts....................... 2,500 5,000238.413 End structures of trailer cars........ 2,500 5,000238.415 Rollover strength..................... 2,500 5,000238.417 Side loads............................ 2,500 5,000238.419 Truck-to-car-body and truck component 2,500 5,000 attachment...................................238.421 Glazing: (b) End-facing exterior glazing........... 2,500 5,000 (c) Alternate glazing requirements........ 2,500 5,000 (d) Glazing securement.................... 1,000 2,000 (e) Stenciling............................ 2,500 5,000238.423 Fuel tanks: (a) External fuel tanks................... 2,500 5,000 (b) Internal fuel tanks................... 2,500 5,000238.425 Electrical system: (a) Circuit protection.................... 2,500 5,000 (b) Main battery system................... 2,500 5,000 (c) Power dissipation resistors........... 2,500 5,000 (d) Electromagnetic interference and 2,500 5,000 compatibility............................238.427 Suspension system..................... 2,500 5,000238.429 Safety Appliances: (a) Couplers.............................. 5,000 7,500 (b) Hand/parking brakes................... 5,000 7,500 (d) Handrail and handhold missing......... 2,500 5,000 (d)(1)-(8) Handrail or handhold 2,500 5,000 improper design...................... (e) Sill step missing..................... 5,000 7,500 (e)(1)-(11) Sill step improper design. 2,500 5,000 (g) Optional safety appliances............ 2,500 5,000238.431 Brake system.......................... 2,500 5,000238.433 Draft System.......................... 2,500 5,000238.435 Interior fittings and surfaces........ 2,500 5,000238.437 Emergency communication............... 2,500 5,000238.439 Doors: (a) Exterior side doors................... 2,500 5,000 (b) Manual override feature............... 2,500 5,000 (c) Notification to crew of door status... 2,500 5,000 (d) Emergency back-up power............... 2,500 5,000 (f) End door kick-out panel or pop-out 2,500 5,000 window................................... (g) Marking and instructions.............. [Reserved]238.441 Emergency roof hatch entrance location 2,500 5,000238.443 Headlights............................ 2,500 5,000238.445 Automated monitoring.................. 2,500 5,000238.447 Train operator's controls and power 2,500 5,000 car cab layout...............................SUBPART F_INSPECTION, TESTING, AND MAINTENANCE REQUIREMENTS FOR TIER II PASSENGER EQUIPMENT238.503 Inspection, testing, and maintenance requirements: (a) Failure to develop inspection, 10,000 15,000 testing, and maintenance program or obtain FRA approval...................... (b) Failure to comply with provisions of 5,000 7,500 the program.............................. (c) Failure to ensure equipment free of 2,500 5,000 conditions which endanger safety of crew, passengers, or equipment................. (d) Specific safety inspections: (1)(i) Failure to perform Class I 10,000 15,000 brake test or equivalent............. (1)(ii) Partial failure to perform 5,000 7,500 Class I brake test or equivalent..... (2)(i) Failure to perform exterior \1\ 2,000 4,000 mechanical inspection................ (2)(ii) Failure to perform interior \1\ 1,000 2,000 mechanical inspection................ (g) Failure to perform scheduled 2,500 5,000 maintenance as required in program....... (h) Failure to comply with training, 5,000 7,500 qualification and designation program.... (i) Failure to develop or comply with 2,500 5,000 standard procedures for performing inspection, tests, and maintenance....... (j) Failure to conduct annual review...... 5,000 7,500 (k) Failure to establish or utilize 5,000 7,500 quality control program.................. SUBPART G_SPECIFIC SAFETY PLANNING REQUIREMENTS FOR TIER II PASSENGER EQUIPMENT238.603 Safety plan: (a) Failure to develop safety operating 7,500 11,000 plan..................................... (b) Failure to develop procurement plan... 7,500 11,000 (1)-(7) Failure to develop portion of 2,500 5,000 plan................................. (c) Failure to maintain documentation. 2,500 5,000------------------------------------------------------------------------\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 $10,000 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 $27,000 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 § 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 § 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 § 238.429 concerning the substantive defective condition. The penalties listed for failure to perform the exterior and interior mechanical inspections and tests required under § 238.303 and § 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 § 238.313 through § 238.319 may be assessed for each train that is not properly inspected.
Appendix B to Part 238—Test Methods and Performance Criteria for the Flammability and Smoke Emission Characteristics of Materials Used in Passenger Cars and Locomotive Cabs
Appendix C to Part 238—Suspension System Safety Performance Standards
Appendix D to Part 238—Requirements for External Fuel Tanks on Tier I Locomotives
Appendix E to Part 238—General Principles of Reliability-Based Maintenance Programs
