[Code of Federal Regulations]
[Title 49, Volume 4]
[Revised as of October 1, 2004]
From the U.S. Government Printing Office via GPO Access
[CITE: 49CFR238.111]

[Page 596-597]
 
                        TITLE 49--TRANSPORTATION
 
       CHAPTER II--FEDERAL RAILROAD ADMINISTRATION, DEPARTMENT OF 
                             TRANSPORTATION
 
PART 238_PASSENGER EQUIPMENT SAFETY STANDARDS--Table of Contents
 
           Subpart B_Safety Planning and General Requirements
 
Sec. 238.111  Pre-revenue service acceptance testing plan.

    (a) Passenger equipment that has previously been used in revenue 
service in the United States. For passenger equipment that has 
previously been used in revenue service in the United States, each 
railroad shall test the equipment on its system prior to placing such 
equipment in revenue service for the first time on its railroad to 
ensure the compatibility of the equipment with the railroad's operating 
system (including the track, and signal system). A description of such 
testing shall be retained by the railroad and made available to FRA for 
inspection and copying upon request. For purposes of this paragraph, 
passenger equipment that has previously been used in revenue service in 
the United States means:
    (1) The actual equipment used in such service;
    (2) Equipment manufactured identically to that actual equipment; and
    (3) Equipment manufactured similarly to that actual equipment with 
no material differences in safety-critical components or systems.
    (b) Passenger equipment that has not been used in revenue service in 
the United States. Before using passenger equipment for the first time 
on its system that has not been used in revenue service in the United 
States, each railroad shall:
    (1) Prepare a pre-revenue service acceptance testing plan for the 
equipment which contains the following elements:
    (i) An identification of any waivers of FRA or other Federal safety 
regulations required for the testing or for revenue service operation of 
the equipment;
    (ii) A clear statement of the test objectives. One of the principal 
test objectives shall be to demonstrate that the equipment meets the 
safety requirements specified in this part when operated in the 
environment in which it is to be used;
    (iii) A planned schedule for conducting the testing;
    (iv) A description of the railroad property or facilities to be used 
to conduct the testing;
    (v) A detailed description of how the testing is to be conducted, 
including a description of the criteria to be used to evaluate the 
equipment's performance;
    (vi) A description of how the test results are to be recorded;

[[Page 597]]

    (vii) A description of any special instrumentation to be used during 
the tests;
    (viii) A description of the information or data to be obtained;
    (ix) A description of how the information or data obtained is to be 
analyzed or used;
    (x) A description of any criteria to be used as safety limits during 
the testing;
    (xi) A description of the criteria to be used to measure or 
determine the success or failure of the tests. If acceptance is to be 
based on extrapolation of less than full-level testing results, the 
analysis to be done to justify the validity of the extrapolation shall 
be described;
    (xii) Quality control procedures to ensure that the inspection, 
testing, and maintenance procedures are followed;
    (xiii) Criteria to be used for the revenue service operation of the 
equipment; and
    (xiv) A description of any testing of the equipment that has 
previously been performed.
    (2) Submit a copy of the plan to FRA at least 30 days prior to 
testing the equipment and include with that submission notification of 
the times and places of the pre-revenue service tests to permit FRA 
observation of such tests. For Tier II passenger equipment, the railroad 
shall obtain FRA approval of the plan under the procedures specified in 
Sec. 238.21.
    (3) Comply with the plan, including fully executing the tests 
required by the plan.
    (4) Document in writing the results of the tests. For Tier II 
passenger equipment, the railroad shall report the results of the tests 
to the FRA Associate Administrator for Safety at least 90 days prior to 
its intended operation of the equipment in revenue service.
    (5) Correct any safety deficiencies identified in the design of the 
equipment or in the inspection, testing, and maintenance procedures, 
uncovered during the testing. If safety deficiencies cannot be corrected 
by design changes, the railroad shall impose operational limitations on 
the revenue service operation of the equipment that are designed to 
ensure that the equipment can operate safely. For Tier II passenger 
equipment, the railroad shall comply with any operational limitations 
imposed by the FRA Associate Administrator for Safety on the revenue 
service operation of the equipment for cause stated following FRA review 
of the results of the test program. This section does not restrict a 
railroad from petitioning FRA for a waiver of a safety regulation under 
the procedures specified in part 211 of this chapter.
    (6) Make the plan and documentation kept pursuant to that plan 
available for inspection and copying by FRA upon request.
    (7) For Tier II passenger equipment, obtain approval from the FRA 
Associate Administrator for Safety prior to placing the equipment in 
revenue service. The Associate Administrator grants such approval upon a 
showing of the railroad's compliance with the applicable requirements of 
this part.
    (c) If a railroad plans a major upgrade or introduction of new 
technology on Tier II passenger equipment that has been used in revenue 
service in the United States and that affects a safety system on such 
equipment, the railroad shall follow the procedures specified in 
paragraph (b) of this section prior to placing the equipment in revenue 
service with such a major upgrade or introduction of new technology.