[Code of Federal Regulations]

[Title 49, Volume 4]

[Revised as of October 1, 2005]

From the U.S. Government Printing Office via GPO Access

[CITE: 49CFR238.111]



[Page 664-665]

 

                        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;



[[Page 665]]



    (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;

    (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.