80_FR_73003 80 FR 72779 - Information and Guidance on the Inspection, Testing, and Maintenance of Emergency Window Exits on Railroad Passenger Cars

80 FR 72779 - Information and Guidance on the Inspection, Testing, and Maintenance of Emergency Window Exits on Railroad Passenger Cars

DEPARTMENT OF TRANSPORTATION
Federal Railroad Administration

Federal Register Volume 80, Issue 224 (November 20, 2015)

Page Range72779-72781
FR Document2015-29641

FRA has become aware of occurrences when emergency window exits on passenger cars did not operate as intended because the emergency pull handle became detached from the window gasket when pulled, the gasket tore into multiple pieces, or the gasket was otherwise difficult to remove. While investigating these occurrences, FRA discovered that some railroads were not following, or did not clearly understand, the existing Federal regulations on the inspection, testing, and maintenance (ITM) of these window exits, particularly the requirement that a railroad must utilize a test sampling method that conforms with a formalized statistical test method. FRA does not believe any of these occurrences involved passengers or precluded passengers from opening a window in an emergency situation. However, in light of these concerns, FRA is issuing this document to provide information and guidance to railroads operating passenger train service on the existing regulatory requirements regarding ITM of emergency window exits.

Federal Register, Volume 80 Issue 224 (Friday, November 20, 2015)
[Federal Register Volume 80, Number 224 (Friday, November 20, 2015)]
[Notices]
[Pages 72779-72781]
From the Federal Register Online  [www.thefederalregister.org]
[FR Doc No: 2015-29641]


-----------------------------------------------------------------------

DEPARTMENT OF TRANSPORTATION

Federal Railroad Administration


Information and Guidance on the Inspection, Testing, and 
Maintenance of Emergency Window Exits on Railroad Passenger Cars

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

ACTION: Notice.

-----------------------------------------------------------------------

SUMMARY: FRA has become aware of occurrences when emergency window 
exits on passenger cars did not operate

[[Page 72780]]

as intended because the emergency pull handle became detached from the 
window gasket when pulled, the gasket tore into multiple pieces, or the 
gasket was otherwise difficult to remove. While investigating these 
occurrences, FRA discovered that some railroads were not following, or 
did not clearly understand, the existing Federal regulations on the 
inspection, testing, and maintenance (ITM) of these window exits, 
particularly the requirement that a railroad must utilize a test 
sampling method that conforms with a formalized statistical test 
method. FRA does not believe any of these occurrences involved 
passengers or precluded passengers from opening a window in an 
emergency situation. However, in light of these concerns, FRA is 
issuing this document to provide information and guidance to railroads 
operating passenger train service on the existing regulatory 
requirements regarding ITM of emergency window exits.

FOR FURTHER INFORMATION CONTACT: Mr. Daniel Knote, Staff Director, 
Passenger Rail Division, Office of Railroad Safety, FRA, 1200 New 
Jersey Avenue SE., Washington, DC 20590, (631) 965-1827; or Mr. Michael 
Hunter, Trial Attorney, Office of Chief Counsel, FRA, 1200 New Jersey 
Avenue SE., Washington, DC 20590, (202) 493-0368.

SUPPLEMENTARY INFORMATION: 

I. Historical Background on Existing Requirements

    The current ITM requirements for emergency window exit operability 
are found in Title 49 Code of Federal Regulations (CFR) 238.113(e) and 
238.307(c)(4)(i)(B).\1\ These sections require each passenger railroad 
to test (at an interval not to exceed 184 days, as part of the periodic 
mechanical inspection) a representative sample \2\ of its passenger car 
emergency window exits to determine they ``operate as intended'' and 
``properly operate,'' respectively. Title 49 CFR 238.113(e) further 
requires the sampling method to ``conform with a formalized statistical 
test method.''
---------------------------------------------------------------------------

    \1\ Before FRA's November 29, 2013, Passenger Train Emergency 
Systems II final rule (78 FR 71786), the requirement to test a 
representative sample of emergency window exits was in 49 CFR 
239.107(b)(2) and required each passenger railroad ``to verify that 
they are operating properly.''
    \2\ The requirement to test a representative sample of emergency 
window exits, which was based in large part on Emergency Order No. 
20 (EO 20), was codified by FRA's May 4, 1998, Passenger Train 
Emergency Preparedness final rule (E-Prep final rule). See 63 FR 
24630, 24669-24670; EO 20, Notice No. 1, 61 FR 6876, 6881, Feb. 22, 
1996, and Notice No. 2, 61 FR 8703, Mar. 5, 1996.
---------------------------------------------------------------------------

    As FRA explained in Emergency Order 20 (EO 20), a February 16, 
1996, passenger train accident in Silver Spring, Maryland, involving a 
cab car on fire that filled with smoke, raised concerns that at least 
some of the train occupants could not exit through the windows.\3\ This 
accident demonstrated why emergency windows must be readily 
identifiable and operable when needed.
---------------------------------------------------------------------------

    \3\ The National Transportation Safety Board's (NTSB) Railroad 
Accident Report on this accident reported that it took a Safety 
Board investigator several minutes to remove the left-side, front 
emergency window exit of the last passenger coach in the train's 
consist. See NTSB/RAR-97/02 report at 17 (July 3, 1997). An NTSB 
investigator could not remove the same car's right-side, rear 
emergency window exit, which was later removed by another 
investigator after approximately 3 minutes of physical exertion. The 
report further noted that the lubricant used to install these 
windows had hardened over time.
---------------------------------------------------------------------------

    FRA has continually reminded railroads that these windows ``provide 
an additional means of egress in life-threatening situations requiring 
very rapid exit, such as an on-board fire or submergence of the car in 
a body of water.'' See Passenger Train Emergency Systems (PTES) II 
final rule (78 FR 71786, 71802). In FRA's February 1, 2008, PTES final 
rule, FRA reminded railroads of the requirement to test emergency 
window exits using commonly accepted sampling techniques \4\ to 
determine how many windows to test. See 73 FR 6370, 6384. In doing so, 
FRA reemphasized that sampling should be conducted to meet a 95-percent 
confidence level that no defective units remain after completing the 
tests for the windows in the sample. See id. Further, in the Passenger 
Train Emergency Preparedness (E-Prep) final rule, FRA stated that each 
railroad should ``properly consider the nature and characteristics of 
its operations and passenger equipment to plan for routine and 
scheduled inspection, maintenance, and repair.'' 63 FR 24669. FRA also 
made clear its expectations regarding the inspection and maintenance of 
emergency exits:

    \4\ Railroads should conduct their sampling under either 
Military Standard MIL-STD-105(E), ``Sampling for Attributes'' 
(formally cancelled by the U.S. Department of Defense, but still 
acceptable for FRA's representative sampling purposes) or acceptable 
non-Government, standard sampling procedures and tables for 
inspection by attributes, such as the American National Standards 
Institute (ANSI)/ASQC Z1.4-1993, ``Sampling Procedures for 
Inspections by Attributes.'' See 73 FR 6370, 6384.

    Visual inspections must be performed periodically to verify that 
no emergency exit has a broken release mechanism or other overt sign 
that would render it unable to function in an emergency. 
Maintenance, including lubrication or scheduled replacement of 
depreciated parts or mechanisms, must be performed in accordance 
with standard industry practice and/or manufacturer recommendations. 
All emergency exits that are found during the course of an 
inspection or maintenance cycle to be broken, disabled, or otherwise 
incapable of performing their intended safety function must be 
repaired before the railroad may return the car to passenger 
---------------------------------------------------------------------------
service.

Id.

II. FRA Review of Railroads' Emergency Window Testing Programs

    When FRA reviewed various railroads' emergency window exit testing 
programs, it discovered that some railroads were not following, or did 
not clearly understand, the Federal regulations on the ITM of emergency 
window exits. This was particularly true with respect to adopting a 
sampling method that conforms with a formalized statistical test method 
and to recording window test failures. As a result, FRA is providing 
this guidance to ensure all railroads have in place an appropriate 
window testing program and understand which window tests they must 
record as failures.
    Specifically, FRA considers a window to have failed testing if the 
window or a window component (e.g., gasket, pull handle) does not 
operate as intended, considering both the window design and whether the 
window removal was ``rapid and easy'' when opened in a manner 
simulating a passenger trying to remove the window in an emergency 
(e.g., to escape a car on fire). Examples of window test failures some 
railroads were not categorizing as such include situations where the 
emergency pull handle separated from the gasket, or where the gasket 
tore or needed to be removed in multiple pieces.\5\ In addition, FRA 
observed one railroad testing its windows by carefully pulling out the 
window gasket to try to avoid detaching the handle or damaging the 
gasket. FRA recognizes that many railroads prefer to reinstall the same 
gaskets and handles for the emergency windows after performing the 
tests. However, FRA makes clear it does not consider such a careful 
test to be properly conducted because a passenger would not act that 
way in an emergency.
---------------------------------------------------------------------------

    \5\ FRA makes clear that for any window that is intentionally 
designed with one or more counter-intuitive features (such as an 
emergency pull handle that separates from the gasket when pulled, or 
a gasket that needs to be removed in multiple pieces), the railroad 
must ensure that such features are clearly explained in the required 
operating instructions posted for the affected emergency window 
exits.
---------------------------------------------------------------------------

    FRA also discovered that some railroads believed they were not 
required to formally adopt a sampling program because they were testing 
100 percent of their emergency window exits over a 1- to 2-year period. 
FRA

[[Page 72781]]

appreciates these railroads' efforts for what they believed was going 
above and beyond what is considered a reasonable sample size. However, 
FRA makes clear that for a railroad to truly test 100 percent of its 
windows, the railroad would need to test all of the emergency windows 
in each of its cars at least once during a 184-day period. FRA also 
clarifies that simply testing 100 percent of the emergency window exits 
does not necessarily ensure that the windows will operate as intended 
when needed in an emergency situation. As discussed in this document, 
it is how a railroad characterizes the results of those tests and what 
a railroad does with the results of those tests that will help ensure 
the windows will operate as intended.
    Choosing the number of windows to test (whether it is 20 percent or 
100 percent) is only the first step. Second, if testing fewer than 100 
percent of the windows in a 184-day period, railroads must also ensure 
the sample is representative of the various window types in its fleet 
or fleets.\6\ Third, even if a railroad is testing 100 percent of its 
emergency window exits, it must have a program in place that requires 
monitoring of the tests to determine whether the test results 
demonstrate a 95-percent confidence level that all emergency window 
exits operate as intended. Although EO 20, Notice No. 1, would have 
required testing all window exits on a specific series or type of car 
if one such car had a defective window exit, the amended order, Notice 
No. 2, permitted the use of commonly accepted sampling techniques to 
determine how many additional windows to test. See 61 FR 8703, 8705. In 
general, these principles require that the greater the percentage of 
windows initially found defective, the greater the percentage of 
windows the railroad will have to test.
---------------------------------------------------------------------------

    \6\ Railroads can easily set up a simple spreadsheet (using off-
the-shelf software) to generate a random sample that includes 
windows representing all of the window types in a railroad's fleet 
or fleets.
---------------------------------------------------------------------------

    FRA expects all railroads to: (1) Conduct periodic reviews of 
records of window testing using an acceptable attribute sampling method 
to determine whether they are achieving a 95-percent confidence level 
that no defective units remain; \7\ (2) assess the probable cause of 
any window test failures; and (3) address any such failures. In setting 
up their testing programs, railroads must set the confidence level of 
the sample at 95 percent or more and set the defect (failure) rate at 
less than 5 percent.\8\ To perform their analyses, railroads must 
review the test results at the end of a sampling period (at a minimum) 
and take further action if the testing reveals that 5 percent or more 
of the windows in the sample are defective. When assessing the probable 
cause(s) of any window test failures, railroads should consider whether 
the failures are a result of design issues, useful life issues, or 
other systemic issues common to a particular window design or windows 
in service of a similar age. If the test failure appears to be due to a 
systemic issue, then the potential exists for the failure to repeatedly 
present itself. In such cases, FRA strongly urges that the railroad 
consider replacing all the emergency windows or window components of 
like design or similar service age, as applicable.
---------------------------------------------------------------------------

    \7\ Although the goal is to have no defective units remaining in 
a railroad's emergency window population, FRA recognizes that 
because the railroad is performing a statistical sample that 
achieves a 95-percent confidence level, there will always be a 
possibility that some defective units remain.
    \8\ These numbers are not intended always to add up to 100.
---------------------------------------------------------------------------

    As stated in the E-Prep final rule, a railroad must repair any 
window found to be broken, disabled, or otherwise incapable of 
performing its intended safety function before the railroad may return 
the car to passenger service. See 63 FR 24669. This remains true even 
when the number of windows that failed is below the 5-percent defect 
rate threshold. Railroads should also document the remedial action(s) 
planned or taken to address the window test failures, and create a 
timetable for window inspection and replacement for the window type or 
car series to remedy the problem in the most expedient manner.

III. Maintenance of Emergency Window Exits

    As noted above, FRA expects railroads to periodically perform 
visual inspections to verify no emergency window exit has a broken 
release mechanism or other overt indication that would render it unable 
to function in an emergency. Ideally, railroads would incorporate these 
visual inspections as part of the interior calendar day mechanical 
inspections of passenger cars, since they already need to inspect the 
window markings daily to ensure that the safety-related signage is in 
place and legible. See 49 CFR 238.305(c)(7). As demonstrated by the 
1996 accident that led to EO 20 (in which some of the window gaskets 
could not readily be pulled out due to lack of lubrication and 
maintenance), it is important that maintenance, including lubrication 
or scheduled replacement of degraded parts or mechanisms, be performed 
using standard industry practice and/or manufacturer recommendations to 
ensure that window exits will operate as intended during an emergency. 
This will also help to prevent a situation where a passenger in an 
emergency would panic or be delayed by trying to determine how to 
remove a window after the pull handle breaks off or a piece of the 
gasket tears off, for example.
    Finally, FRA discovered in its investigations that some employees 
were installing the window gaskets with a sharp tool (such as a 
screwdriver), which may have damaged the gaskets and may explain why, 
when pulled, the gaskets were not coming out in one piece as designed. 
Therefore, to ensure that railroads perform proper maintenance, the 
railroads should ensure that employees have and use proper tools when 
installing emergency windows to avoid damaging the window gaskets.
    As noted previously, FRA is issuing this document to provide basic 
information and guidance to railroads operating passenger train service 
to ensure that they understand the existing regulatory requirements 
regarding the ITM of emergency window exits. FRA believes that 
compliance with the existing emergency window exit regulatory 
requirements will help ensure the safety of the Nation's railroad 
employees, passengers, and the general public. FRA may take other 
appropriate actions it deems necessary to ensure the highest level of 
safety, including pursuing other corrective measures under its rail 
safety authority.

    Issued in Washington, DC, on November 17, 2015.
Robert C. Lauby,
Associate Administrator for Railroad Safety Chief Safety Officer.
[FR Doc. 2015-29641 Filed 11-19-15; 8:45 am]
BILLING CODE 4910-06-P



                                                                          Federal Register / Vol. 80, No. 224 / Friday, November 20, 2015 / Notices                                                72779

                                              County, Pa.; Consumptive Use of Up to        Eveleth from the south end of the                                  5. Historic and Cultural Resources:
                                              4.9990 mgd; Approval Date: October 30,       Midway neighborhood to the existing                              Section 106 of the National Historic
                                              2015.                                        MN 135 exit ramp for the start of new                            Preservation Act of 1966, as amended
                                                 Authority: Pub. L. 91–575, 84 Stat. 1509  four-lane construction. The new                                  [16 U.S.C. 470f]; Archeological
                                              et seq., 18 CFR parts 806, 807, and 808.     alignment, consisting of approximately                           Resources Protection Act of 1977 [16
                                                                                           two and one-half miles of new four-lane                          U.S.C. 470aa–470mm]; Archeological
                                                 Dated: November 17, 2015.
                                                                                           roadway and non-motorized                                        and Historic Preservation Act [16 U.S.C.
                                              Stephanie L. Richardson,
                                                                                           accommodations, responds to the loss of                          469–469c].
                                              Secretary to the Commission.                 roadway easement for existing US 53,                               6. Social and Economic: Farmland
                                              [FR Doc. 2015–29672 Filed 11–19–15; 8:45 am] meets regional and inter-regional system                         Policy Protection Act (FPPA) [7 U.S.C.
                                              BILLING CODE 7040–01–P                       performance targets, and maintains local                         4201–4209].
                                                                                           connectivity.                                                      7. Wetlands and Water Resources:
                                                                                              The FHWA signed a combined Final                              Clean Water Act (Section 404, Section
                                              DEPARTMENT OF TRANSPORTATION Environmental Impact Statement (FEIS)                                            401, Section 319) [33 U.S.C. 1251–
                                                                                           and Record of Decision (ROD) for the                             1387]; Land and Water Conservation
                                              Federal Highway Administration               project on September 10, 2015. On                                Fund (LWCF) [16 U.S.C. 4601–4604];
                                                                                           September 25, 2015, FHWA published a                             Safe Drinking Water Act (SDWA) [42
                                              Notice of Final Federal Agency Actions                                                                        U.S.C. 300f–300j–26]; Rivers and
                                                                                           ‘‘Notice of Availability for the combined
                                              on Proposed Highway in Minnesota                                                                              Harbors Act of 1899 [33 U.S.C. 401–406;
                                                                                           FEIS and ROD in the Federal Register
                                              AGENCY: Federal Highway                      [80 FR 57807]. The USACE has taken                               Wetlands Mitigation [23 U.S.C. 119(g)
                                              Administration (FHWA), US DOT.               final agency actions with the meaning of                         and 133(b)(14)].
                                              ACTION: Notice of limitations on claims      23 U.S.C. 139(l)(1) by issuing a Section                           8. Executive Orders: E.O. 11990
                                              for judicial reviews by FHWA.                404 permit for the project. The actions                          Protection of Wetlands; E.O. 11988
                                                                                           by FHWA and USACE, associated final                              Floodplain Management; E.O. 12898,
                                              SUMMARY: This notice announces actions actions by other Federal agencies, and                                 Federal Actions to Address
                                              taken by FHWA that are final within the the laws under which such actions were                                Environmental Justice in Minority
                                              meaning of 23 U.S.C. 139(l)(1). The          taken, are described in the FHWA and                             Populations and Low Income
                                              actions relate to a proposed highway         USACE decisions and its project                                  Populations; E.O. 11593 Protection and
                                              project, United States Highway 53            records, referenced as FHWA Final EIS                            Enhancement of Cultural Resources;
                                              between Virginia and Eveleth, in Saint       Number 20150270 and USACE Permit                                 E.O. 13007 Indian Sacred Sites; E.O.
                                              Louis County in the State of Minnesota. Number 2011–00769–DWW. That                                           13287 Preserve America; E.O. 13175
                                              Those actions grant licenses, permits,       information is available by contacting                           Consultation and Coordination with
                                              and approvals for the project.               FHWA or USACE at the address                                     Indian Tribal Governments; E.O. 11514
                                              DATES: By this notice, FHWA is advising provided above.                                                       Protection and Enhancement of
                                              the public of the final agency actions          Information about the project and                             Environmental Quality; E.O. 13112
                                              subject to 23 U.S.C. 139(l)(1). A claim      project records are also available from                          Invasive Species.
                                              seeking judicial review of the Federal       MnDOT at the addresses provided                                  (Catalog of Domestic Assistance Program
                                              agency actions on the highway project        above. The FEIS and ROD can be                                   Number 20.205, Highway Planning and
                                              will be barred unless the claim is filed     viewed at and downloaded from the                                Construction. The regulations implementing
                                              on or before April 18, 2016. If the          MnDOT project Web site (http://                                  Executive Order 12372 regarding
                                              Federal law that authorizes judicial         www.dot.state.mn.us/d1/projects/                                 intergovernmental consultation on Federal
                                              review of a claim provides a time period hwy53relocation/eis.html). The Section                               programs and activities apply to this
                                                                                                                                                            program.)
                                              of less than 150 days for filing such a      404 permit is available from USACE
                                              claim, then that shorter time period still contact above and is typically posted at                             Authority: 23 U.S.C. 139(l)(1).
                                              applies.                                     the USACE Saint Paul District Web site                             Issued on: November 6, 2015.
                                              FOR FURTHER INFORMATION CONTACT: For         (http://www.mvp.usace.army.mil/                                  David J Scott,
                                              FHWA: Philip Forst, Environmental            Missions/Regulatory.aspx). This notice                           Assistant Division Administrator, Saint Paul,
                                              Specialist, FHWA, Minnesota Division,        applies to the FEIS and ROD [80 FR                               Minnesota.
                                              380 Jackson Street, Suite 500, Saint         57807] as well as all Federal agency                             [FR Doc. 2015–29412 Filed 11–19–15; 8:45 am]
                                              Paul, MN 55101, phil.forst@dot.gov,          final actions taken since the issuance of                        BILLING CODE 4910–RY–P
                                              Phone: (651) 291–6100. For the United        the Federal Register notice described
                                              States Army Corps of Engineers               above. The laws under which actions
                                              (USACE): Daryl Wierzbinski, Saint Paul were taken include, but are not limited                                DEPARTMENT OF TRANSPORTATION
                                              District Regulatory Project Manager          to:
                                              Duluth Office, 600 South Lake Avenue,           1. General: National Environmental                            Federal Railroad Administration
                                              Suite 211, Duluth, MN 55802, Phone:          Policy Act (NEPA) [42 U.S.C. 4321–
                                              (218)720–5291. For the Minnesota             4351]; Federal-Aid Highway Act [23                               Information and Guidance on the
                                              Department of Transportation, Pat            U.S.C. 109 and 23 U.S.C. 128].                                   Inspection, Testing, and Maintenance
                                              Huston, Project Director, Minnesota             2. Air: Clean Air Act [42 U.S.C. 7401–                        of Emergency Window Exits on
                                              Department of Transportation (MnDOT), 7671q]                                                                  Railroad Passenger Cars
                                              District 1, 1123 Mesaba Avenue, Duluth,         3. Land: Section 4(f) of the                                  AGENCY: Federal Railroad
tkelley on DSK3SPTVN1PROD with NOTICES




                                              MN 55811, Phone: (218) 725–2707.             Department of Transportation Act of                              Administration (FRA) Department of
                                              SUPPLEMENTARY INFORMATION: Notice is         1966 [49 U.S.C. 303; 23 U.S.C. 138].                             Transportation (DOT).
                                              hereby given that FHWA and USACE                4. Wildlife: Endangered Species Act                           ACTION: Notice.
                                              have taken final agency actions by           [16 U.S.C. 1531–1544 and Section
                                              issuing approvals for the following          1536]; Fish and Wildlife Coordination                            SUMMARY:  FRA has become aware of
                                              transportation project in the State of       Act [16 U.S.C. 661–667d]; Migratory                              occurrences when emergency window
                                              Minnesota: US 53 between Virginia and Bird Treaty Act [16. U.S.C. 703–712].                                   exits on passenger cars did not operate


                                         VerDate Sep<11>2014   17:39 Nov 19, 2015   Jkt 238001   PO 00000   Frm 00100   Fmt 4703   Sfmt 4703   E:\FR\FM\20NON1.SGM   20NON1


                                              72780                       Federal Register / Vol. 80, No. 224 / Friday, November 20, 2015 / Notices

                                              as intended because the emergency pull                  passenger train accident in Silver                     and/or manufacturer recommendations. All
                                              handle became detached from the                         Spring, Maryland, involving a cab car                  emergency exits that are found during the
                                              window gasket when pulled, the gasket                   on fire that filled with smoke, raised                 course of an inspection or maintenance cycle
                                                                                                                                                             to be broken, disabled, or otherwise
                                              tore into multiple pieces, or the gasket                concerns that at least some of the train
                                                                                                                                                             incapable of performing their intended safety
                                              was otherwise difficult to remove.                      occupants could not exit through the                   function must be repaired before the railroad
                                              While investigating these occurrences,                  windows.3 This accident demonstrated                   may return the car to passenger service.
                                              FRA discovered that some railroads                      why emergency windows must be
                                              were not following, or did not clearly                  readily identifiable and operable when                 Id.
                                              understand, the existing Federal                        needed.                                                II. FRA Review of Railroads’
                                              regulations on the inspection, testing,                   FRA has continually reminded                         Emergency Window Testing Programs
                                              and maintenance (ITM) of these window                   railroads that these windows ‘‘provide
                                                                                                                                                                When FRA reviewed various
                                              exits, particularly the requirement that a              an additional means of egress in life-
                                                                                                                                                             railroads’ emergency window exit
                                              railroad must utilize a test sampling                   threatening situations requiring very                  testing programs, it discovered that
                                              method that conforms with a formalized                  rapid exit, such as an on-board fire or                some railroads were not following, or
                                              statistical test method. FRA does not                   submergence of the car in a body of                    did not clearly understand, the Federal
                                              believe any of these occurrences                        water.’’ See Passenger Train Emergency                 regulations on the ITM of emergency
                                              involved passengers or precluded                        Systems (PTES) II final rule (78 FR                    window exits. This was particularly true
                                              passengers from opening a window in                     71786, 71802). In FRA’s February 1,                    with respect to adopting a sampling
                                              an emergency situation. However, in                     2008, PTES final rule, FRA reminded                    method that conforms with a formalized
                                              light of these concerns, FRA is issuing                 railroads of the requirement to test                   statistical test method and to recording
                                              this document to provide information                    emergency window exits using                           window test failures. As a result, FRA
                                              and guidance to railroads operating                     commonly accepted sampling                             is providing this guidance to ensure all
                                              passenger train service on the existing                 techniques 4 to determine how many                     railroads have in place an appropriate
                                              regulatory requirements regarding ITM                   windows to test. See 73 FR 6370, 6384.                 window testing program and
                                              of emergency window exits.                              In doing so, FRA reemphasized that                     understand which window tests they
                                              FOR FURTHER INFORMATION CONTACT: Mr.                    sampling should be conducted to meet                   must record as failures.
                                              Daniel Knote, Staff Director, Passenger                 a 95-percent confidence level that no                     Specifically, FRA considers a window
                                              Rail Division, Office of Railroad Safety,               defective units remain after completing                to have failed testing if the window or
                                              FRA, 1200 New Jersey Avenue SE.,                        the tests for the windows in the sample.               a window component (e.g., gasket, pull
                                              Washington, DC 20590, (631) 965–1827;                   See id. Further, in the Passenger Train                handle) does not operate as intended,
                                              or Mr. Michael Hunter, Trial Attorney,                  Emergency Preparedness (E-Prep) final                  considering both the window design
                                              Office of Chief Counsel, FRA, 1200 New                  rule, FRA stated that each railroad                    and whether the window removal was
                                              Jersey Avenue SE., Washington, DC                       should ‘‘properly consider the nature                  ‘‘rapid and easy’’ when opened in a
                                              20590, (202) 493–0368.                                  and characteristics of its operations and              manner simulating a passenger trying to
                                              SUPPLEMENTARY INFORMATION:                              passenger equipment to plan for routine                remove the window in an emergency
                                                                                                      and scheduled inspection, maintenance,                 (e.g., to escape a car on fire). Examples
                                              I. Historical Background on Existing                    and repair.’’ 63 FR 24669. FRA also                    of window test failures some railroads
                                              Requirements                                            made clear its expectations regarding                  were not categorizing as such include
                                                 The current ITM requirements for                     the inspection and maintenance of                      situations where the emergency pull
                                              emergency window exit operability are                   emergency exits:                                       handle separated from the gasket, or
                                              found in Title 49 Code of Federal                         Visual inspections must be performed                 where the gasket tore or needed to be
                                              Regulations (CFR) 238.113(e) and                        periodically to verify that no emergency exit          removed in multiple pieces.5 In
                                              238.307(c)(4)(i)(B).1 These sections                    has a broken release mechanism or other                addition, FRA observed one railroad
                                              require each passenger railroad to test                 overt sign that would render it unable to              testing its windows by carefully pulling
                                              (at an interval not to exceed 184 days,                 function in an emergency. Maintenance,                 out the window gasket to try to avoid
                                              as part of the periodic mechanical                      including lubrication or scheduled
                                                                                                                                                             detaching the handle or damaging the
                                                                                                      replacement of depreciated parts or
                                              inspection) a representative sample 2 of                mechanisms, must be performed in                       gasket. FRA recognizes that many
                                              its passenger car emergency window                      accordance with standard industry practice             railroads prefer to reinstall the same
                                              exits to determine they ‘‘operate as                                                                           gaskets and handles for the emergency
                                              intended’’ and ‘‘properly operate,’’                       3 The National Transportation Safety Board’s        windows after performing the tests.
                                              respectively. Title 49 CFR 238.113(e)                   (NTSB) Railroad Accident Report on this accident       However, FRA makes clear it does not
                                              further requires the sampling method to                 reported that it took a Safety Board investigator      consider such a careful test to be
                                              ‘‘conform with a formalized statistical                 several minutes to remove the left-side, front
                                                                                                      emergency window exit of the last passenger coach
                                                                                                                                                             properly conducted because a passenger
                                              test method.’’                                          in the train’s consist. See NTSB/RAR–97/02 report      would not act that way in an emergency.
                                                 As FRA explained in Emergency                        at 17 (July 3, 1997). An NTSB investigator could not      FRA also discovered that some
                                              Order 20 (EO 20), a February 16, 1996,                  remove the same car’s right-side, rear emergency       railroads believed they were not
                                                                                                      window exit, which was later removed by another
                                                                                                      investigator after approximately 3 minutes of
                                                                                                                                                             required to formally adopt a sampling
                                                 1 Before FRA’s November 29, 2013, Passenger
                                                                                                      physical exertion. The report further noted that the   program because they were testing 100
                                              Train Emergency Systems II final rule (78 FR
                                              71786), the requirement to test a representative
                                                                                                      lubricant used to install these windows had            percent of their emergency window
                                                                                                      hardened over time.                                    exits over a 1- to 2-year period. FRA
                                              sample of emergency window exits was in 49 CFR
                                              239.107(b)(2) and required each passenger railroad         4 Railroads should conduct their sampling under
                                              ‘‘to verify that they are operating properly.’’         either Military Standard MIL–STD–105(E),                 5 FRA makes clear that for any window that is
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                                                 2 The requirement to test a representative sample    ‘‘Sampling for Attributes’’ (formally cancelled by     intentionally designed with one or more counter-
                                              of emergency window exits, which was based in           the U.S. Department of Defense, but still acceptable   intuitive features (such as an emergency pull
                                              large part on Emergency Order No. 20 (EO 20), was       for FRA’s representative sampling purposes) or         handle that separates from the gasket when pulled,
                                              codified by FRA’s May 4, 1998, Passenger Train          acceptable non-Government, standard sampling           or a gasket that needs to be removed in multiple
                                              Emergency Preparedness final rule (E-Prep final         procedures and tables for inspection by attributes,    pieces), the railroad must ensure that such features
                                              rule). See 63 FR 24630, 24669–24670; EO 20, Notice      such as the American National Standards Institute      are clearly explained in the required operating
                                              No. 1, 61 FR 6876, 6881, Feb. 22, 1996, and Notice      (ANSI)/ASQC Z1.4–1993, ‘‘Sampling Procedures for       instructions posted for the affected emergency
                                              No. 2, 61 FR 8703, Mar. 5, 1996.                        Inspections by Attributes.’’ See 73 FR 6370, 6384.     window exits.



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                                                                          Federal Register / Vol. 80, No. 224 / Friday, November 20, 2015 / Notices                                                72781

                                              appreciates these railroads’ efforts for                set the confidence level of the sample at             mechanisms, be performed using
                                              what they believed was going above and                  95 percent or more and set the defect                 standard industry practice and/or
                                              beyond what is considered a reasonable                  (failure) rate at less than 5 percent.8 To            manufacturer recommendations to
                                              sample size. However, FRA makes clear                   perform their analyses, railroads must                ensure that window exits will operate as
                                              that for a railroad to truly test 100                   review the test results at the end of a               intended during an emergency. This
                                              percent of its windows, the railroad                    sampling period (at a minimum) and                    will also help to prevent a situation
                                              would need to test all of the emergency                 take further action if the testing reveals            where a passenger in an emergency
                                              windows in each of its cars at least once               that 5 percent or more of the windows                 would panic or be delayed by trying to
                                              during a 184-day period. FRA also                       in the sample are defective. When                     determine how to remove a window
                                              clarifies that simply testing 100 percent               assessing the probable cause(s) of any                after the pull handle breaks off or a
                                              of the emergency window exits does not                  window test failures, railroads should                piece of the gasket tears off, for example.
                                              necessarily ensure that the windows                     consider whether the failures are a                      Finally, FRA discovered in its
                                              will operate as intended when needed                    result of design issues, useful life issues,          investigations that some employees
                                              in an emergency situation. As discussed                 or other systemic issues common to a                  were installing the window gaskets with
                                              in this document, it is how a railroad                  particular window design or windows                   a sharp tool (such as a screwdriver),
                                              characterizes the results of those tests                in service of a similar age. If the test              which may have damaged the gaskets
                                              and what a railroad does with the                       failure appears to be due to a systemic               and may explain why, when pulled, the
                                              results of those tests that will help                   issue, then the potential exists for the              gaskets were not coming out in one
                                              ensure the windows will operate as                      failure to repeatedly present itself. In              piece as designed. Therefore, to ensure
                                              intended.                                               such cases, FRA strongly urges that the               that railroads perform proper
                                                 Choosing the number of windows to                    railroad consider replacing all the                   maintenance, the railroads should
                                              test (whether it is 20 percent or 100                   emergency windows or window                           ensure that employees have and use
                                              percent) is only the first step. Second,                components of like design or similar                  proper tools when installing emergency
                                              if testing fewer than 100 percent of the                service age, as applicable.                           windows to avoid damaging the
                                              windows in a 184-day period, railroads                     As stated in the E-Prep final rule, a              window gaskets.
                                              must also ensure the sample is                          railroad must repair any window found                    As noted previously, FRA is issuing
                                              representative of the various window                    to be broken, disabled, or otherwise                  this document to provide basic
                                              types in its fleet or fleets.6 Third, even              incapable of performing its intended                  information and guidance to railroads
                                              if a railroad is testing 100 percent of its             safety function before the railroad may               operating passenger train service to
                                              emergency window exits, it must have                    return the car to passenger service. See              ensure that they understand the existing
                                              a program in place that requires                        63 FR 24669. This remains true even                   regulatory requirements regarding the
                                              monitoring of the tests to determine                    when the number of windows that                       ITM of emergency window exits. FRA
                                              whether the test results demonstrate a                  failed is below the 5-percent defect rate             believes that compliance with the
                                              95-percent confidence level that all                    threshold. Railroads should also                      existing emergency window exit
                                              emergency window exits operate as                       document the remedial action(s)                       regulatory requirements will help
                                              intended. Although EO 20, Notice No. 1,                 planned or taken to address the window                ensure the safety of the Nation’s railroad
                                              would have required testing all window                  test failures, and create a timetable for             employees, passengers, and the general
                                              exits on a specific series or type of car               window inspection and replacement for                 public. FRA may take other appropriate
                                              if one such car had a defective window                  the window type or car series to remedy               actions it deems necessary to ensure the
                                              exit, the amended order, Notice No. 2,                  the problem in the most expedient                     highest level of safety, including
                                              permitted the use of commonly                           manner.                                               pursuing other corrective measures
                                              accepted sampling techniques to                                                                               under its rail safety authority.
                                              determine how many additional                           III. Maintenance of Emergency Window
                                              windows to test. See 61 FR 8703, 8705.                  Exits                                                   Issued in Washington, DC, on November
                                                                                                                                                            17, 2015.
                                              In general, these principles require that                  As noted above, FRA expects
                                              the greater the percentage of windows                   railroads to periodically perform visual              Robert C. Lauby,
                                              initially found defective, the greater the              inspections to verify no emergency                    Associate Administrator for Railroad Safety
                                              percentage of windows the railroad will                 window exit has a broken release                      Chief Safety Officer.
                                              have to test.                                           mechanism or other overt indication                   [FR Doc. 2015–29641 Filed 11–19–15; 8:45 am]
                                                 FRA expects all railroads to: (1)                    that would render it unable to function               BILLING CODE 4910–06–P
                                              Conduct periodic reviews of records of                  in an emergency. Ideally, railroads
                                              window testing using an acceptable                      would incorporate these visual
                                              attribute sampling method to determine                  inspections as part of the interior                   DEPARTMENT OF TRANSPORTATION
                                              whether they are achieving a 95-percent                 calendar day mechanical inspections of
                                              confidence level that no defective units                                                                      Saint Lawrence Seaway Development
                                                                                                      passenger cars, since they already need               Corporation
                                              remain; 7 (2) assess the probable cause of              to inspect the window markings daily to
                                              any window test failures; and (3)                       ensure that the safety-related signage is             Advisory Board; Notice of Meeting
                                              address any such failures. In setting up                in place and legible. See 49 CFR
                                              their testing programs, railroads must                  238.305(c)(7). As demonstrated by the                   Pursuant to Section 10(a)(2) of the
                                                                                                      1996 accident that led to EO 20 (in                   Federal Advisory Committee Act (Pub.
                                                6 Railroads can easily set up a simple spreadsheet
                                                                                                      which some of the window gaskets                      L. 92–463; 5 U.S.C. App. I), notice is
                                              (using off-the-shelf software) to generate a random                                                           hereby given of a meeting of the
                                              sample that includes windows representing all of        could not readily be pulled out due to
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                                              the window types in a railroad’s fleet or fleets.       lack of lubrication and maintenance), it              Advisory Board of the Saint Lawrence
                                                7 Although the goal is to have no defective units     is important that maintenance,                        Seaway Development Corporation
                                              remaining in a railroad’s emergency window              including lubrication or scheduled                    (SLSDC), to be held from 2:00 p.m. to
                                              population, FRA recognizes that because the                                                                   4 p.m. (EDT) on Tuesday, December 15,
                                              railroad is performing a statistical sample that
                                                                                                      replacement of degraded parts or
                                              achieves a 95-percent confidence level, there will
                                                                                                                                                            2015,via conference call at the SLSDC’s
                                              always be a possibility that some defective units         8 These numbers are not intended always to add      Policy Headquarters, 55 M Street SE.,
                                              remain.                                                 up to 100.                                            Suite 930, Washington, DC 20003.


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Document Created: 2015-12-14 13:58:59
Document Modified: 2015-12-14 13:58:59
CategoryRegulatory Information
CollectionFederal Register
sudoc ClassAE 2.7:
GS 4.107:
AE 2.106:
PublisherOffice of the Federal Register, National Archives and Records Administration
SectionNotices
ActionNotice.
ContactMr. Daniel Knote, Staff Director, Passenger Rail Division, Office of Railroad Safety, FRA, 1200 New Jersey Avenue SE., Washington, DC 20590, (631) 965-1827; or Mr. Michael Hunter, Trial Attorney, Office of Chief Counsel, FRA, 1200 New Jersey Avenue SE., Washington, DC 20590, (202) 493-0368.
FR Citation80 FR 72779 

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