49 CFR § 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;
(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 before 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 and Tier III passenger equipment, the railroad shall obtain FRA approval of the plan under the procedures specified in § 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 and Tier III passenger equipment, the railroad shall report the results of the tests to the Associate Administrator 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 ITM procedures uncovered during testing. If safety deficiencies cannot be corrected by design changes, the railroad shall impose operational limitations on the revenue service operation of the equipment designed to ensure the equipment can operate safely. For Tier II and Tier III passenger equipment, the railroad shall comply with any operational limitations the Associate Administrator imposes 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 or Tier III passenger equipment, obtain approval from the Associate Administrator before placing the equipment in revenue service. The Associate Administrator will grant such approval if the railroad demonstrates compliance with the applicable requirements of this part.
(c) If a railroad plans a major upgrade or introduction of new technology to Tier II or Tier III 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 in paragraph (b) of this section before placing the equipment in revenue service with the major upgrade or introduction of new technology.
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