FEDERAL RAILROAD ADMINISTRATION
Brake System Safety Standards for Freight and
Other Non-Passenger Trains and Equipment
(49 CFR Part
232)
SUPPORTING JUSTIFICATION
OMB No. 2130-0008
Summary
This submission is a request for an extension without change (with changes in estimates) of the last three-year approval granted by the Office of Management and Budget (OMB) on September 3, 2021, and expiring on September 30, 2024.
The Federal Railroad Administration (“FRA” or “the Agency”) published a required 60-day Notice in the Federal Register on July 9, 2024. See 89 FR 56474.
Overall, adjustments decreased the burden from 528,432 hours to 324,638 hours, and responses decreased from 28,715,580 to 4,947,392.
The answer to question 12 itemizes information collection requirements.
Circumstances that make collection of the information necessary.
Title 49 CFR part 232 prescribes Federal safety standards for freight and other non-passenger train brake systems and equipment. Part 232 contains recordkeeping and information reporting requirements, including requirements relating to the following:
General (subpart A) – procedures for special approvals of alternative standards or test procedures and waivers, and procedures related to the movement of equipment with defective brakes.
General requirements (subpart B) – generally applicable system requirements for the operation of brake systems on complete trains, including braking systems, locomotive brakes, dynamic braking, train handling and securement.
Inspection and testing requirements (subpart C) – various airbrake test requirements for specific train operating scenarios, including initial terminal tests, intermediate inspections, continuity tests, and extended haul trains. This subpart also has specific rules regarding the use of yard air for conducting the above tests in lieu of locomotives and the use of independent locomotives in double-heading and helper service.
Periodic maintenance and testing requirements (subpart D) – yearly and other periodic testing of individual equipment. This subpart also specifies the equipment and procedures necessary to modify the instructions used to perform these tests.
End-of-train (EOT) devices (subpart E) – design and performance standards of both one-way and two-way EOT devices used on all trains with air brakes. This subpart also includes the inspection and testing requirements for EOT devices.
Introduction of new brake system technology (subpart F) – approval procedures for the introduction of new technologies not already covered by existing regulations, and requirements for the development of a pre-revenue service acceptance testing plan.
Electronically controlled pneumatic (ECP) braking systems (subpart G) – alternate standards for the operation and maintenance of ECP brake systems, particularly where the ECP system is not harmonious with previous standards. This includes interoperability, training, inspection and testing, movement of defective equipment, and periodic maintenance.
Tourist, scenic, historic, and excursion operations (T&H) braking systems (subpart H) – regulations that apply specifically to T&H railroads. Those regulations are the same as existed in 20011, as stated in current 49 CFR 232.1(c).
Overall, the information collection requirements of part 232 serve two important safety purposes. First, they allow FRA to monitor compliance with braking system safety regulations. Second, FRA refers to records regularly maintained under part 232 to assess the effectiveness of the regulations and identify opportunities for improvement.
Part 232 contains a significant number of information collection requirements because this part contains FRA regulations requiring inspection of train air brake systems and the air brakes of individual freight cars across the vast majority of the railroad industry. The regulations provide for five primary types of brake system inspections: Class I (initial terminal inspection), Class IA (1,000-mile inspection), Class II (intermediate inspection), Class III (trainline continuity inspection), and a single car air brake test (SCT), as well as a transfer train brake test. Over the years, FRA has issued multiple test waivers to those regulations. Recognizing those waivers’ proven success to maintain or increase safety, FRA codified into regulation certain waivers concerning test air flow limits, EOT device power sources and calibration, helper service, marker lamp heights, and SCTs.
2. How, by whom, and for what purpose the information is to be used.
FRA uses the information collected to monitor railroads’ compliance with the requirements in 49 CFR part 232. The information collected is also used, for example, by locomotive engineers and train crews to verify whether the terminal air brake test had been performed. This collection of information is mandatory, and affects Class I, Class II, and Class III railroads in the United States. Information collection is performed on quarterly, annual, and occasional bases. The collection of information involves both reporting and recordkeeping requirements. FRA uses the information collected under part 232 to monitor and enforce railroad compliance with the rule's requirements. Furthermore, FRA examines required records to ensure railroads perform Class I train brake tests or single car brake tests as required and that they are done satisfactorily.
Defective equipment is tagged with information prescribed in § 232.15. Railroads may use either a physical tag or an electronic tracking system approved by FRA to identify each defective locomotive or car. The information is used by FRA and state inspectors and by railroad workers. FRA and state inspectors use the information for compliance purposes, particularly during audits to verify that railroads are following the requirements set out in the rule. FRA and state inspectors use the information to ensure that defective cars and locomotives are moved properly; that they are moved to the correct destinations; and that necessary repairs are performed.
FRA uses the information collected under § 232.103(n)(7) to ensure that each railroad adopts and complies with a plan identifying specific locations or circumstances when equipment may be left unattended. Each railroad is required to notify FRA when it has developed, implemented, and modified its plan prior to operating pursuant to that plan. FRA reviews each plan to determine that it contains a sufficient safety justification for leaving such equipment unattended in the identified location or under the specified circumstances. Each plan deemed to have an insufficient safety justification is disapproved and needs to be modified before receiving FRA approval.
Under paragraph (n)(10), FRA requires railroads to develop procedures to ensure that a qualified railroad employee inspects all equipment that any emergency responder has been on, under, or between for proper securement before the rail equipment or train is left unattended. It may be necessary for each emergency responder to modify the state of the equipment for the performance of their job by going on, under, or between equipment. Railroads have already developed these procedures, which require inspections so that a qualified employee subsequently inspects the equipment to make sure that the equipment continues to be properly secured before it is again left unattended. Emergency responders unfamiliar with trains and other equipment could inadvertently unsecure the train, and this provision adds an extra layer of safety to prevent such an occurrence and reduces the risk of a potential tragedy.
According to paragraph (n)(11):
A railroad may adopt and then must comply with alternative securement procedures to do the following:
(i) In lieu of applying hand brakes as required under paragraph (n) of this section, properly maintain and use mechanical securement devices, within their design criteria and as intended within a classification yard or on a repair track.
(ii) In lieu of compliance with the associated requirement in paragraph (n)(2) of this section—and in lieu of applying hand brakes as required under paragraph (n) of this section—isolate the brake pipe of standing equipment from atmosphere if it:
(A) Initiates an emergency brake application on the equipment.
(B) Closes the angle cock; and
(C) Operates the locomotive or otherwise proceeds directly to the opposite end of the equipment for the sole purpose to either open the angle cock to vent to atmosphere or provide an air source.
The alternative securement procedures referenced under paragraph (n)(11) provide each railroad flexibility from compliance with the handbrake requirements under the remainder of paragraph (n). FRA inspectors review alternative securement procedures to make sure that they are sufficient to secure unattended equipment.
Section 232.205(c)(1)(ii)(B) allows the use of a combined 90 CFM air flow limit on trains equipped with distributed power (DP) or air repeater units (ARU), provided railroads implement operating rules to ensure compliant operation of a train if air flow exceeds these parameters after the Class I brake test is completed. The combined air flow is derived by the sum of the air flow from all air sources in the train. Railroads must develop and implement operating rules to ensure compliant operation of a train if air flow exceeds these parameters after the Class I brake test is completed.
Section 232.213 requires railroads to provide a written designation to FRA of extended haul trains. The submission must also include the location of every expected brake and mechanical inspection for the designated train.
Section 232.409 imposes standards and periodicity requirements for EOT device inspections and tests. Additionally, this section details annual calibration requirements for EOT device air pressure sensors (i.e., air gauges or transducers in lieu of gauges).
Generally, railroad cars are required to have affixed a legible stencil, sticker, or badge plate displaying the car’s permissible brake cylinder piston travel range at Class I brake tests and en route. Train crews and mechanics also use this information to determine whether a freight car’s air brakes are in effective operating condition. This information is essential in order for qualified railroad personnel to properly perform the brake inspections required by this regulation because of the growing number of cars with other than standard brake designs.
FRA reviews railroad plans to monitor all yard air sources (other than locomotives) to ensure that railroads have set up a method by which they can verify that yard air sources operate as intended and do not introduce contaminants into the brake system of freight equipment. The required monitoring plan mandates that railroads inspect each yard air source at least two times per calendar year – no less than five months apart – to ensure it operates as intended and does not introduce contaminants into the brake system of the equipment it services and thereby jeopardize the effectiveness of the brake system to stop the car.
Each monitoring plan must also identify yard air sources found not to be operating as intended or found introducing contaminants into the brake system of the equipment the yard air source services. Additionally, each monitoring plan must provide for repair or other remedial action concerning any yard air source identified as not operating as intended or found introducing contaminants into freight car brake systems. Finally, each monitoring plan must provide for the maintenance of records relating to yard air sources found not to be operating as intended or found introducing contaminants into the brake system. FRA reviews these records during routine inspections and audits to verify railroads are complying with this regulation, particularly that they are implementing their monitoring program and take the necessary steps to maintain and promote rail safety. These records must be maintained for at least one year from the date of creation.
Locomotive engineers are required to be informed of the operational status of the dynamic brakes on all locomotive units in the train consist at the initial terminal or point of origin for a train and at other locations where a locomotive engineer first begins operation of the train. This information must be maintained in written or electronic form in the cab of the locomotive and is reviewed by the locomotive engineer so that he or she knows the operational status of the dynamic brakes on all locomotives in the consist at the initial terminal or point of origin where he or she first takes charge of the train. Locomotive engineers use this information to operate the train in the safest and most efficient manner possible.
Moreover, all dynamic brakes found to be inoperative must be tagged and must be repaired within 30 calendar days of becoming inoperative or at the locomotive’s next periodic inspection, whichever comes first. Train crews use this information to ensure that a locomotive with inoperative, or deactivated, dynamic brakes is not placed in the train consist’s lead and controlling position, unless the locomotive has the capability of controlling the dynamic braking effort in the trailing locomotives in the consist that are so equipped and unless the locomotive has the capability of displaying to the locomotive engineer the deceleration rate of the train or the total dynamic brake retarding force.
FRA reviews required railroad written operating rules relating to operating trains with dynamic brake systems to ensure that railroads have developed appropriate written operating rules governing safe train handling procedures using dynamic brakes under all operating conditions. These operating rules must be tailored to the specific equipment and territory of the railroad. The required operating rules are used by railroads and their employees and enable them to analyze the safety impacts of the various ways to handle potentially dangerous situations. Operating rules must ensure that air brakes are sufficient by themselves, without the aid of dynamic brakes, to stop the train under all operating conditions. FRA reviews railroads’ operating rules to potentially preempt many mistakes that cause dangerous situations to occur.
Train brake system maintenance standards are used by railroads as a training tool to qualify new train brake system inspectors and as a checklist for supervisors performing spot checks of train brake system maintenance work.
Training records are used by railroads to demonstrate that individuals responsible for train brake system inspection, maintenance, and tests meet the minimum qualification requirements enumerated in the rule. The training and qualification requirements provide FRA with the ability to independently assess whether the training provided to a specific individual adequately addresses the tasks for which the individual is deemed capable of performing and serves to prevent potential abuses by railroads to use insufficiently trained individuals to perform the necessary inspections, tests, and maintenance required by this rule.
Railroad employees use the required single car test due date stenciling (a form of recordkeeping) to ascertain a car’s next single car test due date. Railroad employees use required EOT device stenciling (again a form of recordkeeping) to ascertain when a two-way EOT device is due for calibration. For extended haul trains, FRA requires the performance of an inbound inspection at destination or at 1,500 miles and requires carriers to maintain records of all defective conditions discovered on these trains for a period of one year.
Railroads must maintain a record of all defective, inoperative, or ineffective brakes, as well as any conditions not in compliance with parts 215 and 231 of this chapter discovered at any time during the movement of the train. FRA uses these records to enhance the agency’s ability to independently monitor railroad operations, assess the quality of a railroad’s inspection practices, and to help FRA identify any systematic brake or mechanical problems that may result from the types of trains operated.
Finally, FRA requires special approval for new brake system technology by the Associate Administrator for Safety and reviews railroads’ plans before implementation to ensure that all safety risks have been reduced to a level that permits the new brake system technology to be used in revenue service.
3. Extent of automated information collection.
FRA strongly encourages the use of advanced information technology, wherever possible, to reduce the burdens on respondents. Part 232 allows each railroad to transmit and maintain records either electronically or in writing. Examples of where written records are permitted to be kept electronically are include §§ 232.103(n)(7)(i); 232.103(n)(10); and 232.205(e).
4. Efforts to identify duplication.
To FRA’s knowledge, this information is not duplicated elsewhere. Similar data is not available from any other source.
5. Efforts to minimize the burden on small businesses.
The category of small businesses affected by part 232 is all Class III freight railroads. Federal agencies may adopt their own size standards for small entities in consultation with the Small Business Administration and in conjunction with public comment. Pursuant to that authority, FRA has published a final policy that formally establishes “small entities” as railroads which meet the line haulage revenue requirements of a Class III railroad, which is annual carrier operating revenues of $40.4 million or less after applying the Surface Transportation Board’s railroad revenue deflator formula, and commuter railroads or small governmental jurisdictions that serve populations of 50,000 or less.2
Out of the 829 railroads required to report accident and incidents to FRA under 49 CFR part 225 (excluding passenger service railroads that are subject to their own brake standards), FRA estimates there are approximately 812 Class III railroads; with 777 of them operating on the general system. These are of varying size, with some a part of larger holding companies. Therefore, the information collection requirements of this part do apply to a substantial number of small railroads.
FRA generally intends to minimize burdens associated with part 232 for all railroads consistent with essential safety objectives, when possible. Class III railroads are required to comply with all generally applicable part 232 requirements. FRA estimates that Class III railroads generally experience burdens associated with train safety under part 232 that are similar in kind to large railroads, but less in terms of total burden hours, in proportion to the lesser volume of rail traffic handled by Class III railroads.
6. Impact of less frequent collection of information.
If the information were not collected or collected less frequently, rail safety in the United States would be seriously jeopardized. The data collected under part 232 allows FRA to mitigate unsecured locomotive and train incidents. Without this information, it is likely that there would be more rail accidents and incidents involving unsecured locomotives and trains.
The requirements under § 232.103(n) enhance safety by both ensuring that affected railroads develop plans that identify specific locations or circumstances where rail equipment may be left unattended and requiring employee verification with another qualified employee of securement of a freight train or freight car left unattended. Specifically, under § 232.103(n)(10), FRA requires railroads to develop procedures to ensure that a qualified railroad employee inspects all equipment that any emergency responder has been on, under, or between for proper securement before the rail equipment or train is left unattended.
Without the required inspection records in this collection of information, FRA would have no way to verify that the periodic maintenance requirements contained in § 232.303(b) through (d) relating to the inspection of freight cars equipped with an ECP brake system were fulfilled according to Federal safety requirements. In the event of an accident/incident, these records would be essential to any investigation seeking to determine exactly what transpired.
Without the collection of information, locomotive engineers would not be informed of the operational status of the air brakes on all conventional locomotive units in the consist at the initial terminal or point of origin for a train, or at other locations where they first take charge of a train. This could lead to dangerous train handling situations and to an increase in the number of rail accidents and incidents, associated injuries and fatalities to crew members, and property damage.
If this information were not collected, or collected less frequently, FRA could not ensure completion of the necessary brake inspections, tests, and repairs. Consequently, the discovery and correction of minor defects would not timely occur to prevent them from becoming major defects and the source of severe rail accident and incidents. Also, without this information collection, FRA could not ensure that railroads adopt and implement a training, qualification, and designation program for employees and contractors who perform conventional brake system inspections, tests, and maintenance. Having unqualified employees work on conventional freight brake systems would endanger the safety of train crews, the general public, and the intact delivery of train cargo.
In sum, this collection of information advances FRA’s mission to ensure and promote U.S. rail system safety.
7. Special circumstances.
This information collection does not have any special circumstances.
8. Compliance with 5 CFR 1320.8.
As required by the Paperwork Reduction Act of 1995 (PRA) and 5 CFR part 1320, FRA published a notice in the Federal Register on July 9, 2024,3 soliciting comment from the public, railroads, and other interested parties on these information collection requirements. FRA received no comments.
Consultations with representatives of the affected population:
As a part of FRA’s oversight and enforcement activities, individuals from the railroad industry are generally in direct contact with FRA’s inspectors at the time of on-site inspections and can provide any comments or concerns to them.
9. Payments or gifts to respondents.
There are no monetary payments or gifts made to respondents associated with the information collection requirements contained in this regulation.
10. Assurance of confidentiality.
Information collected is not of a confidential nature, and FRA pledges no confidentiality.
11. Justification for any questions of a sensitive nature.
There are no questions or information of a sensitive nature or data that would normally be considered private contained in this information collection.
12. Estimate of burden hours for information collected.
The estimates for the respondent universe, annual responses, and average time per responses are based on the experience and expertise of FRA’s Office of Railroad Infrastructure and Mechanical Equipment.
CFR
Part 232 |
Respondent Universe |
Total Annual
Responses |
Avg. Time Per Response
(Hours) |
Total
Annual Burden Hours |
Wage
|
Total
Cost |
PRA Analyses and Estimates |
|
232.3 - Applicability |
784 railroads |
8 |
|
1.36 |
|
$116.86 |
|
|
(d)(3)— Identification of cars not owned by RR |
|
8 |
0.17 |
1.36 |
85.93 |
116.86 |
Export, industrial, and other cars not owned by a railroad which are not to be used in service, except for movement as shipments on their own wheels to given destinations, shall be properly identified by a card attached to each side of the car, signed by the shipper, stating that such movement is being made under the authority of this paragraph. |
|
232.7 - Waivers |
784 railroads |
2 |
|
320.00 |
|
$27,497.60 |
|
|
(a)—Waivers |
|
2 |
160 |
320.00 |
85.93 |
$27,497.60 |
Any person subject to a requirement of this part may petition the Administrator for a waiver of compliance with such requirement. The filing of such a petition does not affect that person's responsibility for compliance with that requirement while the petition is being considered. |
|
232.15 - Movement of defective equipment |
784 railroads |
153,400 |
|
6,642.80 |
|
$570,815.80 |
|
|
(a)(11)(ii)—Written notification |
|
25,000 |
0.05 |
1,250.00 |
85.93 |
$107,412.50 |
The person in charge of the train in which the car or locomotive is to be moved shall be notified in writing and inform all other crew members of the presence of the defective car or locomotive and the maximum speed and other restrictions determined under paragraph (a)(11)(i)(B) of this section. A copy of the tag or card described in paragraph (b) of this section may be used to provide the notification required by this paragraph. |
|
(b)—Tagging of defective equipment. |
|
128,400 |
0.042 |
5,392.80 |
85.93 |
$463,403.30 |
At
the place where the railroad first discovers the defect, a tag or
card shall be placed on both sides of the defective equipment or
locomotive and in the cab of the locomotive, or an automated
tracking system approved for use by FRA shall be provided. |
|
232.17 - Special Approval Procedure |
784 railroads |
0.67 |
|
0.67 |
|
$57.57 |
|
|
(b) through (d)—Submission of petition for special approval of alternative standard or test procedure and pre-revenue service acceptance plan |
|
0.67 |
1 |
0.67 |
85.93 |
$57.57 |
(b)
Each petition for special approval of a plan under §
232.15(g); an alternative standard under § 232.305 or §
232.603; an alternative technology under § 232.407(b) or
(c); or a single car test procedure under § 232.611 shall
contain the requirements stated in (b)(1) through (4) of this
section.
Service
of each petition for special approval of a plan or an alternative
standard submitted under paragraph (b) of this section shall be
made on designated representatives and organizations identified
under § 232.17(d)(2) of this section. |
|
232.103 – General requirements for all train brake systems. |
784 railroads |
70,014 |
|
11,958.50 |
|
$1,027,593.91 |
|
|
—Requirement for legible decal/stencil/sticker on all cars |
|
70,000 |
0.17 |
11,900.00 |
85.93 |
$1,022,567.00 |
Except for cars equipped with nominal 12-inch stroke (8-1/2 and 10-inch diameters) brake cylinders, all cars must have a legible decal, stencil or sticker affixed to the car or must be equipped with a badge plate displaying the permissible brake cylinder piston travel range for the car at Class I brake tests and the length at which the piston travel renders the brake ineffective, if different from the Class I brake test limits. The decal, stencil, sticker, or badge plate must be located so that it may be easily read and understood by a person positioned safely beside the car. |
|
(n)—Securement
of unattended equipment and |
|
1 |
10 |
10.00 |
85.93 |
$859.30 |
Equipment described in paragraph (n)(6) of this section shall be left unattended on a main track or siding (except when that main track or siding runs through or is directly adjacent to a yard) until the railroad has adopted and is complying with a plan identifying specific locations or circumstances when the equipment may be left unattended. The plan shall contain sufficient safety justification for determining when equipment may be left unattended. The railroad must notify FRA when the railroad develops and has in place a plan, or modifies an existing plan, under this provision prior to operating pursuant to the plan. The plan shall be made available to FRA upon request. FRA reserves the right to require modifications to any plan should it determine the plan is not sufficient. |
|
—Notification to FRA when RR develops and has plan in place or modifies existing plan |
|
1 |
0.50 |
0.50 |
85.93 |
$42.97 |
The railroad must notify FRA when the railroad develops and has in place a plan, or modifies an existing plan, under this provision prior to operating pursuant to the plan. The plan shall be made available to FRA upon request. FRA reserves the right to require modifications to any plan should it determine the plan is not sufficient. |
|
—(n)(10)
Records of inspection following |
|
12 |
4 |
48.00 |
85.93 |
$4,124.64 |
Each railroad shall adopt and comply with procedures to ensure that, as soon as safely practicable, a qualified employee verifies the proper securement of any unattended equipment when the railroad has knowledge that a non-railroad emergency responder has been on, under, or between the equipment. |
|
232.105 – General Requirements for locomotives – Inspection records. |
The estimated paperwork burden for this requirement is included under OMB control number 2130-0004.
|
|||||||
232.107 – Air source requirements and cold weather operations. |
5 new railroads |
1,156 |
|
335.50 |
|
$28,829.52 |
|
|
(a)—Monitoring plans for yard air sources |
|
1 |
40 |
40.00 |
85.93 |
$3,437.20 |
Each railroad must adopt, comply with, and make available to FRA upon request a plan to monitor all yard air sources, other than locomotives, to ensure that they operate as intended and do not introduce contaminants into the brake system of freight equipment.
|
|
—Updates/revisions |
50 existing plans |
5 |
20 |
100.00 |
85.93 |
$8,593.00 |
If the railroads upgrade equipment they must update the plan. These updates are done every 10 to 20 years. This estimate takes into consideration the 50 existing plans. |
|
—Recordkeeping |
50 existing plans |
1,150 |
0.17 |
195.50 |
85.93 |
$16,799.32 |
A railroad shall maintain records of the information and actions required by paragraph (a)(2). These records shall be maintained for a period of at least one year from the date of creation and may be maintained either electronically or in writing. |
|
232.109 – Dynamic brake requirements |
784 railroads |
1,668,748 |
|
116,474.22 |
|
$10,008,630.07 |
|
|
(a)—Brake status records |
|
1,656,000 |
0.07 |
115,920.00 |
85.93 |
$9,961,005.60 |
A locomotive engineer must be informed of the operational status of the dynamic brakes on all locomotive units in the consist at the initial terminal or point of origin for a train and at other locations where a locomotive engineer first begins operation of a train. The information required by this paragraph may be provided to the locomotive engineer by any means determined appropriate by the railroad; however, a written or electronic record of the information must be maintained in the cab of the controlling locomotive. |
|
(c)—Inoperative dynamic brakes, tagging and records |
30,000 locomotives |
6,358 |
0.07 |
445.06 |
85.93 |
$38,244.01 |
All inoperative dynamic brakes must be repaired within 30 calendar days of becoming inoperative or at the locomotive’s next periodic inspection pursuant to § 229.23 of this chapter, whichever occurs first. An electronic or written record of repairs made to a locomotive’s dynamic brakes must be retained for 92 days and, upon request, must be made available for inspection by FRA or state inspectors. |
|
(d)—Tagging inoperative dynamic brakes |
30,000 locomotives |
6,358 |
0.008 |
50.86 |
85.93 |
$4,370.40 |
A locomotive discovered with inoperative dynamic brakes must have a tag bearing the words "inoperative dynamic brake" securely attached and displayed in a conspicuous location in the cab of the locomotive. |
|
(e)—Deactivated dynamic brakes, markings |
1000 locomotives |
10 |
0.08 |
0.80 |
85.93 |
$68.74 |
A
railroad may elect to declare the dynamic brakes on a locomotive
deactivated without removing the dynamic brake components from
the locomotive, only if all of the following conditions are met:
|
|
(j)—Operating rules |
|
5 |
4 |
20.00 |
85.93 |
$1,718.60 |
A railroad operating a train with a brake system that includes dynamic brakes shall adopt and comply with written operating rules governing safe train handling procedures using these dynamic brakes under all operating conditions, which shall be tailored to the specific equipment and territory of the railroad. |
|
—Amended/revised operating rules |
|
15 |
1 |
15.00 |
85.93 |
$1,288.95 |
Any revisions or amendments needed to be made to established operating rules will take approximately one hour. |
|
—Request to increase mph overspeed restriction |
|
1 |
20.5 |
20.50 |
85.93 |
$1,761.57 |
A railroad may increase the 5-miles-per-hour-overspeed restriction only with approval of FRA and based upon verifiable data and research. |
|
(k)—Knowledge, skill ability training plan |
|
1 |
2 |
2.00 |
85.93 |
$171.86 |
A railroad operating a train with a brake system that includes dynamic brakes shall adopt and comply with specific knowledge, skill, and ability criteria to ensure that its locomotive engineers are fully trained in the operating rules prescribed by paragraph (j) of this section. The railroad shall incorporate such criteria into its locomotive engineer certification program pursuant to part 240 of this chapter. |
|
232.111 – Train handling information. |
784 railroads |
2,112,105 |
|
171,160 |
|
$14,707,778.80 |
|
|
(a)—Written procedures for train handling |
|
5 |
40 |
200.00 |
85.93 |
$17,186.00 |
A railroad shall adopt and comply with written procedures to ensure that a train crew employed by the railroad is given accurate information on the condition of the train brake system and train factors affecting brake system performance and testing when the crew takes over responsibility for the train. The information required by this paragraph may be provided to the locomotive engineer by any means determined appropriate by the railroad; however, a written or electronic record of the information shall be maintained in the cab of the controlling locomotive. |
|
—Amendments/revisions |
|
100 |
20 |
2,000.00 |
85.93 |
$171,860.00 |
FRA estimates that any subsequent revisions or changes to already adopted written procedures will take 20 hours for each revision. |
|
—Provide crew with report |
|
2,112,000 |
0.08 |
168,960.00 |
85.93 |
$14,518,732.80 |
Railroads are required to keep a written or electronic record of the information provided to the locomotive engineer in the cab of the controlling locomotive. |
|
232.203 – Training Requirements. |
784 railroads |
50,587 |
|
6,889.15 |
|
$591,984.66 |
|
|
(a)—Training programs |
|
5 |
100 |
500.00 |
85.93 |
$42,965.00 |
Each railroad and each contractor shall adopt and comply with a training, qualification, and designation program for its employees that perform brake system inspections, tests, or maintenance. For purposes of this section, a “contractor” is defined as a person under contract with the railroad or car owner. The records required by this section may be maintained either electronically or in writing. |
|
—Periodic assessment of training program |
|
784 |
1 |
784.00 |
85.93 |
$67,369.12 |
A railroad or contractor shall adopt and comply with a plan to periodically assess the effectiveness of its training program. One method of validation and assessment could be through the use of efficiency tests or periodic review of employee performance. |
|
—Amendments |
|
236 |
8 |
1,888.00 |
85.93 |
$162,235.84 |
FRA estimates that any subsequent revisions or changes to already adopted training plans will take 20 hours for each revision. |
|
(e)—Training records and notifications |
|
24,781 |
0.13 |
3,221.53 |
85.93 |
$276,826.07 |
A railroad or contractor shall maintain adequate records to demonstrate the current qualification status of all of its personnel assigned to inspect, test, or maintain a train brake system. The records required by this paragraph may be maintained either electronically or in writing and shall be provided to FRA upon request. These records serve as a means of ensuring that only properly qualified individuals are performing only those tasks for which they are qualified. |
|
—Notifications |
|
24,781 |
0.02 |
495.62 |
85.93 |
$42,588.63 |
FRA requires railroads to promptly notify personnel of changes in their qualification status and specifically identify the date that the employees’ qualification ends unless refresher training is provided. |
|
232.205 – Class I brake test – initial terminal inspection. |
784 railroads |
383,850 |
|
4,686.08 |
|
$402,674.85 |
|
|
(c)(1)(ii)(B)—Operating rules for airflow compliance |
|
10 |
8 |
80.00 |
85.93 |
$6,874.40 |
A train equipped with at least one distributed power unit or an air repeater unit providing a source of brake pipe control air from two or more locations must not exceed a combined flow of 90 cubic feet per minute (CFM). Otherwise, the air flow must not exceed 60 CFM. Railroads must develop and implement operating rules to ensure compliant operation of a train if air flow exceeds these parameters after the Class I brake test is completed. |
|
(e)—Brake test notice records |
|
383,840 |
0.012 |
4,606.08 |
85.93 |
$395,800.45 |
A railroad must notify the locomotive engineer that the Class I brake test was satisfactorily performed, whether the equipment to be hauled in his train has been off-air for a period of more than 24 hours, and provide the information required in this paragraph to the locomotive engineer or place the information in the cab of the controlling locomotive following the test. The information required by this paragraph may be provided to the locomotive engineer by any means determined appropriate by the railroad; however, a written or electronic record of the information must be retained in the cab of the controlling locomotive until the train reaches its destination. The written or electronic record must contain the date, time, number of freight cars inspected, and identify the qualified person(s) performing the test and the location where the Class I brake test was performed. |
|
(c)(1)(iv)—Form 49A notation/certification of last date of Air Flow Method (AFM) indicator calibration (Formally under § 229.29(b)) |
The estimated paperwork burden for this requirement is included under OMB Control Number 2130-0004
|
|||||||
232.207 – Class IA brake tests – 1000-mile inspection. |
784 railroads |
53 |
|
9.84 |
|
$845.55 |
|
|
(c)—Designated list of inspection locations |
|
1 |
1 |
1.00 |
85.93 |
$85.93 |
A railroad shall designate the locations where Class IA brake tests will be performed, and the railroad shall furnish to the Federal Railroad Administration upon request a description of each location designated. A railroad shall notify FRA's Associate Administrator for Safety in writing 30 days prior to any change in the locations designated for such tests and inspections. |
|
(c)(2)—Notice of change to inspection locations |
|
52 |
0.17 |
8.84 |
85.93 |
$759.62 |
In the event of an emergency that alters normal train operations, such as a derailment or other unusual circumstance that adversely affects the safe operation of the train, the railroad is not required to provide prior written notification of a change in the location where a Class IA brake test is performed to a location not on the railroad’s list of designated locations for performing Class IA brake tests, provided that the railroad notifies FRA's Associate Administrator for Safety within 24 hours after the designation has been changed and the reason for that change. |
|
232.213 - Extended haul trains. |
83,000 |
208 |
|
43.68 |
|
$3,753.42 |
|
|
(a)—Written designation in writing to FRA |
|
104 |
0.25 |
26.00 |
85.93 |
$2,234.18 |
A railroad may be permitted to move a train up to, but not exceeding, 1,500 miles between brake tests and inspections if the railroad designates a train as an extended haul train. The designation must be in writing sent to FRA. |
|
(a)(8)—Notice of change of location of brake test |
7 railroads |
104 |
0.17 |
17.68 |
85.93 |
$1,519.24 |
In the event of an emergency that alters normal train operations, such as a derailment or other unusual circumstance that adversely affects the safe operation of the train, the railroad is not required to provide prior written notification of a change in the location where an extended haul brake test is performed to a location not on the railroad’s list of designated locations for performing extended haul brake tests, provided that the railroad notifies FRA’s Associate Administrator for Safety within 24 hours after the designation has been changed and the reason for that change. |
|
232.219 – Double-heading and helper service |
2 railroads |
100 |
|
8.00 |
|
$687.44 |
|
|
(c)(4)—Records of device testing |
|
100 |
0.08 |
8.00 |
85.93 |
$687.44 |
Each device shall be tested for accuracy and calibrated if necessary, according to the manufacturer’s specifications and procedures every 365 days. This shall include testing radio frequencies and modulation of the device. A legible record of the date and location of the last test or calibration shall be maintained with the device. |
|
232.303 - General requirements shop or repair track. |
1,633,792 freight cars |
37,600 |
|
1,408.00 |
|
$120,989.44 |
|
|
(e)(1)—Tagging of moved equipment |
|
5,600 |
0.08 |
448.00 |
85.93 |
$38,496.64 |
If it is necessary to move a car from the location where the repairs are performed in order to perform a repair track brake test or a single car test required by this part, a tag or card must be placed on both sides of the equipment, or an automated tracking system approved for use by FRA. |
|
(f)—Last repair track brake test or single car air brake test marking |
|
32,000 |
0.03 |
960.00 |
85.93 |
$82,492.80 |
The
location and date of the last repair track brake test or single
car test required by § 232.305 must be clearly stenciled,
marked, or labeled in two-inch high letters or numerals on the
side of the equipment. Alternatively, the railroad may use an
electronic or automated tracking system to track the required
information and the performance of the tests required by §
232.305. |
|
232.307 - Modification of brake test procedures. |
AAR railroads |
2 |
|
20.50 |
|
$1,761.57 |
|
|
(a)—Request to modify brake test procedures |
|
1 |
20 |
20.00 |
85.93 |
$1,718.60 |
The AAR or other authorized representative of the railroad industry may seek modification of brake test procedures prescribed in this chapter. AAR does one extensive modification every 10 years and an intermediate every 5 years. The average time includes the time it takes to make copies. Copies are provided electronically. |
|
(a)(4)—Affirmation statement and copies served to designated representatives. |
|
1 |
0.50 |
0.50 |
85.93 |
$42.97 |
A statement affirming that the railroad industry has served a copy of the request on the designated representatives of the employees responsible for the equipment’s operation, inspection, testing, and maintenance under this part, together with a list of the names and addresses of the persons served. |
|
232.309 - Equipment and devices used to perform single car air brake tests. |
640 shops |
5000 |
|
150.00 |
|
$12,889.50 |
|
|
(d)—Labeling/tagging of test devices |
|
5000 |
0.03 |
150.00 |
85.93 |
$12,889.50 |
Equipment and devices used to perform single car air brake tests shall be tested for correct operation at least once each calendar day of use. Test equipment and single car test devices placed in service shall be tagged or labeled with the date the next calibration is due. |
|
232.403 - Design standards for one-way end-of-train devices. |
245 railroads |
12 |
|
0.96 |
|
$82.49 |
|
|
(e)—Requesting unique code |
|
12 |
0.08 |
0.96 |
85.93 |
$82.49 |
Each rear unit shall have a unique and permanent identification code that is transmitted along with the pressure message to the front-of-train unit. A code obtained from AAR shall be deemed to be a unique code for purposes of this section. A unique code also may be obtained from the Office of Safety Assurance and Compliance (RRS-10), Federal Railroad Administration, Washington, DC 20590. |
|
232.409 - Inspection and testing of end-of-train-devices. |
245 railroads |
464,501 |
|
4,102.00 |
|
$352,484.86 |
|
|
(c)—Two-way end-of-train testing notification record |
|
447,500 |
0.008 |
3,580.00 |
85.93 |
$307,629.40 |
A two-way end-of-train device must be tested at the initial terminal or other point of installation to ensure that the device is capable of initiating an emergency power brake application from the rear of the train. If this test is conducted by a person other than a member of the train crew, the locomotive engineer must be notified that a successful test was performed. The notification required by this paragraph may be provided to the locomotive engineer by any means determined appropriate by the railroad; however, a written or electronic record of the notification must be maintained in the cab of the locomotive and must include the date and time of the test, the location where the test was performed, and the name of the person conducting the test. |
|
(d) and (e)—Telemetry/air pressure equipment testing record |
|
17,000 |
0.03 |
510.00 |
85.93 |
$43,824.30 |
The
telemetry equipment must be tested for accuracy and calibrated if
necessary, according to the manufacturer’s specifications
and procedures. If the manufacturer’s specifications
require periodic calibration of the telemetry equipment, the date
and location of the last calibration or test and the name or
unique employee identifier of the person performing the
calibration or test must be legibly displayed on a
weather-resistant sticker affixed to the outside of both the
front unit and the rear unit. |
|
(f)(2)—Annual reports to FRA |
1 manufacturer |
1 |
12 |
12.00 |
85.93 |
$1,031.16 |
Each
manufacturer of telemetry transceiver equipment must either:
|
|
232.503 - Process to introduce new brake system technology. |
784 railroads |
2 |
|
4.00 |
|
$343.72 |
|
|
(a)—Special approval - approval for non-standard brake technology letter for approval |
|
1 |
1 |
1.00 |
85.93 |
$85.93 |
Pursuant to the procedures contained in § 232.17, each railroad must obtain special approval from FRA of a pre-revenue service acceptance testing plan, developed pursuant to § 232.505, for the new brake system technology, prior to implementing the plan. Each railroad must prepare and submit a letter for approval by FRA. |
|
(b)—Pre-revenue service demonstration |
|
1 |
3 |
3.00 |
85.93 |
$257.79 |
Pursuant to the procedures contained in § 232.17, each railroad shall obtain special approval from the FRA Associate Administrator for Safety of a pre-revenue service acceptance testing plan, developed pursuant to § 232.505, for the new brake system technology, prior to implementing the plan. |
|
232.505 - Pre-revenue service acceptance testing plan. |
784 railroads |
3.01 |
|
182.71 |
|
$15,700.27 |
|
|
(a)—Submission of testing plan |
|
0.67 |
160 |
107.20 |
85.93 |
$9,211.70 |
Except as provided in paragraph (f) of this section, before using a new brake system technology for the first time on its system, the operating railroad or railroads must submit a pre-revenue service acceptance testing plan containing the information required by paragraph (e) of this section and obtain the approval of FRA. |
|
—Revision to testing plan |
|
0.67 |
40 |
26.80 |
85.93 |
$2,302.92 |
FRA estimates that it will take approximately 40 hours to submit each amended maintenance procedure. |
|
—Report to FRA |
|
0.67 |
13 |
8.71 |
85.93 |
$748.45 |
Railroads must report to FRA the results of the pre-revenue service acceptance tests. |
|
—(f) Testing records for brake system technology previously used in revenue service in United States |
|
1 |
40 |
40.00 |
85.93 |
$3,437.20 |
For brake system technologies that have previously been used in revenue service in the United States, the railroad must test the equipment on its system, prior to placing it in revenue service, to ensure the compatibility of the equipment with the operating system (track, signals, etc.) of the railroad. A description of such testing must be retained by the railroad and made available to FRA for inspection and copying upon request. |
|
232.717 - Freight and passenger train car brakes. |
40 railroads |
40 |
|
240.00 |
|
$20,623.20 |
|
|
(c)—Written maintenance plan |
|
40 |
6 |
240.00 |
85.93 |
$20,623.20 |
Under paragraph (c), these railroads—when utilizing equipment not covered by an applicable, available, and incorporated AAR standard—would have to maintain the equipment in a safe and suitable condition for service according to a railroad’s written maintenance plan. A compliant maintenance plan, including its COT&S component and a periodic attention schedule, must be based upon a standard appropriate to the equipment. For example, a compliant plan might utilize a recognized industry standard or a former AAR interchange standard, to the extent it is modified to account for the unique operating conditions of the particular tourist railroad operation. The railroad must make its written maintenance plan available to FRA upon request. |
|
Total4 |
784 railroads
1 manufacturer |
4,947,392 responses |
|
324,638 hours |
|
$27,896,141 |
|
|
13. Estimate of total annual costs to respondents.
In addition to the costs shown in the table for question 12, there are other miscellaneous costs that railroads will incur annually. They are as follows:
$7,029.90 cost to print 140,598 tags @ $.05 per tag + 3,500.00 cost for 70,000 stickers @$.05 ea. = $10,529.90.
14. Estimate of Cost to Federal Government.
The reports required to be submitted to FRA will be reviewed and evaluated by a Motive Power and Equipment Specialist in Washington, D.C. It is estimated 200 hours will be required annually for these reviews. Based on $132.48 per man hour,5 the annual cost to the Federal Government is $26,496.
15. Explanation of program changes and adjustments.
This is an extension without change (with changes in estimates) of a currently approved information collection request (ICR). The current OMB inventory for this ICR shows a total burden of 528,432 hours and 28,715,580 responses, while the requesting inventory estimates a total burden of 324,638 hours and 4,947,392 responses.
FRA has conducted a thorough review and analysis of this ICR package and has determined that several of the PRA estimates reported in the previous submission were overestimated and some of the estimates were determined to be unnecessary under the PRA. For instance, § 232.103 job briefings and § 232.209 roll-by inspections are usual and customary practice; therefore, there is no burden associated with these requirements. Under § 232.17, Special approval procedure, it was determined that the burden hours for this requirement are already covered under § 232.505. Additionally, the previously reported burden for public comments under § 232.17(f) is exempt from the PRA under 5 CFR 1320.3(h)(4). The tables below detail the specific burden estimates that have changed from the previous submission.
Overall, the burden for this submission has decreased by 203,794 hours and 23,768,189 responses.
CFR
Part 232 |
Annual |
Difference |
Total |
Difference |
PRA Analyses and Estimates |
||
Current |
Requesting |
|
Current |
Requesting |
|
||
232.17 - Special approval procedure |
13 |
0.67 |
-12.33 |
245 |
1.00 |
-244.00 |
After
a thorough review by the SME, it was determined that the estimated
paperwork burden to develop the alternative standard or test plan
is already included under §
232.505,
Pre-revenue service acceptance testing plan. The estimated paper
burden under this section is only for the time it takes to compile
the package, submit to FRA, and serve copies of each petition to
the identified representatives and organizations. Additionally,
FRA anticipates receiving zero statements of interest and the
previously reported public comments is exempt from PRA under 5 CFR
1320.3(h)(4). |
(b)—Petitions for alternative standard or test procedure |
1 |
0.67 |
|
100 |
1.00 |
|
|
(c)—Pre-revenue service acceptance plan |
1 |
0 |
|
100 |
0 |
|
|
(d)—Service of petition on designated representatives |
1 |
0 |
|
20 |
0.00 |
|
|
(d)(2)(iii)— Service of petition on persons who have filed a statement of interest |
4 |
0 |
|
1 |
0 |
|
|
(f)—Comments |
6 |
0 |
|
24 |
0 |
|
|
232.103 – General requirements for all train brake systems. |
23,400,000 |
0 |
23,400,000 |
195,000 |
0 |
-195,000 |
After internal consultation and reviewing similar requirements, it has been determined that job briefings should not be considered a PRA burden. They are considered usual and customary practice. This is consistent with other regulations that cover similar verbal communications such as Part 218, Railroad Operating Practices. |
Job briefings |
23,400,000 |
0 |
|
195,000 |
0 |
|
|
232.107 – Air source requirements and cold weather operations. |
10 |
5 |
-5 |
200 |
100 |
-100 |
This number more accurately reflects the number of new railroads FRA anticipates will commence operations. |
—Updates/Revisions |
10 |
5 |
|
200 |
100 |
|
|
232.109 – Dynamic brake requirements |
10 |
2 |
-8 |
183 |
22.50 |
-160.50 |
The average time per response was reduced from 16 hours to two hours. It was determined that this requirement is to amend/modify a plan that has already been prepared and two hours is a more accurate reflection of how long that will take. |
—Request to increase mph overspeed restriction |
5 |
1 |
|
103 |
20.50 |
|
|
(k)—Knowledge, skill ability training plan modification |
5 |
1 |
|
80 |
2.00 |
|
|
232.203 – Training requirements. |
708 |
784 |
76 |
12.00 |
784.00 |
772.00 |
This increase reflects the increase in the respondent universe of 708 railroads to 784 railroads. The average time per response was increased from one minute to one hour as this more accurately reflects the time needed to carry out the assessment and create and maintain a record to show the assessment was completed. |
—Periodic assessment of training program |
708 |
784 |
|
12 |
784 |
|
|
232.207 – Class IA brake tests – 1000-mile inspection. |
250 |
52 |
-198 |
42 |
8.84 |
-33.16 |
All railroads have submitted their initial list of inspection locations. Future submissions consist of minor updates, which are not submitted as frequently and take a reduced amount of time. Consequently, this has created a reduction in the burden hours associated with this task.
|
(c)(2)—Notice of change to inspection locations |
250 |
52 |
|
42 |
8.84 |
|
|
232.209 - Class II brake tests - intermediate inspection. |
159,740 |
0 |
-159,740 |
133 |
0 |
-133 |
After internal consultation and reviewing similar requirements, it has been determined that “roll-by” inspections should not be considered a PRA burden. They are considered usual and customary practice. This is consistent with other regulations that cover similar verbal communications such as Part 218, Railroad Operating Practices. |
Communicate results of "roll-by" inspection 3 seconds |
159,740 |
0 |
|
133 |
0 |
|
|
232.213 - Extended haul trains. |
500 |
208 |
-292 |
105 |
43.68 |
-61.32 |
All railroads have submitted their initial list of inspection locations. Future submissions consist of minor updates, which are not submitted as frequently resulting in a reduced amount of time for submissions. Consequently, this has created a reduction in the burden hours associated with this task.
|
(a)—Written designation in writing to FRA |
250 |
104 |
|
63 |
26.00 |
|
|
(a)(8)—Notice of change of location of brake test |
250 |
104 |
|
42 |
17.68 |
|
|
232.303 - General requirements. |
240,000 |
32,000 |
-208,000 |
8,000 |
960 |
-7,040 |
This has been reduced to 32,000 annual responses and 960 burden hours and reduced from two minutes to one minute average time per response. |
(f)—Last shop or repair track brake test or single car air brake test marking |
240,000 |
32,000 |
|
8,000 |
960 |
|
|
232.307 - Modification of brake test procedures. |
9 |
2 |
-7 |
20.50 |
20.50 |
0 |
The total number of responses previously reported for this section included the copies of the modification requests that were required to be sent to designated representative. The time needed to send the copies is included in the 20 hours average time for each response. These copies are sent electronically and do not represent a separate information collection.
|
—Air brake test modification requests, affirmation statement and copies to designated representatives |
9 |
2 |
|
20.50 |
20.50 |
|
|
232.505 - Pre-revenue service acceptance testing plan. |
5 |
2.01 |
-2.99 |
280 |
142.71 |
-137.29 |
The overall reduction for the estimated paperwork burden under this section is the reduced number of testing plans that FRA anticipates receiving. It is estimated that two testing plans will be submitted to FRA. Additionally, it has been determined that the 67 hours previously reported for the test plan design is already included in the 160 hours reported for each test plan. This reduced number is reflected accordingly for plan amendments and test plan result reports to FRA. |
— Pre-revenue service acceptance testing plan |
1 |
0.67 |
|
160 |
107.20 |
|
|
—Design |
1 |
0 |
|
67 |
0 |
|
|
—Plan amendment |
1 |
0.67 |
|
40 |
26.80 |
|
|
—Report to FRA |
1 |
0.67 |
|
13 |
8.71 |
|
|
Total adjustments for rounding |
|
|
|
|
|
-1,656.76 |
|
Total Adjustments |
28,715,580 |
4,947,392 |
-23,768,189 responses |
528,432 |
324,638 |
-203,794.03 hours |
|
16. Publication of results of data collection.
FRA does not plan to publish the results of the data collection.
17. Approval for not displaying the expiration date for OMB approval.
FRA intends to display the expiration date.
18. Exception to certification statement.
No exceptions are taken at this time.
1 In 2001, appendix B to part 232 was created to preserve part 232 as it existed prior to a 2001 final rule. In 2020, appendix B was moved, with some revisions, to a new subpart H. See 85 FR 80544, Dec. 11, 2020.
2 See 68 FR 24891 (May 9, 2003); 49 CFR part 209, app. C.
389 FR 56474.
4Total may not add up due to rounding.
5 Wage rate is calculated using the 2024 OMB wage rates for the Washington, D.C. area. FRA uses GS-14, Step 5 hourly burdened wage rate of $132.48 (75.70 x 1.75).
| File Type | application/vnd.openxmlformats-officedocument.wordprocessingml.document |
| File Title | Brakes I Supporting Justification |
| Author | USDOT User |
| File Modified | 0000-00-00 |
| File Created | 2024-09-18 |