Implemented Changes, Effective the Date of Circular

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1 Thomas E. DeLafosse Vice President Salco Products Engineering and Technical Services st Street, Suite A Lemont, IL Tom_delafosse@salcoproducts.com To: Subject: Distribution List October 2018 AAR Circular Letter Summary The October 2018 summary includes the (25) circular letters issued during the month. This document provides a summary of each Association of American Railroads ( AAR ) circular letter issued during the previous month. A circular letter provides information of general applicability to the railroad industry, including proposed and final rules, standards, and recommended practices. Circulars are a fee-based service provided by AAR s Transportation Technology Center, Incorporated ( TTCI ) located in Pueblo, Colorado. You may sign up to receive AAR circular letters online. If you need further assistance with access to circulars, please send any future questions and issues to Pubs@aar.com. The Field Manual of the AAR Interchange Rules, Rule 1, b. (11), requires maintaining a copy of each mandatory circular letter that revises an Interchange Rule or the Manual of Standards and Recommended Practices. For your convenience, this document identifies mandatory circular letters. For those circulars that propose or implement final changes to an existing rule, standard, or recommended practice, this document provides an impact statement to car owners, lessors, mechanical shops, and railroad operations. The following matrix identifies the AAR circular letter number, a summary of the circular, any effective date of a rule, standard, or recommended practice, any comment due date, an impact statement, and to the extent it applies, if the circular letter is mandatory. If you have any questions, please contact Tom DeLafosse at or tom_delafosse@salcoproducts.com. Implemented Changes, Effective the Date of Circular C Oct. 4, 2018 Subject: On-line MSRP System Update Section K Version. Summary: The AAR announces availability of an alternate version of the product On-line System for Access to AAR Manuals of Standards and Recommended Practices (MSRP)". The alternate system provides access to just the six Section K MSRPs noted within this circular. Implementation Date: The on-line tool announced in 2016 provides access to all 28 volumes of the MSRP. The system is updated by close of business Friday of any week where an AAR Circular Letter implements a new or revised MSRP Standard, Specification, or Recommended Practice. This system has been widely accepted with positive results. Comments: Cost for this system is $15,000 per year.

2 Association of American Railroads Circular Letter Summary Page 2 C Car Type: Locomotives Oct. 4, 2018 Recommended Practices (MSRP), Section K-II Locomotive Electronics and Train Consist System Architecture, Locomotive Command and Control Module (LCCM) - Functional Requirements, Specification M-9155.V2.3. Summary: Specification M-9155.V2.3 describes functional requirements in sufficient detail and accuracy to support technical proposals to develop a Locomotive Command and Control Module (LCCM) standalone device or to develop the LCCM function as part of the OEM locomotive control system. Implementation Date: Specification M-9155,V2.3 was Adopted May 2015 and is attached to this circular in PDF format. It will be incorporated in the next issue of the MSRP, Section K-II Locomotive Electronics and Train Consist System Architecture. Comments: If Section K-II is a required update Section K-II with the revised M C C C Recommended Practices (MSRP), Section K-V Electronics Environmental Requirements and Systems Management, ITCSM Common Data Dictionary for Interoperable Train Control Standard S-9452.V2.0 Summary: Standard S-9452.V2.0 specifies all common data dictionary items. The purpose of the data dictionary is to provide an efficient mechanism to capture and relay asset information to the railroad back office. Implementation Date: Standard S-9452.V2.0 was Adopted in 2012 and is attached to this circular in PDF MSRP, Section K-V Electronics Environmental Requirements and Systems Management. Subject: Revisions to MSRP Section S, Casting Details, Specification M-214, Side Frames and Bolsters, Used and Reconditioned Classification and Repair Procedure, Update to Welding Requirements. of revisions to Section S, Casting Details, Specification M-214, Side Frames and Bolsters, Used and Reconditioned Classification and Repair Procedure. Implementation Date: Specification M-214 is now Practices, Section S. Subject: Revisions to MSRP Section C, Car Construction Fundamentals and Details, Standard S- Car Type: Locomotives Comments: If Section K-II is a required update Section K-II with the revised S-9452 V2.0. Comments: If Section S is a required download a copy of the revised M-214 and replace the existing one in your copy of Section S. Car Owner: Yes

3 Association of American Railroads Circular Letter Summary Page Safety Appliance Requirements for Freight Cars. Addition of two new appendices. of revisions to Section C, Car Construction Fundamentals and Details, Standard S-2044 Safety Appliance Requirements for Freight Cars. The revisions include editorial changes to the base standard and appendices, as well as the addition of two appendices: Appendix - F4 Safety Appliances for Side-Dump Cars, and Appendix - J1 Safety Appliances for Rail-Compatible Vehicles. Comments: If Section C is a required update it with the revised Standard S C Oct. 11, 2018 C Oct. 18, 2018 Implementation Date: Revised Standard S-2044 is now Practices, Section C. Section N, Specification M-950, M950A, M970 and M Summary: Revisions to MSRP Section N, Specifications M-950, M950A, M970 and M992 that reference S-2038, and S-2044 Appendix H-1. S-2044 Appendix H-1 is the applicable standard for new racks and new applied racks. M-950A, Section 8.1 was changed to read: Vehicle tie-down system must be approved under the requirements of Standard S-810. All decks must be equipped with a grating securement system, and all chocks and methods of applications must carry an AAR approval since January 1, Implementation Date: MSRP Section N, Specifications M-950, M-950A, M-970 and M-992 implemented and effective immediately and will be incorporated in the next issue of MSRP Section N. Section G, Wheels and Axles, M-107/M-208, Alternate Wheel Profile AAR-2A, Wheel Approval Process, and Class D Requirements. of revisions to Section G, Wheels and Axles, M-107/M- 208, addition of alternate wheel profile AAR-2A, update to the wheel approval process, and update to Class D wheel requirements. Implementation Date: Specification M-107/M-208 is now Practices, Section G. Car Type: Autorack Comments: If Section N is a required Insert the circular attachment into your copy of MSRP Section N. Comments: If Section G is a required update it with the revised M-107/M-208 Specification.

4 Association of American Railroads Circular Letter Summary Page 4 C Oct. 18, 2018 Section H-II, Roller Bearing Manual, S-723 and S-725, Seal Wear Ring Marking, Secondhand Spacer Requirement, and Interchangeable Parts. of revisions to Section H-II, Roller Bearing Manual, S- 723 and S-725, revisions to maintain marking during reconditioning of seal wear rings, revision to parallel requirements of secondhand spacers, and update to interchangeable parts Implementation Date: Standards S-723 and S-725 are now implemented and effective immediately. These modifications will be incorporated in the next issue of Practices, Section H-II. Comments: If Section H-II is a required update it with the revised S-723 and S-725 Specifications. C Oct. 18, 2018 CPC-1338 Section G-II, Wheel and Axle Manual, S-659, Wheel Storage, Mounting Entry Spike and Minor Anomaly Definitions. of revisions to Section G-II, Wheel and Axle Manual, S- 659, revision to define minor anomalies and entry spike. Section contains duplicate information found in and is being removed. Implementation Date: Standard S-659 is now Practices, Section G-II. Section C-III, Specification for Tank Cars (M-1002), Appendix B - Certification of Tank Car Facilities and associated Chapter 1 Definitions (Docket T91.2.4). Summary: This circular letter is notification to industry regarding final action on the revisions to M- 1002, Appendix B and Chapter 1. Comments received from CPC-1332 have been addressed and incorporated into this final action. Chapter 1 changes are identified by revision bars in the margin while Appendix B is being published in its entirety due to the number of changes. Questions concerning the applicability of these changes should be directed to Matt Forister, Director Tank Car Safety. Implementation Date: Implementation Plan: The effective date of implementation for the facility appeals process specified in Paragraph of Appendix B is October 24, Comments: If Section G-II is a required update it with the revised S-659. Car Type: Tank Cars Car Owner: Yes Comments: In the interim, facilities applying for initial certification shall continue to submit required documentation in accordance with current M-1002, Appendix B (11/2014) using the fillable exhibit forms found under CPC (Exhibit B-1), CPC-1275 (Exhibit B-3), and CPC-1276 (Exhibit B-3A). For existing facilities, the BOE auditors will use prescribed AAR audit forms to indicate tank car activity codes for which certification is being maintained. An AAR online application system is under development to replace these legacy processes prior to January 1, 2020 and industry will be notified of those details through the circular letter system.

5 Association of American Railroads Circular Letter Summary Page 5 The effective date of implementation for the remainder of Appendix B and the associated Chapter 1 definitions is January 1, As a final note for all M-1002 registered facilities, the application for initial M-1002 certification must be received at least six months in advance of the registration expiration date; and the facility must also obtain initial certification before registration expires (refer to CPC-1260). C C C C Section S-II, Truck Details and Casting Codes, Standard S-392, Truck Design Drawings, Update to Code Sheets and Drawings. of revisions to Section SII, Standard S-392, Truck Design Drawings. Implementation Date: Standard S-392 is now implemented and effective immediately. The attached file replaces S-392 in its entirety. This Practices, Section S-II. Section S-II, Truck Details and Casting Codes, Standard S-304, Truck 38-In. Wheels Design Dimensions, Regarding Updates to Drawings and Tables. Summary: this circular letter is to notify the industry of revisions to Section S-II, Standard S-304, Truck 38- In. Wheels Design Dimensions. Implementation Date: Standard S-304 is now Practices, Section S-II. Section S-II, Truck Details and Casting Codes, Standard S-302, Truck 36-In. Wheels Design Dimensions, Regarding Updates to Drawings and Tables. of revisions to Section S-II, Standard S-302, Truck 36- In. Wheels Design Dimensions. Implementation Date: Standard S-302 is now Practices, Section S-II. Section S-II, Truck Details and Casting Codes, Standard Comments: If Section S-II is a required update your copy with the new S-392. Comments: If Section S-II is a required update your copy with the new S-304. Comments: If Section S-II is a required update your copy with the new S-302.

6 Association of American Railroads Circular Letter Summary Page 6 S-301, Truck 33-In. Wheels Design Dimensions, Regarding Updates to Drawings and Tables. of revisions to Section S-II, Standard S-301, Truck 33- In. Wheels Design Dimensions. Comments: If Section S-II is a required update your copy with the new S-301. C C C Oct. 30, 2018 Implementation Date: Standard S-301 is now Practices, Section S-II. Section S, Casting Details, Specifications M-211 and M-215 Regarding Casting Marks. of revisions to Section S, Casting Details, Specifications M-211 and M-215. Implementation Date: Specifications M-211 and M- 215 are now implemented and effective immediately. These modifications will be incorporated in the next issue of Practices, Section S. Section S, Casting Details, Specification M-220, Casting Component Nondestructive Testing Requirements, Regarding Requalification Frequency. of revisions to Section S, Casting Details, Specification M-220, Casting Component Nondestructive Testing Requirements. Implementation Date: Specification M-220 is now Practices, Section S. Recommended Practices (MSRP), Section K-IV Office Architecture and Railroad Electronics Messaging, Edge Message Protocol Standard S-9354.V2.0. Summary: Standard S-9354.V2.0 specifies the Edge Message Protocol (EMP) message envelope. It describes the fields of the envelope, their semantics, and commentary about their use. Sufficient detail for implementation is provided. EMP is an application message envelope used in various interoperable applications including interoperable train control (ITC). EMP is also supported by the ITC interoperable messaging architecture. Comments: If Section S is a required update your copy with the new M-211 and M Comments: If Section S is a required update your copy with the new M-220. Comments: Railroads be sure to update Section K-IV with the revised Standard S V2.0.

7 Association of American Railroads Circular Letter Summary Page 7 Implementation Date: Standard S-9354.V2.0 was Adopted in 2010 and is attached to this Circular in PDF MSRP, Section K-IV Office Architecture and Railroad Electronics Messaging. C Oct. 30, 2018 C Oct. 30, 2018 C Oct. 30, 2018 Recommended Practices (MSRP), Section K-IV Office Architecture and Railroad Electronics Messaging, PTC Onboard Segment-Energy Management Interface Control Document (ICD) Standard S-9371.V2.0. Summary: Standard S-9371.V2.0 contains and describes the messages passed between a PTC onboard segment and an Energy Management (EM) system that operates on a locomotive. The PTC onboard segment connects to Energy Management as an EMP client, and Energy Management acts as an EMP server. Implementation Date: Standard S-9371.V2.0 was Adopted in 2014 and is attached to this Circular in PDF MSRP, Section K-IV Office Architecture and Railroad Electronics Messaging. Recommended Practices (MSRP), Section K-IV Office Architecture and Railroad Electronics Messaging, Class D Messaging Standard S-9356.V2.0 Summary: Standard S9356.V2.0 contains and describes the Class D protocol which is intended for applications requiring reliable point-to-point message delivery. The Class D protocol is divided into five layers. The first of these layers, the Protocol Layer, is mandatory for all Class D protocol implementations. There are four optional layers - The High Availability Layer, the Persistence Layer, the Management Layer, and the Built-in Test Layer. Implementation Date: Standard S-9356.V.2.0 was Adopted in 2010 and is attached to this Circular in PDF MSRP, Section K-IV Office Architecture and Railroad Electronics Messaging. Recommended Practices (MSRP), Section K-VI Railway Data Management and Communications, Positive Train Control Data Model Definition, Standard S V3.0. Summary: Standard S-9501.V3.0 describes the intermediate data model. The purpose of the PTC Data Model format is to establish a common data Comments: Railroads be sure to update Section K-IV with the revised Standard S V2.0. Comments: Railroads be sure to update Section K-IV with the revised Standard S V2.0. Comments: Railroads be sure to update Section K-IV with the revised Standard S V3.0.

8 Association of American Railroads Circular Letter Summary Page 8 interchange format between the various railroad GIS databases to facilitate the conversion of track data for use by positive train control applications. Implementation Date: Standard S-9501.V3.0 was Adopted in 2013 and is attached to this Circular in PDF MSRP, Section K-VI Railway Data Management and Communications. C Oct. 31, 2018 CPC-1339 Oct. 31, 2018 Subject: AAR Change in Location Requirements for AAR M-1003 Certified Facilities. Summary: AAR receives numerous requests from AAR M-1003 certified facilities regarding the desire to change their physical address. AAR, through this circular letter, is notifying the industry of the AAR requirements regarding change of physical address request by a certified facility. Implementation Date: AAR M-1002 certified tank car facilities, reference CPC-1339 AAR Change in Location Requirements for AAR M-1002 Tank Car Certified Facilities, for more information. Subject: AAR Change in Location Requirements for AAR M-1002 Tank Car Certified Facilities. Summary: AAR receives numerous requests from AAR M-1002 certified facilities regarding the desire to change their physical address. AAR, through this circular letter, is notifying the industry of the AAR requirements regarding change of physical address request by a certified facility. Implementation Date: This CPC is in direct alignment AAR M-1003 requirements found within AAR circular letter C AAR Change in Location Requirements for AAR M-1003 Certified Facilities. Requirements: If a facility desires to make a change in physical address, not only does the facility have to reapply for AAR M-1003 certification but also reapply for AAR M-1002 certification. This requirement takes effect November 1, All previous requests to change their physical address will be handled on a case by case basis joint with AAR QA staff. Questions should be directed to Matt Forister, Director of Tank Car mforister@aar.org Comments: If a facility changes physical address the QA Code must be changed. The QA Code provides traceability of the work performed by the facility at that physical address where the AAR audit took place to warrant certification by the AAR. This also provides AAR M-1003 Chapter 7 nonconformance reporting traceability to the facility. Car Type: Tank Comments: If a facility changes physical address the Station Stencil aka QA Code must be changed. The Station Stencil aka QA Code provides traceability of the work performed by the facility at that physical address where the AAR audit took place to warrant certification by the AAR. This also provides AAR M-1003 Chapter 7 nonconformance reporting traceability to the facility. Changes Pending 30-Day Comment Period from Date of Circular

9 Association of American Railroads Circular Letter Summary Page 9 C Oct. 6, 2018 Subject: Standard S Railroad Electronics Standards Committee (RESC) Data Dictionary, is available for review and comment. In support of AAR's MSRP, Section K-IV, Office Architecture and Railroad Electronics Messaging Car Type: Railroad Summary: The Railway Electronics Standards Committee (RESC) of the Association of American Railroads (AAR) is publishing DRAFT Standard S Railroad Electronics Standards Committee (RESC) Data Dictionary for review and comment. Comments: Interested parties should review the attached standard S-9353 and provide comments to the party noted in this circular. C C Implementation Date: In order to provide adequate time for review and comment, this document will have a 30-day comment period. The time period will begin with the issuance of this circular. Subject: Standard S-9558.V1.0 - Interoperable IP Network Address Allocations, is available for review and comment. In support of AAR's MSRP, Section K- VI, Railway Data Management and Communications. Summary: The Railway Electronics Standards Committee (RESC) of the Association of American Railroads (AAR) is publishing DRAFT S-9558.V1.0 - interoperable IP Network Address Allocations for review and comment. Implementation Date: In order to provide adequate time for review and comment, this document will have a 30-day comment period. The time period will begin with the issuance of this circular. Subject: DRAFT Standard S-9558.V1.0 - Interoperable IP Network Address Allocations, is available for review and comment. In support of AAR's MSRP, Section K- VI, Railway Data Management and Communications. Summary: The Railway Electronics Standards Committee (RESC) of the Association of American Railroads (AAR) is publishing DRAFT S-9558.V1.0 - Interoperable IP Network Address Allocations for review and comment. Implementation Date: In order to provide adequate time for review and comment, this document will have a 30-day comment period. The time period will begin effective with the date posted above. Car Type: Locomotives Comments: Interested parties should review the attached standard S-9558.V1.0 and provide comments to the party noted in this circular. Comments: The draft of this standard is attached as a pdf to this circular. Interested parties should download and review it and provide comments if determined if the reader has any.