14036 Federal Register / Vol. 85, No. 47 / Tuesday, March 10, 2020 / Proposed Rules

DEPARTMENT OF TRANSPORTATION New Jersey Avenue SE, Room W12–140, V. Regulatory Impact and Notices Washington, DC 20590; or A. Executive Orders 12866 and 13771, and Federal Railroad Administration • Hand Delivery: Docket Management DOT Regulatory Policies and Procedures Facility, U.S. Department of B. Regulatory Flexibility Act and Executive 49 CFR Part 299 Order 13272; Regulatory Flexibility Transportation, 1200 New Jersey Assessment [Docket No. FRA–2019–0068, Notice 1] Avenue SE, Room W12–140 is located C. Paperwork Reduction Act on the ground level of the West D. Federalism Implications RIN 2130–AC84 Building, between 9 a.m. and 5 p.m., E. International Trade Impact Assessment Monday through Friday, except Federal F. Environmental Impact Texas Central Railroad High-Speed holidays. G. Executive Order 12898 (Environmental Rail Safety Standards Instructions: All submissions must Justice) H. Executive Order 13175 (Tribal AGENCY: Federal Railroad include the agency name and docket Consultation) Administration (FRA), Department of number or Regulatory Identification Number (RIN) for this rulemaking I. Unfunded Mandates Reform Act of 1995 Transportation (DOT). J. Energy Impact ACTION: Notice of proposed rulemaking; (2130–AC84). Note that all comments K. Privacy Act Statement rule of particular applicability. received will be posted without change to http://www.regulations.gov, including I. Executive Summary SUMMARY: FRA is proposing a rule of any personal information provided. On August 30, 2019, FRA granted particular applicability (RPA) to Please see the Privacy Act heading in TCRR’s petition for rulemaking establish safety standards for the Texas the SUPPLEMENTARY INFORMATION section (petition), which was submitted April Central Railroad (TCRR or the railroad) of this document for Privacy Act 15, 2016. TCRR’s petition represented high speed rail system. The proposed information related to any submitted that the regulatory requirements offered standards are not intended for general comments or materials. by TCRR translate the technological and application in the railroad industry, but Docket: For access to the docket to operational aspects of the JRC Tokaido would apply only to the TCRR system read background documents or Shinkansen system. planned for development in the State of comments received, go to http:// The Tokaido Shinkansen first went Texas. The proposed RPA takes a www.regulations.gov at any time or visit into service on October 1, 1964, under systemsapproach to safety, and so the Docket Management Facility, U.S. the operation of the Japanese National includes standards that address all Department of Transportation, 1200 Railways (JNR). On April 1, 1987, JNR aspects of the TCRR high-speed system, New Jersey Avenue SE, Room W12–140 was privatized and split into six including signal and trainset control, on the Ground level of the West passenger railroads and a freight track, rolling stock, operating practices, Building, between 9 a.m. and 5 p.m., railroad. JRC was the company that took system qualifications, and maintenance. Monday through Friday, except Federal over operations of the Tokaido The TCRR system is planned to operate holidays. Shinkansen system, and is still from Houston to Dallas, on dedicated FOR FURTHER INFORMATION CONTACT: operating the system today. In 50+ years track, with no grade crossings, at speeds Frederick Mottley, Systems Engineer, of Tokaido Shinkansen system not to exceed 330 km/h (205 mph). The U.S. Department of Transportation, operations, JNR, and now JRC, have TCRR rolling stock, track, and core Federal Railroad Administration, Office optimized its operations to a very high systems will replicate the Central Japan of Railroad Safety, 1200 New Jersey level of performance. Accordingly, the Railway Company (JRC), Tokaido Avenue SE, Washington, DC 20590 Shinkansen has moved over 6 billion Shinkansen high-speed rail system, and (telephone: (617) 494–3160); or Michael passengers without a passenger fatality will be used exclusively for revenue Hunter, Attorney Adviser, U.S. or injury due to trainset accidents such passenger service. Department of Transportation, Federal as a derailment or collision. DATES: Written comments must be Railroad Administration, Office of Chief TCRR intends to implement a high- received by May 11, 2020. Comments Counsel, 1200 New Jersey Avenue SE, speed passenger rail system, based upon received after that date will be Washington, DC 20590 (telephone: (202) the service-proven technology used on considered to the extent possible 493–0368). the Tokaido Shinkansen and replicating without incurring additional expense or SUPPLEMENTARY INFORMATION: the operational and maintenance delay. practices and procedures employed by FRA anticipates holding three public Table of Contents JRC. TCRR plans to implement the hearings to receive oral comment on this I. Executive Summary latest, service-proven derivative of the NPRM, and that proceedings will also II. Statutory Authority N700 trainset and other core systems be necessary under 49 U.S.C. 20306. III. Regulatory Approach currently in use on the Tokaido FRA will publish a separate IV. Project Background and Regulatory Shinkansen line,1 which have been announcement in the Federal Register Development refined for high-speed operations over A. History of Tokaido Shinkansen to inform interested parties of the date, the last 50+ years. TCRR plans to adapt B. RPA Development Process the N700 series trainset and supporting time, and location of these hearings. C. The Proposed System ADDRESSES: Comments: Comments 1. Rolling Stock systems in a manner that is appropriate related to Docket No. FRA–2019–0068, 2. Automatic Train Control System for the Texas environment and operate Notice No. 1, may be submitted by any 3. Track Safety Standards under a regulatory framework that of the following methods: 4. Maintenance-of-Way Operations enables FRA to provide effective safety • Federal eRulemaking Portal: Go to 5. System Qualification oversight. http://www.regulations.gov and follow 6. Personnel Qualification Additionally, FRA has prepared an 7. Inspection, Testing, and Maintenance analysis of the economic impact of this the online instructions for submitting 8. Operating Rules and Practices comments; D. Applicability of FRA’s Current 1 Subsequent references to ‘‘N700’’ or ‘‘N700 • Fax: 202–493–2251; Regulations • series trainset’’ are meant to refer to the N700 series Mail: Docket Management Facility, E. Incorporation by Reference trainset currently in, or future variants approved U.S. Department of Transportation, 1200 F. Enforcement for, use.

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proposed rule under section V.A., and would likely necessitate particular world over its 50-year history. TCRR below. FRA concluded that because the right-of-way intrusion protection and seeks to model its operation on JRC’s NPRM generally includes only other safety requirements not operational and maintenance practices voluntary actions, or alternative action adequately addressed in FRA’s and philosophies, and utilize the high- that would be voluntary, the NPRM regulations. FRA continues to believe speed technology that was developed does not impart additional burdens on that addressing proposals for standalone and refined in Japan, known as the TCRR. high-speed rail systems on a case-by- Shinkansen N700 series (Shinkansen or case basis and comprehensively (such as II. Statutory Authority N700). The Shinkansen series of high- through an RPA or other specific speed trainsets has been in service in Under the Federal railroad safety regulatory action(s)) is prudent because Japan since 1964 and has safely carried laws, FRA has jurisdiction over all of the small number of potential over 6 billion passengers with no railroads, as defined in 49 U.S.C. 20102, operations, and the potential for passenger fatalities or injuries due to except urban rapid transit operations significant and unique differences in trainset accidents/incidents such as a that are not connected to the general their design. Entities considering such derailment or collision in while in railroad system of transportation. operations voluntarily assume the revenue train operations. The N700 Moreover, FRA would consider a stand- higher costs of building new series was first introduced by JRC in alone intercity railroad line to be part of infrastructure, knowing they cannot take 2007. the general system, even though not advantage of the cost savings from physically connected to other railroads sharing existing infrastructure. This is a traditional rail system, in the (as FRA has previously stated with Alternatively, FRA could issue a sense that steel wheels operate over respect to the Alaska Railroad; see 49 comprehensive set of waivers from steel rails, powered by electrical power CFR part 209, appendix A). FRA FRA’s existing regulations, to the extent that is carried and transferred to the considers the contemplated TCRR permitted by law, under 49 U.S.C. equipment through an overhead system as intercity passenger rail, not 20103(b), in order to provide regulatory catenary system. However, the Tokaido urban rapid transit. Accordingly, the approval to the operation. However, in Shinkansen system is engineered to TCRR system will be subject to FRA this case, electing to develop and maximize the advantage of its dedicated jurisdiction whether it is connected to publish a comprehensive regulation is a environment, resulting in rolling stock the general railroad system or not. more efficient alternative. Such a that is much lighter than conventional Please see FRA’s policy statement regulation, in addition to providing rail vehicles; track conditions that are discussing in greater detail FRA’s regulatory approval, institutes a tuned specifically to low-mass, high- jurisdiction over passenger railroads, comprehensive regulatory framework, speed operations; and advanced which includes discussion on how that provides TCRR clarity on the aerodynamic technology that facilitates FRA’s characterizes passenger minimum Federal safety standards that travel at very high speeds, with minimal operations, contained at 49 CFR part it must comply with through track and equipment degradation. 209, appendix A. technology-specific requirements, The lightweight design of the FRA has a regulatory program in incorporating the service-proven aspects equipment permits exceptional place, pursuant to its statutory of the Tokaido Shinkansen system. performance and safety for high-speed authority, to address equipment, track, Additionally, it provides the railroad a operating practices, and human factors travel, but also lends itself to inherent higher degree of regulatory certainty deficiencies if exposed to many of the in the existing, conventional railroad than would waivers, as waivers are risks presented by conventional lines, environment. However, significant revocable, subject to changing such as a train-to-train collision or a operational and equipment differences conditions, and necessitate renewal, grade crossing accident, particularly exist between the system proposed for generally every five years. Texas and existing passenger operations where heavy freight or commercial in the United States. In many of the IV. Project Background and Regulatory vehicles are present. To counter this railroad safety disciplines, FRA’s Development aspect of the design, the Tokaido existing regulations do not address the TCRR plans to construct and operate Shinkansen system and N700 series of safety concerns and operational a high-speed rail system running trainsets are operated with a focus on peculiarities of the proposed TCRR approximately 240 miles from Houston, collision avoidance, utilizing a systems- system. Therefore, in order to allow TX, to Dallas, TX, with a stop in Grimes approach to safety to mitigate or TCRR to operate with effective safety County east of College Station, TX. The eliminate potential risks through the oversight, an alternative regulatory system’s trainset will travel on design of the entire system as a whole, approach is required. dedicated rail, with no public grade rather than focusing on individual crossings, in exclusive passenger aspects of an operation (e.g., rolling III. Regulatory Approach service, at speeds not to exceed 330 km/ stock crashworthiness). This approach Consistent with its statement in the h (205 mph). These operational to eliminating or mitigating risks and most recent Passenger Equipment Safety characteristics, and the equipment that hazards through design has an inherent Standards final rule, published TCRR plans to use, mark a significant safety that has proven to be incredibly November 21, 2018 (83 FR 59182), FRA technological advancement in regional, successful. (It is also important to note proposes to regulate the TCRR system as high-speed, passenger rail service in the that the Texas system will be a standalone system under this enabling United States. prohibited, as proposed in this NPRM, rule. FRA stated that a standalone The system TCRR proposes to build in from allowing any freight traffic on its system regulation would have to bring Texas will replicate the service-proven system.) The Shinkansen is equipped together all aspects of railroad safety Japanese Tokaido Shinkansen high- with an advanced trainset control (such as operating practices, signal and speed rail system, as operated by JRC. system that is optimized for the high- trainset control, and track) that must be TCRR is modeling its system on the speed operations. The Shinkansen applied to the individual system. See 83 Tokaido Shinkansen system because of system has an exceedingly safe record, FR 59182, 59186. Such an approach its reputation as being one of the safest which is discussed in greater detail covers more than passenger equipment, and most punctual train systems in the below.

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A. History of the Tokaido Shinkansen proposed in Texas. The RPA Working system includes a dedicated, grade- The term ‘‘Shinkansen’’ is used to Group held 25 meetings from March separated, and fully fenced right-of-way, 2014 to April 2016,45 to discuss specific equipped with intrusion detection denote the Japanese high-speed rail topics to be covered by the proposed capabilities to detect the intrusion of system, also known as the ‘‘bullet RPA. The final work product of these unauthorized vehicles into the right-of- train.’’ The Japan National Railway meetings is the proposed rule text and way. It is designed to facilitate only system was privatized into six passenger supporting documentation included in high-speed rail trainsets of a specific railways in 1986. The name ‘‘Tokaido the rulemaking docket. type on the right-of-way during revenue Shinkansen’’ is the initial high-speed On April 15, 2016, TCRR submitted to operations, with a strict temporal trainset system introduced in 1964. It is FRA its petition for an RPA to address separation of maintenance activities. now owned and operated by JRC. the safe operation of a high-speed rail The system will have no at-grade The Tokaido Shinkansen operates system in Texas, based on the Japanese crossings with any other rail system or high-speed service between Tokyo and Shinkansen technology. TCRR surface transportation modes, such as Shin-Osaka, a route that is 515 km long, supplemented its petition in August highway vehicles. This approach at a maximum operating speed of 270 2016, and again in September 2017. See 2 ensures that the complete system km/h (168 mph). With 17 passenger FRA Docket No. FRA–2019–0068. mitigates any potential risks and is stations on the system, the operation TCRR’s petition contained proposed consistent with the N700 series trainsets includes 368 daily departures. Although regulatory text—along with supporting that have been chosen as the service- TCRR is replicating the Tokaido technical data—providing a regulatory proven rolling stock platform for TCRR. Shinkansen system, FRA notes that framework that applies the holistic This proposed rule requires the TCRR some of the N700 trainsets also travel ‘‘systems’’ approach. Specifically, system to implement all the service- over the Sanyo Shinkansen system through its petition, TCRR has proven, safety-critical aspects of the between Shin-Osaka and Hakata, a route translated and adapted the technology Japanese Shinkansen system. It also that is 554 km in length, which is specific aspects of the Tokaido provides for the FRA approval of the operated by the West Japan Railway Shinkansen system into a format that key system elements as implemented in Company. The maximum operating enables effective regulatory oversight by Texas. The proposed rule text speed is 300 km/h on the Sanyo FRA. The Tokaido Shinkansen incorporates the structural Shinkansen. operation ensures safe operations characteristics of the N700 series Each 16-car trainset on the Tokaido through application of a systems trainset in a manner that can be Shinkansen is equipped with 1,323 approach to safety and accident regulated and enforced by FRA, and seats. According to JRC, the annual avoidance philosophy. Safety can only requires the system to be designed, ridership in 2017 was 170 million be ensured through a holistic approach; operated, and maintained in a manner passengers, or 466,000 passengers per attention to or focus on individual that effectively mitigates any hazard that day. In over 50 years of service, the aspects of the operation alone may not could compromise the integrity of the Shinkansen has moved over 6 billion be sufficient. TCRR used in its trainset. Implementing the N700 series passengers and traveled over 632 development of its rulemaking petition, trainsets as they are currently designed million rolling stock miles. The a previous proposed RPA for the Florida (with minor modifications that do not minimum headway between high-speed Overland eXpress (62 FR 65478), to help impact the safety performance of the trainsets is 3 minutes 15 seconds during identify the regulatory needs of the trainset, as further discussed below), peak travel times. The average annual proposed high-speed system operations, along with the accident mitigation delay of trainsets is less than 1 minute. which are not currently covered by a measures required by a systems approach and defined in the proposed B. RPA Petition Development Process consistent set of regulatory requirements. rule text, will allow TCRR to replicate In March 2014, TCRR sought FRA’s FRA granted TCRR’s rulemaking the service-proven system and technical assistance in the development petition on August 30, 2019, stating that operations of the Tokaido Shinkansen of a rulemaking petition. In order to it would undertake this rulemaking system. assist TCRR with its effort, an RPA process. FRA makes clear that this rule Working Group was established proposes to codify standards and consisting of Core Team members from C. The Proposed System practices unique to JRC’s operations that both TCRR and FRA. For discipline- TCRR will replicate the Tokaido are inherent to the safe operation of this specific discussions, the RPA Core Shinkansen system and its essential proposed service in Texas, which must Team was able to call upon the technologies in Texas. The TCRR system be maintained and protected in order to technical expertise of subject matter will be based on accident avoidance ensure that the safety record of the experts to discuss the technical principles to assure that collisions or Tokaido Shinkansen can be effectively justifications for departures from other operational risks and hazards are transferred. existing U.S. requirements or minor eliminated or reduced to the highest 1. Rolling Stock modifications to the JRC practices as degree possible, as is done in Japan. The adapted for the smaller system 3 The basis of the TCRR operation is the station stops, and anticipated frequency of daily adoption of the Tokaido Shinkansen 2 In order to accurately replicate the JRC trainset departures, to name a few aspects. system with the N700 series trainset, operation of the Tokaido Shinkansen, and to 4 Exhibit E to TCRR’s rulemaking petition and its variants, as the rolling stock, minimize rounding and other errors associated with contains all the presentations that were discussed adapted for service in Texas. JRC’s N700 converting units of measurement, the text of this during the 25 meetings held between TCRR and proposed rule uses the International System of FRA. All the meeting presentations are in the series trainsets, have been in service Units (i.e., the metric system), rather than the rulemaking docket, FRA–2019–0068. since 2007 on the Tokaido Shinkansen standard units of measurement more commonly 5 Additional meetings were held after the petition line and operate up to speeds of 300 used in the U.S. rail environment, as these are the was submitted in April and August of 2019. Both km/h on the adjacent Sanyo Shinkansen units of measurement used by JRC. were informational technical meetings. Copies of 3 TCRR’s contemplated system will be smaller the presentations discussed at these meetings are line. The N700 trainset is an electric than JRC’s Tokaido Shinkansen in almost every included in the rulemaking docket, FRA–2019– multiple unit (EMU) trainset design way, such as overall length of system, number of 0068. based upon an accident avoidance

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philosophy to ensure safe, reliable, and temporally separating maintenance-of- doing so would jeopardize other safety efficient service. The current design has way operations, and providing critical designs of the service-proven been continuously refined with these enhanced train control and intrusion N700 series trainset (e.g., the suspension principals in mind, building on over 50 protection technology, a higher level of system). In addition, all interior surfaces years of experience that JRC has safety can be attained rather than just should be free of corners and sharp developed, together with its rolling relying on occupant protection edges that could pose a hazard to stock manufacturers, in the design, standards after an accident occurs. This occupants under sudden deceleration or operation, and maintenance of allows for the trainset design to focus on braking events. integrated high-speed trainsets. This reducing mass and aerodynamic The proposed rule will require cab proposed rule maintains the service- inefficiencies, which not only provides end-facing glazing to comply with Tier proven safety and operational history of improved economic and environmental III requirements: Large object impact this trainset, while adapting it to the performance, but also provides for test in accordance with EN15152 and conditions unique to TCRR’s operating additional safety through improved the ballistic impact resistance environment. braking characteristics, better stability, requirements under appendix A of 49 At the time of TCRR’s petition, FRA and reduced wear on running gear and CFR part 223. Side-facing glazing are was developing its rule (now final) tracks. proposed to meet FRA’s current Type II governing the next generation of Furthermore, since the general system requirements, unless an alternative interoperable high-speed trainsets, requirements often drive the carbody standard is approved, which is also known as Tier III. See 83 FR 59182. A design, FRA believes requiring them, what Tier III equipment must comply primary goal of this rule was to provide without cause, would result in with. FRA welcomes comments on more performance-based safety significant changes, negating the whether international standards exist standards to allow U.S. operations to service-proven design of the N700 series for side-facing glazing that may be better benefit from the service-proven high- trainset. This could potentially have a suited for very high-speed operations, speed trainset designs operating negative effect with respect to braking, particularly those operating in throughout the world, in a manner that trainset stability, and wear on the track dedicated and protected ROW allows for continuous technological structure and running gear. environments as the rule proposes. innovation. Because the Tier III rule FRA is not proposing TCRR comply FRA believes these baseline trainset considered designs and operational with the more robust conventional U.S. carbody requirements, to include practices such as those used on the crashworthiness and occupant interior fittings and glazing, will ensure Tokiado Shinkansen in its development, protection requirements applicable to that the trainset remains stable and safe TCRR was able to take advantage of a equipment operating over the general for the high-speed environment it is paradigm shift in FRA’s regulatory system, which are driven largely by intended to operate in, while protecting approach to high-speed passenger rail as train-to-train collisions and grade against the very low residual potential established by the November 2018 crossing conflicts, as these risks have derailment and foreign object collision Passenger Equipment Safety Standards been heavily mitigated through the risks. design of the system (i.e., prohibition of final rule. As such, the rolling stock Braking System Requirements requirements of this proposed rule, both comingling with heavy freight contained in proposed subpart D, focus equipment and grade crossings). This rule proposes requirements for largely on those elements that differ However, FRA does propose to retain the brake system based upon FRA’s from the Tier III standards, either the crashworthiness and occupant November 2018 Passenger Equipment because a risk that exists on the general requirements established by JRC to Safety Standards final rule, with system has been eliminated or highly address potential residual risks to the modifications where appropriate for mitigated (e.g., grade crossings), or operation and to ensure the trainset can technology specific to the N700 series because the strict adherence to a handle the expected operational loads trainset. The brake commands are requirement might otherwise effect the experienced in the intended service transmitted through the trainset-borne safety proven aspect of the design (e.g., environment. Specifically, FRA network system, as well as through the suspension design). A brief explanation proposes that TCRR demonstrate that trainline for redundancy. Unlike typical of substantive deviations or essential the trainsets used in Texas have the North American brake systems, the areas of note are articulated in further same occupied volume integrity as those N700 series trainset uses a loop circuit detail below. used on the Tokaido Shinkansen, for the urgent brake control and does verified through quasi-static not have brake pipes. The brake system Trainset Structure compression and dynamic collision of a motorized car on a N700 series As previously stated, the central scenario testing. Additionally, FRA is trainset has a blended brake system, philosophy behind the safety approach proposing that TCRR also verify the consisting of an electronically of the Tokiado Shinkansen is collision trainset’s resistance to override, should controlled pneumatic brake and a avoidance and accident prevention. By a collision occur. Further, FRA is regenerative brake. A non-motorized car eliminating and mitigating common proposing that TCRR demonstrate its on a N700 series trainset has an risks and hazards to high-speed rail trainsets meet the same roof and side electronically controlled pneumatic operations through design and structure integrity requirements, and brake. The brake system on the N700 technology, the need to provide truck-to-carbody attachment strength series trainset also has a state-of-the-art occupant protection to mitigate certain requirements, as the N700 series trainset wheel slide control system. accident scenarios through carbody operated by JRC. Consistent with proper railway structural requirements can be greatly The proposed rule requires trainset engineering practice, the proposed rule reduced. By prohibiting other types of interior fittings to be securely attached would require the railroad to equipment (i.e., conventional passenger and designed to operate without failure demonstrate the maximum safe and freight equipment) from operating under conditions and loads to be operating speed for the trainsets without over the same track, eliminating at-grade expected in TCRR’s proposed operating thermal damage to equipment or crossings with motor vehicles environment. The rule does not adopt infrastructure during normal operation (particularly commercial equipment), the conventional attachment loading, as of the brake system. The brake system

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must be capable of stopping the trainset pressure vessels-general principles.’’ service-proven door design of the N700 from its maximum operating speed This is the same pressure vessel series trainset. within the signal spacing on the track standard the N700 series trainsets Emergency Systems under the realistic worst-case adhesion comply with to operate in Japan. The JIS conditions expected. As proposed, tests standard adequately ensures that the The proposed rule defines typical on trainsets to verify the brake system pressure vessel (the main reservoir) is North American requirements for performs as expected will be conducted suitable for the service conditions under emergency lighting, emergency during the pre-revenue service which the brake system main reservoirs communications, emergency egress and qualification testing proposed under will operate, ensuring that the system rescue access, and emergency marking subpart F. Additionally, operational replicates the service-proven brake requirements. A number of these restrictions based on degraded braking system used currently on the N700, provisions will require minor changes to system performance are to be addressed operated on the Tokaido Shinkansen. the current N700 series trainset design, by the railroad under the proposed Requiring adherence to conventional such as the emergency lighting system, requirements for movement of defective U.S. standards would not be prudent, as public address system, and interior equipment. this would jeopardize the service- signage and markings. However, The N700 series trainset braking proven aspect of the design. compliance with these proposed system utilizes an ‘‘urgent’’ brake as emergency systems requirements would defined in the proposed § 299.5. An Fire Safety not have a negative impact on the service-proven design of the N700 series urgent brake is equivalent to the The proposed rule will require trainset as they have no impact on the emergency brake in the U.S. in that it interior furnishings to be compliant performance of the trainset or its produces an irretrievable stop, with with current FRA flammability and integration with other safety-critical maximum braking effort. The N700 smoke emission requirements under systems. These changes will also series trainset has an urgent brake appendix B to part 238 (see, generally, provide first-responders and the switch for use by the trainset crew from the discussion of FRA’s flammability traveling public with a set of safety the controlling cab and the conductor’s and smoke emission requirements at 64 communications and features that are room(s). The use of the urgent brake by FR 25660, 67 FR 42909, and 83 FR consistent with other U.S. rail the conductor is usually within stations 59182). Many of the elements affected operations. to assure passenger safety when by fire safety standards are driven by boarding and alighting from the trainset. business decisions made by the project Safety Appliances The proposed rule requires that an (e.g., carpeting, seating fabric, etc.) and urgent brake application be available at Current FRA regulations for safety are not inherent to the safe performance any time, and shall be initiated by an appliances are based on longstanding of the trainset as it related to its unintentional parting of the trainset or statutory requirements for individual structure or stability at speed. Therefore, action by the trainset crew. Further, the railroad cars used in general service. it was determined by the project that it station platform will be equipped with These requirements are primarily would be appropriate to simply adopt trainset protection switches on the intended to keep railroad employees and comply with the current U.S. station platform so that both station safe while performing their essential job standards in lieu of justifying new ones. personnel and conductors can activate functions. Historically, these duties the urgent brake on the trainset in the Door Systems have revolved around the practice of event that they observe an unsafe building trains by switching individual condition during boarding/alighting of The proposed requirements for the cars or groups of cars, and are not trainsets. trainset door systems, particularly as it directly applicable to how modern high- The proposed rule requires a means to relates to emergency functionality, speed passenger equipment are initiate a passenger brake alarm at two largely follow FRA’s existing designed and operated. The application locations in each unit of a trainset, requirements and established North of such appliances would require a consistent with the requirements American practice. The relevant significant redesign of high-speed rail developed for Tier III trainsets. The requirements for operating; inspection, equipment, and would create proposed rule does not incorporate the testing, and maintenance (ITM); and aerodynamic problems particularly with exception provision for length of training on door systems have been respect to associated noise emissions. individual cars as it is applicable to consolidated under their respective FRA proposes to exempt TCRR from shorter designs than the N700 series subparts as proposed within this rule. statutory requirements that are not trainset. The proposed modifications focus applicable or practical for inclusion on Additionally, the N700 series trainset mainly on how the requirements apply its high-speed trainset technology, braking system utilizes an ‘‘emergency’’ to the Tokaido Shinkansen technology pursuant to the authority granted under brake as defined in the proposed and the applicability of certain elements 49 U.S.C. 20306.6 § 299.5. The emergency brake on the of APTA SS–M–18–10. The proposal Rather than apply legacy N700 series trainset is equivalent to the would retain the service-proven door requirements that are inappropriate for North American full-service brake. system on the N700 series trainset, and, the proposed equipment design and Requirements for the main reservoir though FRA is not proposing to require service environment, this proposed rule system are based on the requirements it, TCRR is expected to adopt the focuses on how to provide a safe included in the November 2018 Tier III coordination between the trainset crew environment for crews as it pertains to final rule, but modified to accommodate members and platform attendants, the N700 series trainset, and modern the specific design standards used for replicating operations by JRC, rather high-speed operations throughout the the N700 series trainset. The proposed than incorporating certain requirements world. In this respect, the proposed rule rule requires the brake system main that were promulgated in December reservoirs in a trainset to be designed 2015 for conventional U.S. operations 6 Utilization of this statutory authority and tested to meet the pressure vessel (see 80 FR 76118), which, if applied, necessitates a public hearing. As stated above, under DATES, the time and place of this public standards in Japanese Industrial would require alteration that could have hearing will be announced by a separate Standard JIS B 8265, ‘‘Construction of a significant negative impact on the announcement published in the Federal Register.

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would define specific safety appliance on the service-proven nature of the or safety critical functions), those performance requirements applicable to N700 series trainset design. changes must be developed and this semi-permanently coupled trainset. 2. Automatic Train Control System validated in accordance with the By focusing on the job functions, rather procedures proposed under subpart B. than mandating specific legacy designs As an intercity passenger railroad, This rule balances the service-proven for dissimilar equipment, the proposed TCRR must comply with all applicable history of the Tokaido Shinkansen ATC approach will arguably improve safety requirements under 49 U.S.C. 20157, system with the fundamental fail-safe for crews and railroad employees, but including, but not limited to, the principles encompassed in FRA’s statutory requirement to fully provide flexibility for superior designs regulations governing advanced trainset implement an FRA-certified positive based on modern ergonomics, and control technology, to ensure TCRR’s train control (PTC) system on its main eliminate appliances that might system is implemented and maintained otherwise encourage their use even lines over which intercity or commuter rail passenger transportation is regularly safely, in a manner consistent with U.S. though their functionality is moot (e.g., law, while holding true to the collision riding on side sills despite an inability provided. The rule proposes to require TCRR to use the signal system based avoidance principles on which the to couple/decouple cars). FRA believes Tokaido Shinkansen is based. it is appropriate to consider relief under upon the service-proven Tokaido the discretionary process established Shinkansen Automatic Train Control 3. Track Safety Standards under 49 U.S.C. 20306 and proposes to (ATC) system, which has demonstrated adopt these requirements under its an outstanding safety record during its All high-speed track safety standards statutory authority as part of this 55 years of operations. This system is a are based on the principle that the rulemaking. standalone digital ATC system, and as interaction of the vehicles, and the track such, does not rely on an underlying over which they operate, must be Image and Audio Recording Devices conventional signaling system. considered as a system. This systems This proposed rule, under subpart B, On July 24, 2019, FRA published an approach ensures that the capabilities outlines the requirements for signal and NPRM regarding locomotive mounted and limitations of both the rolling stock trainset control systems governing the image and audio recording devices for and the physical infrastructure (i.e., operation of TCRR, based on the passenger trains. 84 FR 35712. In that track) are considered when developing fundamental statutory requirements of NPRM, FRA proposed to require the safety metrics and provides for specific 49 U.S.C. 20157 and 49 CFR part 236, installation of inward- and outward- limits for vehicle response to track subpart I, but is tailored for a standalone facing image recording devices on all and service-proven trainset control perturbation(s). lead locomotives in passenger trains, system intended for high-speed FRA’s Track Safety Standards, under and that these devices would record passenger service. TCRR is proposing to 49 CFR part 213, and its Passenger while a lead locomotive is in motion implement a PTC-compliant trainset Equipment Safety Standards, under 49 and retain the data in a crashworthy control system throughout its entire CFR part 238, promote the safe memory module. FRA also proposed to network, to include trainset interaction of rail vehicles with the treat these recording devices as safety maintenance facilities and depots (shop track over which they operate. These devices under existing FRA regulations facilities), in addition to main line safety standards were developed with to prohibit tampering with or disabling operation. While TCRR, in its petition them. industry stakeholder participation, and for rulemaking, initially intended to are applicable to all high-speed and Although the proposal for image and comply with all elements under 49 CFR high cant deficiency train operations in audio recording devices is not yet final, part 236, subpart I, FRA proposes to the United States. Last amended in FRA anticipates that any final tailor the requirements to only those requirements for image and audio March 2013 (78 FR 16052), subpart G of elements of subpart I that would apply part 213, consolidated repetitive recording devices would also apply to to a standalone trainset control system TCRR. Currently, FRA proposes to place guidance found in part 238, and revised intended for high-speed passenger existing minimum safety limits for the image and audio recording device service. vehicle response to track perturbations requirements under 49 CFR part 229. FRA notes that many of the Under this proposed rule, it is stated requirements in 49 CFR part 236, and also added new limits. FRA’s rules that 49 CFR part 229 will not be subpart I were written to establish the are not applicable to one vehicle type, applicable to the railroad’s high-speed process by which existing railroads but account for a range of vehicle types trainsets. However, FRA makes clear would develop and implement PTC (like vehicles with variations in their here that it proposes to make applicable systems as overlays on conventional physical properties, such as suspension, the requirements for the image and signaling systems. As TCRR is a new mass, interior arrangements, and audio recording devices to TCRR’s high- system, and will utilize service-proven dimensions that do not result in speed trainsets, while leaving the technology that does not need to be significant changes to their dynamic remainder of part 229 inapplicable to integrated with a legacy signal system or characteristics) that are currently used the high-speed trainsets, and would be interoperable with other PTC and may likely be used on future high- anticipate that once the July 2019 NPRM systems, the requirements proposed in speed or high cant deficiency rail becomes final, FRA would make this rule have been streamlined to focus operations, or both. FRA’s high speed/ appropriate conforming changes to the on the core requirements and high cant deficiency regulations are requirements outlined in this NPRM. documentation necessary to validate based on the results of simulation FRA acknowledges that this was not and certify a PTC system of its design studies designed to identify track a requirement contained in TCRR’s and application. This proposal also geometry irregularities associated with rulemaking petition, and that this is not acknowledges that if any changes are unsafe wheel/rail forces and a requirement for the Tokaido made to the service-proven, safety- accelerations, thorough reviews of Shinkansen system as operated in Japan. critical software utilized on the Tokaido vehicle qualification and revenue However, FRA does not anticipate this Shinkansen signaling system (such as service test data, and consideration of requirement having a detrimental effect changes to the fundamental architecture international practices.

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Track Classes on the Sanyo Shinkansen. As stated not by a track class designation. FRA differentiates track classes by previously, the N700 series trainset is a However, in this proposed rule, the JRC speed. Existing regulations contain service-proven EMU trainset design that practice has been translated into eight requirements for track classes 1–5, for has been continuously refined, and classes of track from track Classes H0 to speeds not exceeding 90 mph, and track highly optimized by JRC for over 50 H7. As stated, the maximum authorized classes 6–9 for operations up to 220 years. speed from track class is based on mph. In the 2013 final rule, FRA stated JRC’s track safety standards have current JRC practice with the addition of that the Class 9 standards would remain evolved concurrently with these N700 track Class H7, which covers operating as benchmark standards with the Shinkansen EMU trainsets, allowing for speeds up to 305 km/h. It is notable that understanding that the final suitability a high degree of optimization of the in this proposal, track Class H0 will be of track safety standards for operations trainset interacting with the track dedicated to maintenance-of-way above 150 mph would be determined by structure. TCRR plans to replicate the equipment, with a maximum allowable Tokaido Shinkansen system to bring the FRA after examination of the entire operating speed of 20 km/h (12 mph), same safety and performance of the operating system, including the subject which is consistent with JRC practice. equipment, track structure, and other Shinkansen system to this Dallas- Houston operation. This rule proposes As is done in Japan, this proposal would system attributes. FRA explained that prohibit high-speed trainsets from direct FRA approval is required for any to adopt the same JRC-derived track operating on the proposed track Class such high-speed rail operation, whether safety standards to ensure that this H0. Below is a table outlining the through an RPA such as this or another optimized vehicle-track interaction is regulatory proceeding. achieved between Dallas and Houston proposed classes of track, the associated The basis of the TCRR operation and in its entirety. Therefore, this proposal maximum operating speed for that class, this proposed rule, however, is adoption would require the railroad to follow the and where that class of track is of the Tokaido Shinkansen system, JRC approach for the definition of track proposed to be used within the system. using the series N700 series trainset, classes, track geometry limits, carbody The table is not meant to dictate that and its variants, as the only rolling stock acceleration criteria, and track these are the only locations for the for a fully dedicated, grade-separated, inspection intervals for both automated various classes of track to be located high-speed rail service between Dallas and visual inspection on all TCRR track within the TCRR system, but meant to and Houston, TX. JRC’s N700 series Classes at all speeds up to and including represent FRA’s general understanding trainsets have been in service since 2007 the maximum track speed of 330 km/h. of how TCRR will use the various track and operate at the speed of 285 km/h on JRC defines track and the speed range classes. the Tokaido Shinkansen and 300 km/h by function (i.e., main track, etc.), and TRACK CLASSES—MAXIMUM SPEED

H0 H1 H2 H3 H4 H5 H6 H7

km/h ...... 20 30 70 120 170 230 285 330 mph ...... 12 19 43 75 106 143 177 205

Track type

Maintenance-of-way yards Trainset Maintenance Fa- Terminals, stations, sid- Main line track, and track Main line track. cilities (TMF). ings, TMF marshaling connecting the main line tracks. with TMF.

Track Geometry response. TCRR will adopt this JCR’s geometry limits for the 10 m MCO approach which is based on a 10 m mid and car body acceleration limits, both of The proposed track safety standards chord offset (MCO) measurement to which will be enforced by FRA, thereby for TCRR are under subpart C of this proposed rule. Within that proposed effectively control short wavelength ensuring the trainset’s track/vehicle subpart, FRA has included certain track track geometry irregularities and the system meets FRA’s safety criteria geometry requirements for the TCRR measurement of car body accelerations (wheel/rail forces) for track maintained system. The geometry limits proposed to control long wavelength anomalies. to those geometry and acceleration by FRA are based on JRC practice. TCRR is adapting and implementing limits. Likewise, FRA proposes to adopt the the same track geometry limits and car Inspection, Testing, and Maintenance JRC practice for remedial action for body accelerations utilized by JRC to for Track instances when optimal track geometry ensure the continued success of this limits and car body accelerations are vehicle-track system and the optimized Inspection, testing, and maintenance exceeded, and trainset operations would performance of the N700 series trainset. requirements for the track and right-of- require speed and/or operational The JRC approach is very different from way are found generally in the proposed restrictions, with speed restrictions FRA, and is based on measuring track regulatory text, and in greater detail enforced by the ATC system. gauge, cross-level, and twist over 2.5 m, within the FRA-approved ITM program. The highly effective JRC track and alignment/surface on a 10 m MCO, The proposed track maintenance measurement system is based on with long wavelength defects controlled requirements are based on JRC practice, monitoring track geometry and vehicle by monitoring car body acceleration. which is grounded in significant testing performance, and represents a hybrid The JRC track measurement system and many years of proven JRC approach consisting of physical adequately controls track geometry for operation. The JRC approach for the measurements directly on the track, in short and longer wavelengths (20 and 40 high-speed track layout and structure is combination with performance-based m) such that wheel/rail forces are well optimized for the safe and efficient track geometry as defined by vehicle within acceptable limits. TCRR is using operation of the N700s trainset utilized.

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As mentioned throughout this NPRM, sets track geometry limits based on a 10 operational restrictions are enforced TCRR will implement a track m MCO and controls long wavelength over the entire segment. JRC uses the maintenance program based on these perturbations using stringent vertical same temperature limits on all successful and well respected JRC and lateral car body accelerations, rather segments. practices. than the 3-chord (31, 62, and 124 ft) FRA is also proposing that the JRC uses a dedicated, multi-purpose, method used in current FRA railroad’s CWR plan include procedures vehicle-based, inspection system to regulations. Vehicle dynamic that address track inspections under inspect track geometry. Track geometry simulations have been conducted and extreme temperature conditions, measurements and car body validated by JRC specialists to consistent with JRC practice. As stated accelerations are made during revenue demonstrate the 10m MCO and car body previously, there is continuous operations at revenue operating speeds. accelerations, as used by JRC, are monitoring of rail temperature on the This proposal reflects U.S. and JRC sufficient to safely control short, long Tokaido Shinkansen system and a speed practice with respect to track geometry wavelength, and repeated perturbations; restriction of 70 km/h is enforced when measurements. FRA proposes to require and to validate the proposed track CWR temperature is between 60 °C and a track geometry measurement system geometry limits contained in the 64 °C. JRC suspends revenue operations (TGMS) and a track acceleration proposed rule.7 and conducts visual inspections on foot measurement system (TAMS) to be ° Continuous Welded Rail when the CWR temperatures reach 64 C operated over the system route on track or above. Classes H3 and above. TCRR is proposing to use Regarding restoration or renewal of continuously welded rail (CWR) and 4. Maintenance-of-Way Operations track under operating conditions, this moveable point frogs to eliminate gaps Strict adherence to complete temporal proposed rule will prohibit the railroad at turnouts and crossings. Consistent separation of the scheduled right-of-way from performing maintenance-of-way with current FRA practice for CWR, maintenance work will be required by operations during revenue service, other FRA proposes to require the railroad the proposed rule. This rule proposes to than in MOW yards and trainset develop and comply with its own CWR adopt JRC’s long-established maintenance facilities, as further plan, which will have procedures maintenance-of-way operational discussed below. Restoration or renewal addressing the installation, adjustment, practices to ensure roadway worker of track by TCRR on track Class H2 in maintenance, and inspection of CWR safety. To accomplish this, the rule trainset maintenance facilities, will be and CWR joints. However, as the FRA proposes requirements for strict limited to the replacement of worn, CWR requirements under 49 CFR part adherence to temporal separation of broken, or missing components or 213 are inconsistent with JRC maintenance-of-way operations and fastenings that do not affect the safe technology and practices, FRA proposes revenue trainsets, as well as removal of passage of trainsets. This will reflect the a set of CWR requirements that reflects overhead power from the section(s) of JRC practice and is more restrictive than JRC’s service-proven practice. Under ROW where maintenance-of-way work existing FRA track safety standards as it this rule as proposed, TCRR will be is being performed. Additionally, this permits such restoration and renewal required submit a CWR plan that rule proposes prohibiting the railroad under traffic conditions only in yards includes procedures for maintaining a from conducting any scheduled and trainset maintenance facilities and desired rail installation temperature maintenance on a section of the right-of- not the mainline. range when cutting CWR, and with way prior to that section of the right-of- Vehicle/Track Interaction adjustments made to tight track or a way being cleared after revenue service. track buckle. The approach to vehicle/track Further, the railroad will also be In addition to the proposed interaction (VTI) system safety in this prohibited from conducting revenue requirements discussed above, FRA is rule proposes to follow JRC’s approach service on a section of the right-of-way also proposing to require TCRR’s CWR that is service-proven to provide safe before completion of the maintenance plan to contain procedures that control operation and optimum VTI activities and clearance by a sweeper trainset speed on CWR track when the performance. JRC places considerable vehicle. As proposed by this rule, the difference between the rail temperature emphasis on maintaining track ATC system must also enforce the and the rail neutral temperature is in a infrastructure, as the Tokaido temporal separation or otherwise protect range that causes buckling-prone Shinkansen N700 series trainset maintenance-of-way employees conditions to be present at a specific suspension design is optimized for high- performing on-track duties (to include location. This proposed requirement is speed performance on well-maintained unscheduled and emergency consistent with JRC practice, which uses track. Track geometry irregularities are inspections or repairs). ‘‘instantaneous’’ temperature, a more held to tighter tolerances than those TCRR will use maintenance-of-way stringent requirement, instead of allowed under U.S. practice. equipment that is designed to be The VTI requirements FRA proposes ‘‘average’’ temperature. When the compatible with the track safety are similar to those contained in current temperature exceeds a specified limit, standards under proposed subpart C. FRA regulations under 49 CFR part 213, Subject to certain exceptions, as 7 Exhibit F to TCRR’s rulemaking petition and will require the trainsets to comply explains how JRC helped develop and validated the proposed under § 299.3(c)(24), the with the same wheel/rail force limits. track geometry limits proposed in this NPRM, and railroad’s maintenance-of-way However, as noted earlier, JCR requires provides some explanation of the vehicle dynamic equipment will be subject to FRA’s more stringent peak-to-peak car body simulations conducted. Although the Tokaido existing regulations that address the Shinkansen operates at a maximum speed of 270 acceleration limits than currently km/h, the vehicle dynamic tests used to validate the safety of conventional locomotive and permitted under FRA regulations. track geometry limits proposed in this NPRM were freight equipment (i.e., 49 CFR parts Accordingly, FRA proposes that conducted at simulated speeds up to 340 km/h (330 215, 223, 229, 231, and 232). Although instrumented wheelset tests be required km/h + 10 km/h). FRA notes, though, that the there is a general prohibition that freight maximum safe operating speed for the system will for vehicle/track system qualification. be determined only after TCRR conducts full scale equipment cannot operate on the Unique to the Tokaido Shinkansen analysis and validated dynamic testing, as proposed railroad’s right-of-way, the freight system, and as mentioned earlier, JRC under subpart F. equipment being considered here is

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strictly for non-revenue, right-of-way Preparation of System-Wide as: Vehicle clearances to structures maintenance operations. Qualification Test Plan along the right-of-way; mechanical The railroad’s proposed maintenance- As proposed, prior to execution of any performance of the overhead catenary of-way fleet will include a sweeper system qualification tests, the railroad system; and the integrated performance vehicle. As part of this rule, FRA is also will develop a system-wide of the track, signal, power supply, vehicle, software, and communications. proposing that sweeper vehicles run on qualification test plan that identifies the Also, the railroad will be required to both tracks along the full length of the tests necessary to demonstrate the demonstrate safe system performance railroad right-of-way every day prior to operability of all system elements, during normal and degraded operating the start of revenue service, in order to including: Track and infrastructure, conditions. These tests will be used to ensure that there are no obstacles on the signal, communications, rolling stock, verify: Catenary and pantograph tracks within the lower construction software, operating practices, and the interaction; incremental increases in system as a whole. The system-wide clearance envelope, consistent with the trainset speed; braking rates; and qualification plan will include practice of JRC. The sweeper vehicle is vehicle-track interaction. designed to detect the presence of any procedures for functional and small obstacles, such as tools left out performance qualification testing, pre- Vehicle/Track System Qualification from a roadway worker gang. revenue service systems integration As discussed above, under the Additionally, the qualified individuals testing, vehicle/track system proposed track safety standards, the operating the sweeper vehicle will be qualification, and simulated revenue approach to VTI system safety in this required to be trained to conduct visual operations, all discussed further below. rule proposes to follow JRC’s approach inspections of both tracks to ensure the The proposed provisions include that is service-proven to provide safe integrity of the right-of-way, including FRA’s review timeframe (180 days prior operation and optimum VTI the condition of fencing and other to testing) and expected FRA response performance. As part of the system wide railroad infrastructure. Strict adherence time (45 days after receipt of the test plan, FRA proposes to require the to this temporal separation, protection submission) and actions. FRA will railroad to qualify its high-speed of maintenance-of-way work by use of identify in the notification any test trainset for the maximum operating the ATC system, and the daily procedures requiring approval by FRA. speed and cant deficiency requirement for sweeper vehicle use The system-wide qualification test plan contemplated. The format proposed will help ensure that there are no is generally consistent with current FRA largely follows current FRA practice, maintenance-of-way equipment, no practice under 49 CFR part 238 for with the qualification criteria based on heavy maintenance tools, and no passenger equipment, but addresses the JRC requirements for the N700 series obstruction hazards on the tracks when system holistically. Under this proposal, trainset currently operating on the the revenue service starts every day. TCRR will be required to develop a list Tokaido Shinkansen system. of all tests to be conducted to qualify all 5. System Qualification aspects of the system including rolling Simulated Revenue Operations Responsibility for Verification stock, track, vehicle-track interaction, FRA is also adopting TCRR’s proposal Demonstrations and Tests and signaling. FRA makes clear that, as that the railroad conduct a period of proposed, FRA’s approval of the system- simulated revenue operations, Under proposed subpart F, FRA wide test plan will be limited to replicating most, if not all, aspects of proposes a set of pre-revenue approving that the test plan addresses revenue operations, but without qualification testing requirements that all required tests, providing procedures passengers. This will provide the final the railroad must complete before for such tests; however, FRA is not verification that the system, and all sub- commencing passenger service. approving the specific procedures systems, operate as intended, together Successful completion of the proposed adopted by the railroad to conduct each with all properly trained, safety-critical testing program will provide the required test. personnel. Further, the proposed railroad assurance that the system, as simulated revenue operations will give designed, constructed, and integrated, Functional and Performance Qualification Tests valuable operational experience to the will meet the minimum safety railroad and its employees prior to requirements established, so that the Also proposed in this NPRM is a carrying passengers. risk to passengers is minimized when requirement that the railroad will The proposed provision will assure operations begin. This proposed subpart conduct functional and performance that all issues found during simulated F is organized such that the approach to qualification tests, prior to commencing revenue operations are properly system qualification generally requires revenue operations, to verify that all addressed and corrected prior to the the preparation of a system-wide safety-critical components meet all start of revenue service. It is not qualification test plan, pre-operational functional and all performance anticipated that issues found during qualification testing of individual specifications. The railroad will be simulated revenue operations would components and sub-systems, and then required to submit a list of all tests to extend the period for testing if the pre-revenue service testing that verifies be conducted, along with the test specific deficiencies found were the compatibility of the various sub- procedures, as part of its system-wide adequately rectified during that period; systems. Finally, a period of simulated qualification test plan, as discussed however, FRA would expect the start of revenue operations is proposed that above. revenue operations to be postponed, if would replicate revenue operations Pre-Revenue Service Systems necessary, to properly and thoroughly without passengers. This would provide correct any such deficiencies. final verification that the systems Integration Testing operate as intended, all safety-critical The pre-revenue service testing of Verification of Compliance personnel are adequately trained, and systems proposed in this NPRM will be Under this proposed subpart F, FRA operating rules or practices and the used to verify the compatibility of the proposes to require the railroad to inspection, testing, and maintenance various sub-systems. The pre-revenue prepare a report detailing the results of program are appropriate. service testing will include such things all functional and performance

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qualification testing, pre-revenue The NPRM proposes that submittal of maintain, adopt, and comply with a service systems integration testing, and the initial inspection, testing, and code of operating rules, timetables, and vehicle/track system qualification tests. maintenance requirements associated timetable special instructions, along The report will also require the railroad with the bogie inspection and general with procedures for instruction and to outline the remedial measures overhaul can be at a later date. However, testing of all employees involved with necessary to correct any deficiencies the proposal requires that the railroad the movement of rail vehicles prior to discovered during the testing. In submit the requirements to FRA no later commencing revenue operations. addition, FRA also proposes that the than 180 days prior to the first FRA also proposes to require that the railroad be required to implement the scheduled bogie inspection or general railroad’s initial code of operating rules, improvement measures discussed in the overhaul, so that FRA has time to timetable, and timetable special report. With the exception of reports review and approve the associated instructions be based on the service- related to vehicle/track system inspection, testing, and maintenance proven practices and procedures used qualification, verification of braking requirements. by JRC on the Tokaido Shinkansen rates, and field testing data related to FRA proposes the initial inspection system. FRA acknowledges that as the the ATC system, FRA proposes that the intervals for safety-critical items, project matures, changes to the code of railroad submit the report prior to including those covered in the bogie operating rules, timetable, and timetable commencement of simulated revenue inspection and general overhaul, are special instructions that deviate from operations. For the reports regarding covered by §§ 299.13(c)(1) and JRC practice may become necessary due vehicle/track system qualification and 299.907(a), to be based upon JRC’s to the uniqueness of the individual verification of braking rates, FRA service inspection, testing, and operation. However, FRA still expects proposes they be submitted for review maintenance practice to ensure the that whatever changes are made to the and approval at least 60 days prior to integrity and safe operation of the entire code of operating rules, timetable, and the start of revenue service. Certification system, as required in § 299.13(c)(2). timetable special instructions, they will of the railroad’s PTC system must also Additionally, the inspection, testing, remain consistent with JRC practice, be achieved prior to the start of revenue and maintenance program for safety- and provide the same level of safety and service. critical items is subject to FRA approval performance. FRA also proposes to require the under § 299.913. It is important to note that, unlike what was included in the railroad’s railroad to obtain FRA approval of the ITM Program Format test procedures used for the verification rulemaking petition, FRA does not As discussed above, FRA proposes to of any major upgrades to safety-critical propose to expressly approve the limit the scope of its approval to only system component(s) or sub-systems, or railroad’s code of operating rules, those items deemed safety-critical to the prior to introducing new safety-critical timetable, and timetable special operation of the system. However, FRA technology. instructions. Rather, FRA proposes to does propose to require the railroad remain consistent with current U.S. 6. Inspection, Testing, and Maintenance submit the entire ITM program for practice, with respect to the approval. General Requirements review to make sure all safety-critical FRA does, however, propose to retain items have been properly identified and the ability to disapprove the code of This NPRM proposes general accounted for by the railroad. operating rules, timetable, and timetable requirements for inspection, testing, and Accordingly, FRA proposes that the special instructions in whole or in part, maintenance under subpart G. The procedures for safely performing the for cause stated, and at any time. program will provide detailed necessary inspections, testing, and 8. Personnel Qualification information, consistent with the maintenance or repairs submitted to requirements set forth in §§ 299.337 FRA for approval should only be those This proposal follows FRA’s current through 299.349, 299.447(a), and designated as safety-critical or practice of requiring employees who 299.207. The conceptual basis for the potentially hazardous tasks as required perform safety related duties to be proposed requirements under subpart G by § 299.911(b). qualified to perform those duties under stems from FRA’s practice regarding the Additionally, FRA proposes that the a training program developed by the inspection, testing, and maintenance of railroad review the inspection, testing, railroad. The railroad will be high-speed trainsets, originally set forth and maintenance procedures annually responsible for developing the in subpart F of 49 CFR part 238. The to enable the railroad to review any curriculum for the program and underlying premise for this proposed pertinent operational changes or ensuring that specific training approach is to tailor the performance- conditions that may result in requirements outlined in relevant based requirements of the ITM program modifications to the safety-critical sections of this NPRM, or applicable to the specific needs of the equipment aspects of the inspection, testing, and FRA regulations of general applicability, or infrastructure, rather than specifying maintenance program. Under this are properly included. Based on the static maintenance intervals with proposal, FRA can participate in the railroad’s rulemaking petition, the explicit requirements. This approach annual review. The annual review qualification training program will be has proven successful since it was first would be conducted to identify modeled on JRC’s training program in adopted for Tier II high-speed necessary modifications to procedures Japan. equipment, and therefore, FRA proposes or intervals. While FRA may determine Although a separate subpart to expand the practice for other critical it is not necessary to participate in the addressing personnel qualifications was areas requiring a similar performance- annual review in a particular year, any proposed in TCRR’s petition for based approach to ITM. The general amendment to the safety-critical rulemaking, FRA has decided that requirements within proposed subpart G portions of the ITM will need FRA proposing a separate subpart is specify that the railroad will develop an approval prior to implementation. unnecessary. The proposed subpart, as inspection, testing, and maintenance drafted by TCRR, required compliance program to address all aspects of the 7. Operating Rules and Practices with 49 CFR part 243 and contained operation—track, rolling stock, and Under proposed subpart E, this NPRM additional, specific training signal and trainset control. proposes that the railroad develop, requirements for track inspectors. As 49

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CFR part 243 is proposed as applicable FRA will maintain a copy of these FRA will ensure that the pressurized air to the railroad under § 299.3(c), there is standards available for review at the reservoirs used in TCRR’s trainset are no need for a separate subpart to so Federal Railroad Administration, Docket designed and constructed to the same state. Additionally, since the additional Clerk, 1200 New Jersey Avenue SE, service-proven standard as used in the training requirements were specific to Washington, DC 20590. N700 trainsets currently operated on the track inspectors, FRA has moved those Under § 299.13(d)(4) and (5), FRA Tokaido Shinkansen system. provisions under proposed subpart C, proposes to incorporate by reference Under § 299.423(e)(1), FRA proposes which addresses track safety, thus fully three versions of JIS E 1101, ‘‘Flat to incorporate by reference ASTM D obviating the need for the subpart. bottom railway rails and special rails for 4956–07 ε1 ‘‘Standard Specification for switches and crossings of non-treated Retroreflective Sheeting for Traffic D. Applicability of FRA’s Current steel.’’ JIS E 1101:2001 addresses the Control,’’ approved March 15, 2007. Regulations manufacturing of the steel rail. It ASTM D 4956–07 ε1 covers flexible, non- The proposed rule holds the railroad specifies the quality and the tests for flat exposed glass bead lens and ultimately responsible for compliance bottom railway rails of non-treated steel microprismatic, retroreflective sheeting with all aspects of the proposal, along with a calculated mass of 30 kg/m or designed for use on traffic control signs, with certain existing FRA regulations. In more and special rails for those railway delineators, barricades, and other its petition, TCRR proposed to comply switches and crossings. JIS E 1101:2006 devices. with the pertinent existing FRA and JIS E 1101:2012 amend JIS E Under § 299.423(e)(1) and (f)(3), FRA regulations contained generally in 49 1101:2001 by updating references to proposes to incorporate by reference CFR parts 200–299, as listed in other cited standards (e.g., updating the ASTM E 810–03 ‘‘Standard Test Method § 299.3(c), that are speed and technology title to the cited reference), updating for Coefficient of Retroreflection of neutral. After further review of those references to specific clauses within a Retroreflective Sheeting Utilizing the rules, there are certain additional cited standard, or by deleting a Coplanar Geometry,’’ approved provisions that are not appropriate for reference to a cited standard. By February 10, 2003. Test method ASTM this system. Those individual sections incorporating these standards by E 810–03 describes an instrument are specifically excluded under reference, FRA will make certain that measurement of the retroreflective § 299.3(c). the rail side of the wheel-rail interface performance of retroreflective sheeting. FRA also notes that there are many remains identical to that used on the Under § 299.423(e)(2), FRA proposes sectional cross-references within service proven high-speed lines of JRC, to incorporate by reference ASTM E applicable FRA regulations to other FRA by ensuring that the rail is 2073–07 ‘‘Standard Test Method for regulations that are not applicable to manufactured to the same specifications Photopic Luminance of this project, such as 49 CFR parts 213, as the rail used on the Tokaido Photoluminescent (Phosphorescent) 217, subpart I of 236, and 238. Without Shinkansen system. Markings,’’ approved July 1, 2007. FRA specifically addressing each instance, Under § 299.403(b), FRA proposes to is also proposing to incorporate by FRA makes clear that where such a incorporate by reference two versions of reference Section 5.2 of ASTM E 2073– cross-reference exists in the applicable JIS E 7105 ‘‘Rolling Stock—Test 07 under § 299.423(e)(2)(ii). Test regulations enumerated under methods of static load for body method ASTM E 2073–07 covers a § 299.3(c)(1) through (23), the railroad structures.’’ JIS E 7105:2006 addresses procedure for determining the photopic will instead comply with the equivalent test methods for trainset carbodies. It luminance of photoluminescent requirements proposed in this NPRM. specifies the test methods of static load (phosphorescent) markings. It does not For example, where there is a cross- for confirming strength, rigidity and the cover scotopic or mesopic reference to a section under 49 CFR part like of body structures for passenger measurements. 213, which deals with track safety stock such as electric railcars, internal- Incorporation of the three ASTM standards, or 49 CFR part 217, which combustion railcars and passenger cars standards by reference is to ensure that deals with railroad operating rules and principally. JIS E 7105:2011 amends JIS the materials used for interior and practices, the railroad would instead E 7105:20006 by updating references to exterior emergency markings can refer to, and comply with, subpart C for other cited standards (e.g., updating the provide adequate photoluminescence or the applicable track safety requirements, title to the cited reference), updating retroreflectivity. As the markings or subpart E for the applicable references to specific clauses within a utilizing these materials will be relied requirements addressing operating rules cited standard, or by updating on during emergencies (either for and practices. specifications from the 2006 version. By passenger to egress or first responders to incorporating these standards by gain access), it is important that the E. Incorporation by Reference reference, FRA will maintain the same marking can be easily identified and FRA proposes to incorporate by strength and rigidity of TCRR’s trainset followed should the emergency occur reference six Japanese Industrial carbody structure. This will help during hours of limited visibility with Standards (JIS) and three ASTM preserve the occupied volume from possible degradation or complete loss of International (ASTM) standards. As premature degradation due to typical in- interior lighting. The standards either required by 1 CFR 51.5, FRA has service loads and vibration. provide performance specifications for summarized the standards it proposes to Under § 299.409(g), FRA proposes to design and manufacture, or provide the incorporate by reference and has shown incorporate by reference JIS B 8265 testing methods. the reasonable availability of those ‘‘Construction of pressure vessels- standards here. The Japanese Industrial general principles,’’ published F. Enforcement Standards are reasonably available to all December 27, 2010. JIS B 8265 FRA may impose civil penalties on interested parties online at addresses manufacturing of pressure any person, including the railroad or an www.jsa.or.jp (Japanese site), or vessels and specifies certain independent contractor providing goods www.jsa.or.jp/en (English site). requirements for the construction and or services to the railroad, that violates Additionally, the ASTM standards are fixtures of pressure vessels with the any requirement of this rule. These reasonably available to all interested design pressure of less than 30 MPa. By penalty provisions parallel the civil parties online at www.astm.org. Further, incorporating this standard by reference, penalty provisions for numerous other

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railroad safety regulations, and are November 21, 2018 (83 FR 59182). 1. Costs authorized by 49 U.S.C. 21301, 21302, TCRR desires to maintain the safety Since TCRR, in its rulemaking 21303, and 21304. Any person who record of the Tokaido Shinkansen high- petition, requests regulatory violates a requirement of this rule may speed system, so it is imperative that the requirements that may exceed those be subject to civil penalties between the system approach to safety and currently imposed upon other railroads, minimum and maximum amounts philosophy of the JRC system be there are no assumed new costs authorized by statute and adjusted for implemented as it is in Japan. As such, 8 associated with the NPRM, as any inflation per violation. Individuals may TCRR is requesting, through the additional burdens placed onto TCRR be subject to penalties for willful proposed RPA, that they comply with are voluntarily assumed. TCRR is violations only. Where a pattern of regulations that are more stringent than assuming this burden to ensure that the repeated violations, or a grossly the current Tier III standards. Tokaido Shinkansen system can be fully negligent violation creates an imminent FRA has a regulatory program that implemented, as it is currently used by hazard of death or injury, or causes addresses equipment, track, operating JRC. Both TCRR and FRA believe that a death or injury, an aggravated maximum practices, and human factors in the complete system approach to safety is penalty may be assessed.9 In addition, existing, conventional railroad needed to maintain the over 50-year each day a violation continues environment. However, significant exemplary safety record that the constitutes a separate offense. Finally, a operational and equipment differences Tokaido Shinkansen system has person may be subject to criminal exist between the system proposed by experienced in Japan. As such, TCRR is penalties under 49 U.S.C. 21311 for TCR and existing passenger operations willing to assume the additional burden knowingly and willfully falsifying in the United States. In many of the by voluntarily requesting regulatory reports required by these regulations. railroad safety disciplines, FRA’s FRA believes that inclusion of the requirements that exceed what is existing regulations do not address the currently imposed on other railroads. penalty provisions is important in operational characteristics of the ensuring that compliance is achieved. proposed TCRR system. Therefore, to 2. Benefits See 49 CFR part 209, appendix A for a ensure that this new system will operate TCRR will replicate the Tokaido detailed statement of the Agency’s safely, minimum Federal safety Shinkansen system, adapting the system enforcement policy. standards must be in place when TCRR and its essential technologies to the Consistent with FRA’s final rule commences operations. geographic and environmental regarding the removal of civil penalty FRA is proposing to regulate the conditions in Texas. The TCRR system schedules from the CFR, please see 84 TCRR system as a standalone system. is based on accident avoidance FR 23730 (May 23, 2019), FRA will not FRA stated in the Tier III final rule that principles to assure collisions and other publish a civil penalty schedule for this a standalone system would have to operational risks and hazards are rule in the CFR, but plans to publish a combine all aspects of railroad safety eliminated or reduced to the highest civil penalty schedule on its website. (such as operating practices, signal and possible degree. The system includes a Because such penalty schedules are train control, and track) that must be dedicated, grade-separated, and fully statements of agency policy, notice and applied to the individual system. Such fenced right-of-way with intrusion comment are not required prior to their an approach covers more than passenger detection capabilities. It will be issuance, nor are they required to be equipment and would likely necessitate designed only for high-speed trainsets of published in the CFR. See 5 U.S.C. particular right-of-way intrusion a specific type on the right-of-way 553(b)(3)(A). Nevertheless, commenters protection and other safety requirements during revenue operations, and are invited to submit suggestions to FRA not adequately addressed in FRA’s implements a strict temporal separation describing the types of actions or regulations. FRA continues to believe of maintenance activities (i.e., omissions under each regulatory section that addressing proposals for standalone maintenance will be done at night when that would subject a person to the high-speed rail systems on a case-by- there are no passenger train operations). assessment of a civil penalty. case basis and comprehensively (such as The safety features of the TCRR Commenters are also invited to through an RPA or other specific system will be unique in this country recommend what penalty amounts may regulatory action(s)), is prudent because and do not exist in combination on any be appropriate, based upon the relative of the small number of potential other existing North American railroad. seriousness of each type of violation. operations and the possibility of The proposed rule will require the V. Regulatory Impact and Notices significant differences in their designs. TCRR system to implement all service- Without the proposed RPA, TCRR A. Executive Orders 12866, 13771, and proven, safety-critical aspects of JRC’s would not be allowed to implement DOT Regulatory Policies and Procedures Tokaido Shinkansen system. their proposed system as it does not Additionally, the proposed rule The TCRR high-speed system is meet the requirements outlined under incorporates the structural modeled on the Tokaido Shinkansen the Tier III rule. The proposed characteristics of JRC’s N700 series high-speed system, which does not meet regulation, as a rule of particular trainset in a manner that can be many of the current requirements under applicability, was not subject to review regulated and enforced by FRA. The the Passenger Equipment Safety under Executive Order (E.O.) 12866. NPRM also requires the system to be Standards final rule, published FRA concluded that because the designed, operated, and maintained in a NPRM generally includes only manner that effectively mitigates any 8 DOT publishes notices in the Federal Register voluntary actions or alternative action hazard that could compromise the announcing when it adjusts the minimum and maximum civil penalties. When adjustments are that would be voluntary, the NPRM integrity of the trainset. Implementing made, FRA publishes such adjustments on its does not impart additional burdens on the Tokaido Shinkansen N700 series website. Please visit FRA’s website for the current regulated entities. This proposed rule is trainsets as they are currently designed, minimum and maximum civil penalty amounts at expected to be an E.O. 13771 along with the accident mitigation https://railroads.dot.gov/. measures required by a systems 9 Please visit FRA’s website for the current deregulatory action. Details on the aggravated maximum penalty amount at https:// estimate cost savings of this proposed approach, and defined in the proposed railroads.dot.gov/. rule can be found below. rule, will allow TCRR to replicate the

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service-proven system and operations of build a high-speed system that complies there is a potential that the MOW the Tokaido Shinkansen system. with the current Tier III standards. workers could be injured or killed. By The replication of the Tokaido JRC would most likely not allow not allowing the MOW workers to Shinkansen high-speed system by TCRR TCRR to use the Tokaido Shinkansen perform maintenance during revenue will allow TCRR to achieve a degree of high-speed system if it was modified it service, JRC removed the risk potential safety that is at least as great or greater to adhere to the current Tier III entirely. Any deviation from the than would be achieved while standards. In this event, TCRR would Tokaido Shinkansen system, as it is complying with existing FRA safety need to design and develop a brand new implemented in Japan, could result in a standards and regulations. high-speed system. In addition to the decrease in the overall safety of the This proposed rule would facilitate high costs of designing and developing system. a new high-speed system, there would the creation of a new high-speed be high levels of uncertainty associated B. Regulatory Flexibility Act and passenger railroad operating between with the overall safety performance of Executive Order 13272 Dallas and Houston, Texas, utilizing the the system, especially when compared The Regulatory Flexibility Act of 1980 existing Tokaido Shinkansen technology to the Tokaido Shinkansen high-speed (5 U.S.C. 601 et seq.) and Executive that is currently in service in Japan. system. Any new system that TCRR Order 13272 (67 FR 53461, Aug. 16, Without the proposed rulemaking, creates would lack the proven safety 2002) require agency review of proposed TCRR would incur potentially record of the Tokaido Shinkansen high- and final rules to assess their impacts on significant costs (and potentially lower speed system. FRA believes it is small entities. An agency must prepare system performance) to comply with unlikely that TRR would build this an Initial Regulatory Flexibility existing FRA regulations, or would need system under this alternative. Analysis (IRFA) unless it determines to seek waivers of those regulations that and certifies that a rule, if promulgated, would not provide long term regulatory Waivers of Compliance would not have a significant economic certainty. In either event, such costs and As an alternative to redesigning the impact on a substantial number of small uncertainty could potentially leave the Tokaido Shinkansen system to comply entities. As discussed below, FRA does project financially infeasible. If that with FRA’s existing regulations, TCRR not believe this proposed rule would were the case, potential users of the new could apply for waivers of compliance. have a significant economic impact on high-speed rail service between Dallas The continual renewal of waivers would a substantial number of small entities. and Houston would lose the consumer impose a large paperwork burden on However, FRA is requesting comments surplus gains that they would otherwise TCRR as it would need a waiver for a on whether the proposed rule would enjoy, and any external societal benefits large portion of its operations, since the impact small entities. Therefore, FRA is associated with modal shift for proposed system differs greatly from the publishing this IRFA to aid the public passenger travel between the two cities Tier III standards.11 Furthermore, in commenting on the potential small would be lost as well.10 waivers are revocable, and provide business impacts of the requirements in As the Tokaido Shinkansen high- approval that can be subject to change this NPRM. FRA invites all interested speed system is a service-proven and conditions.12 parties to submit data and information system, FRA believes that the proposed This uncertainty of the longevity of regarding the potential economic impact rulemaking is the best course of action waiver approval could hinder the on small entities that would result from to ensure that the public is provided financing and implementation of the the adoption of the proposals in this with the highest level of safety, while TCRR system. In addition to investor NPRM. FRA will consider all still providing regulatory clarity to uncertainty, if waivers are revoked in information, including comments TCRR. the future, there is the potential that the received in the public comment process, TCRR system would need to stop to determine whether the rule will have 3. Alternatives revenue service, which could have a a significant economic impact on small FRA provides two alternatives to the large impact on passengers who desire entities. proposed RPA: The ‘‘No Action’’ to use the high-speed rail system. 1. Reasons FRA Is Considering the FRA also believes that not regulating alternative where, without the proposed Proposed Rule rule, TCRR could decide to not pursue the system holistically could impose the Tokaido Shinkansen high-speed burdens on the Tokaido Shinkansen The proposed rule takes a systems- system and instead pursue a system that system and operations that could be approach to safety, and so includes could be built using the current Tier III detrimental to the overall safety of the standards that address all aspects of the standards, or where TCRR could elect to system. The Tokaido Shinkansen system TCRR high-speed system, including comply with FRA’s existing regulations has a proven safety record with over 50 signal and trainset control, track safety, where the TCRR equipment and years of service without a single rolling stock, operating rules and procedures may conflict, necessitating a passenger-related injury or fatality. Both practices, system qualification tests, and comprehensive set of waivers from TCRR and FRA believe that the personnel qualifications. In addition, existing FRA standards. integration of the whole Tokaido the proposed rule would make Shinkansen system is needed to ensure applicable certain FRA regulations that ‘‘No Build’’ Alternative the historical safety record is apply to all railroads, which are Under one of the potential baseline maintained on TCRR. For example, if appropriate for application to TCRR, alternatives, the ‘‘No Build’’ alternative, TCRR allowed MOW workers to perform such as alcohol and drug standards, without the proposed RPA TCRR could maintenance during revenue service, hours of service requirements, and decide not to pursue the construction of locomotive engineer and conductor its Tokaido Shinkansen high-speed 11 On average, waivers would need to be renewed certification. Consistent with its system and instead could pursue to every 5 years; however, given the complexity of the statement in the most recent Passenger TCRR system it is unknown if those waivers would Equipment Safety Standards final rule, need to be renewed more often. 10 Note that FRA has not made any determination 12 Waivers are designed to provide relief from a published November 21, 2018 (83 FR regarding the potential financial viability of the specific regulatory provision and not to provide 59182), FRA proposes to regulate the TCRR proposal, even under the terms of this NPRM. regulatory oversight for an entire railroad system. TCRR system as a standalone system.

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2. Objectives and the Legal Basis for the above definitions of a ‘‘small entity’’ or safety standards must be in place when Proposed Rule a ‘‘small business.’’ TCRR commences operations. The Federal railroad statutes apply to FRA requests comments about the Furthermore, as TCRR is not all railroads, as defined in 49 U.S.C. impact that the proposed regulation considered a small entity and is the only 20102, including the TCRR system would have on TCRR. entity being regulated through the proposed rule, there is no economic proposed to be built in Texas. 4. Description and Estimate of impact to a small entity for which an Compliance Requirements Including 3. Description and Estimate of the alternative regulatory approach is Differences in Cost, if Any, for Different Number of Small Entities Affected needed in order to minimize the Groups of Small Entities The Regulatory Flexibility Act of 1980 potential impact to small entities. (5 U.S.C. 601 et seq.) requires a review As TCRR is not considered a small FRA invites all interested parties to of proposed and final rules to assess entity and, furthermore, is the only submit data and information regarding their impact on small entities, unless entity being regulated through the the potential economic impact that the Secretary certifies that the rule proposed regulation, there are no would result from adoption of the would not have a significant economic compliance requirements that would proposals in this NPRM. FRA will impact on a substantial number of small impact any small entities. consider all comments received in the public comment process when making a entities. ‘‘Small entity’’ is defined in 5 5. Identification of Relevant Federal determination. U.S.C. 601 as a small business concern Rules That May Duplicate, Overlap, or that is independently owned and Conflict With the Proposed Rule C. Paperwork Reduction Act operated, and is not dominant in its The proposed rule takes a systems- In accordance with the Paperwork field of operation. The U.S. Small approach, and so includes standards Reduction Act of 1995, 44 U.S.C 3501– Business Administration (SBA) has that address all aspects of the TCRR 3520, and its implementing regulations, authority to regulate issues related to high-speed system signal and trainset 5 CFR part 1320, when information small businesses, and stipulates in its size standards that a ‘‘small entity’’ in control, track safety, rolling stock, collection requirements pertain to nine the railroad industry is a for profit ‘‘line- operating rules and practices, system or fewer entities, Office of Management haul railroad’’ that has fewer than 1,500 qualification tests, and personnel and Budget (OMB) approval of the employees, a ‘‘short line railroad’’ with qualifications. In addition, the proposed collection requirements is not required. fewer than 500 employees, or a rule would make applicable certain This regulation pertains to one railroad, ‘‘commuter rail system’’ with annual existing FRA regulations that apply to and therefore, OMB approval of the receipts of less than seven million all railroads, which are appropriate for paperwork collection requirements in dollars. See ‘‘Size Eligibility Provisions application to TCRR, such as alcohol this proposed rule is not required. and drug standards, hours of service and Standards,’’ 13 CFR part 121, D. Federalism Implications requirements, and locomotive engineer subpart A. Additionally, section 601(5) E.O. 13132, ‘‘Federalism’’ (64 FR of the Small Business Act defines and conductor certification. No new 43255, Aug. 10, 1999), requires FRA to ‘‘small entities’’ as governments of regulations are being created with the develop an accountable process to cities, counties, towns, townships, proposed rule but rather, the thresholds ensure ‘‘meaningful and timely input by villages, school districts, or special of specific general rules of applicability State and local officials in the districts with populations less than that apply to all railroads are being development of regulatory policies that 50,000 that operate railroads. modified to accommodate the unique Federal agencies may adopt their own Tokaido Shinkansen high-speed rail have federalism implications.’’ ‘‘Policies size standards for small entities in system. that have federalism implications’’ are consultation with SBA and in As no new regulations are being defined in the Executive Order to conjunction with public comment. created with the proposed rule, FRA include regulations that have Thus, in consultation with SBA, FRA doesn’t believe there is any overlap or ‘‘substantial direct effects on the States, has published a final statement of conflict with any rules and regulations. on the relationship between the national agency policy that formally establishes FRA requests comments regarding any government and the States, or on the ‘‘small entities’’ or ‘‘small businesses’’ overlap or conflict with other rules and distribution of power and as railroads, contractors and shippers regulations that might result from the responsibilities among the various that meet the revenue requirements of a proposed rule. levels of government.’’ Under E.O. 13132, the agency may not issue a Class III railroad 13—$20 million or less 6. Significant Regulatory Alternatives in inflation-adjusted annual revenue— regulation with federalism implications and commuter railroads or small FRA has a regulatory program in that imposes substantial direct government jurisdictions that serve place, pursuant to its statutory compliance costs and that is not populations of 50,000 or less.14 authority, to address equipment, track, required by statute, unless the Federal The ‘‘universe’’ of entities this NPRM operating practices, and human factors Government provides the funds would affect includes only those small in the existing, conventional railroad necessary to pay the direct compliance entities that can reasonably be expected environment. However, significant costs incurred by State and local to be directly affected by the provisions operational and equipment differences governments, or the agency consults of this rule. In this case, the ‘‘universe’’ exist between the system proposed for with State and local government consists of a single railroad, TCRR. For Texas and existing passenger operations officials early in the process of the purposes of this analysis, TCRR is in the United States. In many of the developing the regulation. Where a not considered a small entity, as it is railroad safety disciplines, FRA’s regulation has federalism implications considered to be a passenger railroad, current regulations do not adequately and preempts State law, the agency and therefore doesn’t meet any of the address the safety concerns and seeks to consult with State and local operational characteristics of the officials in the process of developing the 13 See 49 CFR 1201.1 proposed TCRR system. Therefore, to regulation. 14 See 68 FR 24891 (May 9, 2003) (codified at assure the public that this new system This proposed rule has been analyzed appendix C to 49 CFR part 209). will operate safely, minimum Federal under the principles and criteria

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contained in E.O. 13132. This proposed F. Environmental Impact criteria contained in E.O. 13175, rule will not have a substantial effect on FRA is evaluating the potential ‘‘Consultation and Coordination with the States or their political subdivisions, environmental impacts that may result Indian Tribal Governments,’’ dated and it will not affect the relationships from this proposed rule in accordance November 6, 2000. This proposed rule between the Federal Government and with the National Environmental Policy will not have a substantial direct effect on one or more Indian tribes, will not the States or their political subdivisions, Act (NEPA; 42 U.S.C. 4321 et seq.), impose substantial direct compliance or the distribution of power and other environmental statutes, related costs on Indian tribal governments, and responsibilities among the various regulatory requirements, and its will not preempt tribal laws. Therefore, levels of government. In addition, FRA ‘‘Procedures for Considering the funding and consultation has determined that this regulatory Environmental Impacts’’ (FRA’s requirements of E.O. 13175 do not action will not impose substantial direct Procedures) (64 FR 28545, May 26, apply, and a tribal summary impact compliance costs on the States or their 1999). FRA released a draft statement is not required. political subdivisions. Therefore, the environmental impact statement (EIS) consultation and funding requirements for public comment on December 22, I. Unfunded Mandates Reform Act of of E.O. 13132 do not apply. 2017. The public comment period on 1995 However, the final rule arising from the draft EIS closed on March 9, 2018. Under section 201 of the Unfunded this rulemaking could have preemptive FRA is addressing public comments effect by operation of law under certain Mandates Reform Act of 1995 (Pub. L. received on the draft EIS and 104–4, 2 U.S.C. 1531), each Federal provisions of the Federal railroad safety conducting additional environmental agency ‘‘shall, unless otherwise statutes, specifically the former Federal analysis as needed to inform its prohibited by law, assess the effects of Railroad Safety Act of 1970, repealed preparation of the final EIS. FRA must Federal regulatory actions on State, and recodified at 49 U.S.C. 20106, and issue the final EIS and its record of local, and tribal governments, and the the former Locomotive Boiler Inspection decision before issuing the final rule private sector (other than to the extent Act (LIA) at 45 U.S.C. 22–34, repealed establishing an alternative regulatory that such regulations incorporate and re-codified at 49 U.S.C. 20701– framework for safety oversight of the requirements specifically set forth in 20703. Section 20106 provides that system proposed by TCRR. The draft EIS law).’’ Section 202 of the Act (2 U.S.C. States may not adopt or continue in is available on FRA’s website at https:// 1532) further requires that ‘‘before effect any law, regulation, or order www.fra.dot.gov/Page/P0700. FRA will promulgating any general notice of related to railroad safety or security that provide notice of publication of the final proposed rulemaking that is likely to covers the subject matter of a regulation EIS to the public in the Federal result in the promulgation of any rule prescribed or order issued by the Register, through the Environmental that includes any Federal mandate that Secretary of Transportation (with Protection Agency’s weekly Notice of may result in expenditure by State, respect to railroad safety matters) or the Availability, and on its website at the local, and tribal governments, in the Secretary of Homeland Security (with above web address. aggregate, or by the private sector, of respect to railroad security matters), $100,000,000 or more (adjusted except when the State law, regulation, G. Executive Order 12898 (Environmental Justice) annually for inflation) in any 1 year, and or order qualifies under the ‘‘essentially before promulgating any final rule for local safety or security hazard’’ E.O. 12898, ‘‘Federal Actions to which a general notice of proposed exception to section 20106. Moreover, Address Environmental Justice in rulemaking was published, the agency the former LIA has been interpreted by Minority Populations and Low-Income shall prepare a written statement’’ the Supreme Court as preempting the Populations,’’ and DOT Order 5610.2(a) detailing the effect on State, local, and field concerning locomotive safety. See (91 FR 27534, May 10, 2012) require tribal governments and the private Napier v. Atlantic Coast Line R.R., 272 DOT agencies to achieve environmental sector. This proposed rule will not U.S. 605 (1926). justice as part of their mission by result in the expenditure, in the E. International Trade Impact identifying and addressing, as aggregate, of $100,000,000 or more (as Assessment appropriate, disproportionately high adjusted annually for inflation) in any and adverse human health or one year, and thus preparation of such The Trade Agreements Act of 1979 environmental effects, including a statement is not required. (Pub. L. 96–39, 19 U.S.C. 2501 et seq.) interrelated social and economic effects, prohibits Federal agencies from of their programs, policies, and J. Energy Impact engaging in any standards or related activities on minority populations and E.O. 13211, ‘‘Actions Concerning activities that create unnecessary low-income populations. The DOT Regulations That Significantly Affect obstacles to the foreign commerce of the Order instructs DOT agencies to address Energy Supply, Distribution, or Use,’’ United States. Legitimate domestic compliance with E.O. 12898 and requires Federal agencies to prepare a objectives, such as safety, are not requirements within the DOT Order in Statement of Energy Effects for any considered unnecessary obstacles. The rulemaking activities, as appropriate. ‘‘significant energy action.’’ See 66 FR statute also requires consideration of FRA has evaluated this proposed rule 28355, May 22, 2001. FRA has evaluated international standards and, where under E.O. 12898 and the DOT Order this proposed rule in accordance with appropriate, that they be the basis for and has determined that it will not E.O. 13211 and determined that this U.S. standards. cause disproportionately high and regulatory action is not a ‘‘significant FRA has assessed the potential effect adverse human health and energy action’’ within the meaning of of this proposed rulemaking on foreign environmental effects on minority the E.O. commerce and believes that its populations or low-income populations. E.O. 13783, ‘‘Promoting Energy proposed requirements are consistent Independence and Economic Growth,’’ with the Trade Agreements Act. The H. Executive Order 13175 (Tribal requires Federal agencies to review requirements are safety standards, Consultation) regulations to determine whether they which, as noted, are not considered FRA has evaluated this proposed rule potentially burden the development or unnecessary obstacles to trade. in accordance with the principles and use of domestically produced energy

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resources, with particular attention to 299.215 Operations and Maintenance Subpart E—Operating Rules oil, natural gas, coal, and nuclear energy Manual. 299.501 Purpose. resources. See 82 FR 16093, March 31, Subpart C—Track Safety Standards 299.503 Operating rules; filing and recordkeeping. 2017. FRA has determined this 299.301 Restoration or renewal of track regulatory action will not burden the 299.505 Programs of operational tests and under traffic conditions. inspections; recordkeeping. development or use of domestically 299.303 Measuring track not under load. produced energy resources. 299.507 Program of instruction on operating 299.305 Drainage. rules; recordkeeping. 299.307 Vegetation. K. Privacy Act Statement 299.309 Classes of track: operating speed Subpart F—System Qualification Tests In accordance with 5 U.S.C. 553(c), limits. 299.601 Responsibility for verification DOT solicits comments from the public 299.311 Track geometry; general. demonstrations and tests. to better inform its rulemaking process. 299.313 Track geometry; performance 299.603 Preparation of system-wide DOT posts these comments, without based. qualification test plan. edit, to www.regulations.gov, as 299.315 Curves; elevations and speed 299.605 Functional and performance limitations. qualification tests. described in the system of records 299.317 Track strength. notice, DOT/ALL–14 FDMS, accessible 299.607 Pre-revenue service systems 299.319 Track fixation and support. integration testing. through www.dot.gov/privacy. To 299.321 Defective rails. 299.609 Vehicle/track system qualification. facilitate comment tracking and 299.323 Continuous welded rail (CWR) 299.611 Simulated revenue operations. response, we encourage commenters to plan. 299.613 Verification of compliance. provide their name, or the name of their 299.325 Continuous welded rail (CWR); general. Subpart G—Inspection, Testing, and organization; however, submission of Maintenance Program names is completely optional. Whether 299.327 Rail end mismatch. commenters identify themselves, all 299.329 Rail joints and torch cut rails. 299.701 General requirements. 299.331 Turnouts and crossings generally. 299.703 Compliance. timely comments will be fully 299.333 Frog guard rails and guard faces; 299.705 Standard procedures for safely considered. If you wish to provide gauge. performing inspection, testing, and comments containing proprietary or 299.335 Derails. maintenance, or repairs. confidential information, please contact 299.337 Automated vehicle-based 299.707 Maintenance intervals. the agency for alternate submission inspection systems. 299.709 Quality control program. instructions. 299.339 Daily sweeper inspection. 299.711 Inspection, testing, and 299.341 Inspection of rail in service. maintenance program format. List of Subjects 299.343 Initial inspection of new rail and 299.713 Program approval procedures. High-speed rail, Incorporation by welds. Appendix A to Part 299—Criteria for reference, Railroad safety, Reporting and 299.345 Visual inspections; right-of-way. Certification of Crashworthy Event Recorder recordkeeping requirements, Rule of 299.347 Special inspections. Memory Module 299.349 Inspection records. particular applicability, Tokaido 299.351 Qualifications for track Appendix B to Part 299—Cab Noise Test Shinkansen. maintenance and inspection personnel. Protocol The Proposed Rule 299.353 Personnel qualified to supervise track restoration and renewal. Authority: 49 U.S.C. 20103, 20107, 20133, For the reasons discussed in the 299.355 Personnel qualified to inspect 20141, 20302–20303, 20306, 20701–20702, preamble, FRA proposes to add part 299 track. 21301–21302, 21304; 28 U.S.C. 2461, note; to chapter II, subtitle B of title 49, Code 299.357 Personnel qualified to inspect and and 49 CFR 1.89. of Federal Regulations as follows: restore continuous welded rail. Subpart A—General Requirements 1. Part 299 is added to read as follows: Subpart D—Rolling Stock § 299.1 Purpose and scope. PART 299—TEXAS CENTRAL 299.401 Clearance requirements. RAILROAD HIGH–SPEED RAIL 299.403 Trainset structure. This part prescribes minimum Federal SAFETY STANDARDS 299.405 Trainset interiors. safety standards for the high-speed 299.407 Glazing. transportation system described in Subpart A—General Requirements 299.409 Brake system. detail in § 299.13, known as Texas 299.411 Bogies and suspension system. Sec. Central Railroad, LLC and hereinafter 299.413 Fire safety. 299.1 Purpose and scope. referred to as the ‘‘railroad.’’ The 299.415 Doors. 299.3 Applicability. 299.417 Emergency lighting. purpose of this part is to prevent 299.5 Definitions. 299.419 Emergency communication. accidents, casualties, and property 299.7 Responsibility for compliance. damage which could result from 299.9 Notifications and filings. 299.421 Emergency roof access. 299.11 Electronic recordkeeping. 299.423 Markings and instructions for operation of this system. emergency egress and rescue access. 299.13 System description. § 299.3 Applicability. 299.15 Special approvals. 299.425 Low-location emergency exit path 299.17 Incorporation by reference. marking. (a) This part applies only to the 299.427 Emergency egress windows. railroad, as described in § 299.13. Subpart B—Signal and Trainset Control 299.429 Rescue access windows. (b) Except as stated in paragraph (c) System 299.431 Driver’s controls and cab layout. of this section, this part, rather than the 299.201 Technical PTC system 299.433 Exterior lights. generally applicable Federal railroad requirements. 299.435 Electrical system design. safety regulations, shall apply to the 299.203 PTC system required. 299.437 Automated monitoring. railroad. 299.439 Event recorders. 299.205 PTC System Certification. (c) The following Federal railroad 299.207 PTC Safety Plan content 299.441 Trainset electronic hardware and requirements. software safety. safety regulations found in Title 49 of 299.209 PTC system use and failures. 299.443 Safety appliances. the Code of Federal Regulations, and 299.211 Communications and security 299.445 Trainset inspection, testing, and any amendments are applicable to the requirements. maintenance requirements. railroad. 299.213 Records retention. 299.447 Movement of defective equipment. (1) Part 207, Railroad Police Officers;

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(2) Part 209, Railroad Safety vehicle, which shall have a clearance Brake, air means a combination of Enforcement Procedures; above top of rail no less than 35 mm devices operated by compressed air, (3) Part 210, Railroad Noise Emission (1.77 inches). arranged in a system and controlled Compliance Regulations; (B) Section 229.73. Instead, the electrically or pneumatically, by means (4) Part 211, Rules of Practice; railroad’s maintenance-of-way of which the motion of a train or trainset (5) Part 212, State Safety Participation equipment shall be designed so as to be is retarded or arrested. Regulations; compatible with the railroad’s track Brake, disc means a retardation (6) Part 214, Railroad Workplace structure under subpart C of this part. system used on the passenger trainsets Safety, except § 214.339; (iv) Part 231, Railroad Safety that utilizes flat discs as the braking (7) Part 216, Special Notice and Appliance Standards; and, surface. Emergency Order Procedures; (v) Part 232, Railroad Power Brakes Brake, electric means a trainset (8) Part 218, Railroad Operating and Drawbars. braking system in which the kinetic Practices; (d) The Federal railroad safety statutes energy of a moving trainset is used to (9) Part 219, Control of Alcohol and apply to all railroads, as defined in 49 generate electric current at the traction Drug Use; U.S.C. 20102. The railroad covered by motors, which is then returned into the (10) Part 220, Radio Standards and this part is a railroad under that catenary system. Procedures; definition. Therefore, the Federal Brake, emergency application means a (11) Part 225, Railroad Accidents/ railroad safety statutes, Subtitle V of brake application initiated by a de- Incidents: Reports, Classification, and Title 49 of the United States Code, apply energized brake command and is Investigations; directly to the railroad. However, retrievable when there is no (12) Part 227, Occupational Noise pursuant to authority granted under 49 malfunction that initiates an automatic Exposure except § 227.119(c)(10) and U.S.C. 20306, FRA has exempted the emergency brake application. An (11) with respect to the railroad’s high- railroad from certain requirements of 49 emergency brake application can be speed trainsets only, which shall U.S.C. ch. 203. initiated by the driver or automatically comply with 299.431(k) and (l); § 299.5 Definitions. by ATC. An emergency brake (13) Part 228, Hours of Service of As used in this part— application, as defined here, is Railroad Employees; Absolute block means a block of track equivalent to a full-service brake (14) Part 233, Signal Systems circuits in which no trainset is application in the U.S. Reporting Requirements; permitted to enter while occupied by Brake, urgent application means an (15) Part 235, Instructions Governing another trainset. irretrievable brake application designed Applications for Approval of a Adjusting/de-stressing means the to minimize the braking distance. An Discontinuance or Material procedure by which a rail’s neutral urgent brake application, as defined Modification of a Signal System or temperature is readjusted to the desired here, is the equivalent of an emergency Relief from the Requirements of Part value. It typically consists of cutting the brake application in the U.S. 236, except § 235.7; rail and removing rail anchoring Bogie means an assembly that (16) Part 236, Installation, Inspection, devices, which provides for the supports the weight of the carbody and Maintenance and Repair of Signal and necessary expansion and contraction, which incorporates the suspension, Train Control System, Devices, and and then re-assembling the track. wheels and axles, traction motors and Appliances, subparts A through G, as Administrator means the friction brake components. Each unit of excepted by the railroad’s PTC Safety Administrator of the FRA or the a trainset is equipped with two bogies. Plan (PTCSP) under § 299.201(d); Administrator’s delegate. In the U.S. a bogie is commonly referred (17) Part 237, Railroad Bridge Safety Associate Administrator means FRA’s to as a truck. Standards; Associate Administrator for Safety and Broken rail means a partial or (18) Part 239, Passenger Train Chief Safety Officer, or that person’s complete separation of an otherwise Emergency Preparedness; delegate. continuous section of running rail, (19) Part 240, Qualification and Automatic train control (ATC) means excluding rail joints, expansion joints, Certification of Locomotive Engineers; the signaling system, composed of and insulated joints. (20) Part 242, Qualification and ground and on-board equipment. The Buckling incident/buckling rail means Certification of Train Conductors; on-board equipment continually the formation of a lateral misalignment (21) Part 243, Training, Qualification, receives a signal from the ground caused by high longitudinal and Oversight for Safety-Related equipment. ATC on-board equipment compressive forces in a rail sufficient in Railroad Employees; controls the trainset speed to prevent magnitude to exceed the track geometry (22) Part 270, System Safety Program train-to-train collisions and overspeed alignment safety limits defined in (23) Part 272, Critical Incident Stress derailments. § 299.309. Plans; and ATC cut-out mode means the mode of Buckling-prone condition means a (24) The following parts shall apply to ATC on-board equipment used for track condition that can result in the the railroad’s maintenance-of-way emergency operations to disable the track being laterally displaced due to equipment as it is used in work trains, ATC on-board equipment on the high compressive forces caused by rescue operations, yard movements, and trainset. critical rail temperature combined with other non-passenger functions: ATC main line mode means the mode insufficient track strength and/or train (i) Part 215, Railroad Freight Car of ATC on-board equipment which dynamics. Safety Standards; controls trainset speed on mainlines. Cab means the compartment or space (ii) Part 223 Glazing Standards; ATC overrun protection means an within a trainset that is designed to be (iii) Part 229, Railroad Locomotive overlay of the ATC shunting mode to occupied by a driver and contain an Safety Standards, except— prevent overrun at the end of a track. operating console for exercising control (A) Section 229.71. Instead, the ATC shunting mode means the mode over the trainset. railroad’s maintenance-of-way of ATC on-board equipment which Cab car means a rail vehicle at the equipment shall comply with restricts the trainsets maximum speed to leading or trailing end, or both, of a § 299.401(b), except for the sweeper 30 km/h (19 mph). trainset which has a driver’s cab and is

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intended to carry passengers, baggage, monitors and records data, as detailed Interior fitting means any component or mail. A cab car may or may not have in §§ 299.439 and 236.1005(d) of this in the passenger compartment which is propelling motors. chapter, over the most recent 48 hours mounted to the floor, ceiling, sidewalls, Cab end structure means the main of operation of the trainset. or end walls and projects into the support projecting upward from the Expansion joint means a piece of passenger compartment more than 25 underframe at the cab end of a trainset. special trackwork designed to absorb mm (1 in.) from the surface or surfaces Cab signal means a signal located in heat-induced expansion and contraction to which it is mounted. Interior fittings the driver’s compartment or cab, of the rails. do not include side and end walls, indicating a condition affecting the General control center means the floors, door pockets, or ceiling lining movement of a trainset. location where the general control materials, for example. Calendar day means a time period center staff work. Intermediate car means a passenger running from one midnight to the next General control center staff means car or unit of a trainset located between midnight on a given date. qualified individuals located in the cab cars which may or may not have Cant deficiency means the additional general control center who are propelling motors. height, which if added to the outer rail responsible for the safe operation of the L/V ratio means the ratio of the lateral in a curve, at the designated vehicle railroad’s high-speed passenger rail force that any wheel exerts on an speed, would provide a single resultant system. The duties of individuals who individual rail to the vertical force force, due to the combined effects of work at the general control center exerted by the same wheel on the rail. weight and centrifugal force on the include: Trainset movement control, Lateral means the horizontal direction vehicle, having a direction crew logistic management, signaling, perpendicular to the direction of travel. perpendicular to the plane of the track. passenger services, rolling stock logistic Locomotive means a piece of on-track Continuous welded rail (CWR) means management, and right-of-way rail equipment, other than hi-rail, rail that has been welded together into maintenance management. specialized maintenance, or other lengths exceeding 122 m (400 feet). Rail Glazing, end-facing means any similar equipment, which may consist installed as CWR remains CWR, exterior glazing installed in a trainset of one or more units operated from a regardless of whether a joint is installed cab located where a line perpendicular single control stand with one or more into the rail at a later time. to the exterior surface glazing material propelling motors designed for moving Consist, fixed means a semi- makes horizontal angle of 50 degrees or other passenger equipment; with one or permanently coupled trainset that is less with the longitudinal center line of more propelling motors designed to arranged with each unit in a specific the rail vehicle in which the panel is transport freight or passenger traffic, or location and orientation within the installed. A glazing panel that curves so both; or without propelling motors but trainset. as to meet the definition for both side- with one or more control stands. Core system, high-speed means the Longitudinal means in a direction facing and end-facing glazing is end- safety-critical systems, sub-systems, and parallel to the direction of travel of a rail facing glazing. procedures required for a high-speed vehicle. Glazing, exterior means a glazing system operation that assures a safe Marking/delineator means a visible panel that is an integral part of the operation as required within this part. notice, sign, symbol, line or trace. Crewmember means a railroad exterior skin of a rail vehicle with a N700 means the N700 series trainset employee called to perform service surface exposed to the outside currently in, or future variants approved covered by 49 U.S.C. 21103. environment. for, use on JRC’s Tokaido Shinkansen Critical buckling stress means the Glazing, side-facing means any system. minimum stress necessary to initiate glazing located where a line Occupied volume means the volume buckling of a structural member. perpendicular to the exterior surface of of a passenger car or a unit in a trainset Desired rail installation temperature the panel makes an angle of more than where passengers or crewmembers are range means the rail temperature range 50 degrees with the longitudinal center normally located during service in a specific geographical area, at which line of the rail vehicle in which the operation, such as the cab and passenger forces in CWR installed in that panel is installed. seating areas. The entire width of a temperature range should not cause a High voltage means an electrical vehicle’s end compartment that contains track buckle in extreme heat, or a pull- potential of more than 150 volts. a control stand is an occupied volume. apart during extreme cold weather. In passenger service/in revenue A vestibule is typically not considered Disturbed track means the service means a trainset that is carrying, occupied. disturbance of the roadbed or ballast or available to carry, passengers. On-board attendant means a qualified section, as a result of track maintenance Passengers need not have paid a fare in individual on a trainset that is or any other event, which reduces the order for the trainset to be considered in responsible for coordination with a lateral or longitudinal resistance of the passenger or in revenue service. station platform attendant to assure track, or both. In service means, when used in safety during passenger boarding and Driver means any person who controls connection with trainset, a trainset alighting within a station. An on-board the movement of a trainset(s) from the subject to this part that is in revenue attendant, as used in this part, is cab, and is required to be certified under service, unless the equipment— equivalent to a passenger conductor. 49 CFR part 240. A driver, as used in (1) Is being handled in accordance Override means to climb over the this part, is equivalent to a locomotive with § 299.447, as applicable; normal coupling or side buffers and engineer. (2) Is in a repair shop or on a repair linking mechanism and impact the end Employee or railroad employee means track; or of the adjoining rail vehicle or unit an individual who is engaged or (3) Is on a storage track and is not above the underframe. compensated by the railroad or by a carrying passengers. Overrun protection coil means track contractor to the railroad to perform any Insulated joint, glued means a rail circuit cables placed short of turnouts, of the duties defined in this part. joint located at the end of a track circuit or crossovers within stations and Event recorder means a device, designed to insulate electrical current trainset maintenance facilities to designed to resist tampering, that from the signal system in the rail. prevent unauthorized route access.

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Passenger car means a unit of a Rollover strength means the strength by all operating conditions and signal trainset intended to provide provided to protect the structural indications. transportation for members of the integrity of a rail vehicle in the event Speed, maximum safe operating general public. A cab car and an the vehicle leaves the track and impacts means the highest speed at which intermediate car are considered the ground on its side or roof. trainset braking may occur without passenger cars. Safety appliance means an appliance, thermal damage to the discs. Passenger compartment means an required under 49 U.S.C. ch. 203, Station platform attendant means a area of a passenger car that consists of excluding power brakes. The term qualified individual positioned on the a seating area and any vestibule that is includes automatic couplers, station platform in close proximity to connected to the seating area by and handbrakes, crew steps, handholds, the train protection switches while a open passageway. handrails, or ladder treads made of steel trainset is approaching and departing a Passenger equipment means the N700 or a material of equal or greater station, and is responsible for series trainset currently in, or future mechanical strength used by the coordination with an on-board attendant variants approved for, use on the on traveling public or railroad employees to assure safety during passenger JRC’s Tokaido Shinkansen system, or that provides a means for safe coupling, boarding and alighting within a station. any unit thereof. uncoupling, or ascending or descending Superelevation means the actual Permanent deformation means the passenger equipment. elevation of the outside rail above the undergoing of a permanent change in Safety-critical means a component, inside rail. shape of a structural member of a rail system, software, or task that, if not Sweeper vehicle means a rail vehicle vehicle. available, defective, not functioning, not whose function is to detect obstacles PTC means positive train control as functioning correctly, not performed, or within the static construction gauge further described in § 299.201. not performed correctly, increases the prior to the start of daily revenue Qualified individual means a person risk of damage to railroad equipment or service. that has successfully completed all injury to a passenger, railroad employee, Tight track means CWR which is in a instruction, training, and examination or other person. considerable amount of compression. Track acceleration measurement programs required by both the employer Search, valid means a continuous system (TAMS) means an on-track, and this part, and that the person, inspection for internal rail defects vehicle-borne technology used to therefore, may reasonably be expected where the equipment performs as measure lateral and vertical carbody to proficiently perform his or her duties intended and equipment responses are accelerations. in compliance with all Federal railroad interpreted by a qualified individual as defined in subpart C. Track geometry measurement system safety laws, regulations, and orders. (TGMS) means an on-track, vehicle- Rail neutral temperature is the Semi-permanently coupled means coupled by means of a drawbar or other borne technology used to measure track temperature at which the rail is neither surface, twist, crosslevel, alignment, and in compression nor tension. coupling mechanism that requires tools to perform the coupling or uncoupling gauge. Rail temperature means the operation. Coupling and uncoupling of Track lateral resistance means the temperature of the rail, measured with each semi-permanently coupled unit in resistance provided to the rail/crosstie a rail thermometer. a trainset can be performed safely only structure against lateral displacement. Rail vehicle means railroad rolling while at a trainset maintenance facility Track longitudinal resistance means stock, including, but not limited to where personnel can safely get under a the resistance provided by the rail passenger and maintenance vehicles. unit or between units, or other location anchors/rail fasteners and the ballast Railroad equipment means all trains, under the protections of subpart B of section to the rail/crosstie structure trainsets, rail cars, locomotives, and on- part 218 of this chapter. against longitudinal displacement. track maintenance vehicles owned or Side sill means that portion of the Track, non-ballasted means a track used by the railroad. underframe or side at the bottom of the structure not supported by ballast in Railroad, the means the company, rail vehicle side wall. which the rails are directly supported also known as the Texas Central Shinkansen, Tokaido means the high- by concrete or steel structures. Non- Railroad, LLC, which is the entity that speed rail system operated by the ballasted track can include slab track will operate and maintain the high- Central Japan Railway Company and track structures where the rails are speed rail system initially connecting between Tokyo and Shin-Osaka, Japan, directly fixed to steel bridges or to Dallas to Houston, Texas, and is that is fully dedicated and grade servicing pits within trainset responsible for compliance with all separated. maintenance facilities. aspects of this rule. Slab track means railroad track Train means a trainset, or locomotive Repair point means a location structure in which the rails are attached or locomotive units coupled with or designated by the railroad where repairs to and supported by a bed or slab, without cars. of the type necessary occur on a regular usually of concrete (or asphalt), which Train-induced forces means the basis. A repair point has, or should acts to transfer the load and provide vertical, longitudinal, and lateral have, the facilities, tools, and personnel track stability. dynamic forces which are generated qualified to make the necessary repairs. Spall, glazing means small pieces of during train movement and which can A repair point need not be staffed glazing that fly off the back surface of contribute to the buckling potential of continuously. the glazing when an object strikes the the rail. Representative car/area means a car/ front surface. Train protection switch means a area that shares the relevant Speed, maximum approved means the safety device located on station characteristics as the car(s)/area(s) it maximum trainset speed approved by platforms and on safe walkways along represents (i.e., same signage/marking FRA based upon the qualification tests the right-of-way. The train protection layout, and charging light system for conducted under § 299.609(g). switch is tied directly into the ATC passive systems or light fixtures and Speed, maximum authorized means system and is used in the event that power system for electrically powered the speed at which trainsets are trainsets in the immediate area must be systems). permitted to travel safely, as determined stopped.

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Trainset means a passenger train trainset’s departure as soon as it has record is certified by the employee who including the cab cars and intermediate received, or should have received the created the record. cars that are semi-permanently coupled inspection required under this part for (c) Any amendment to a record is to operate as a single consist. The movement and is ready for service. either— individual units of a trainset are (c) Although many of the (1) Electronically stored apart from uncoupled only for emergencies or requirements of this part are stated in the record that it amends; or maintenance conducted in repair terms of the duties of the railroad, when (2) Electronically attached to the facilities. any person (including, but not limited record as information without changing Trainset maintenance facility means a to, a contractor performing safety- the original record; location equipped with the special related tasks under contract to the (d) Each amendment to a record tools, equipment, and qualified railroad subject to this part) performs uniquely identifies the person making individuals capable of conducting pre- any function required by this part, that the amendment; service inspections and regular person (whether or not the railroad) is (e) The system employed by the inspections on the trainsets in required to perform that function in railroad for data storage permits accordance with the railroad’s accordance with this part. reasonable access and retrieval; and inspection, testing, and maintenance (d) For purposes of this part, the (f) Information retrieved from the program. Trainset maintenance facilities railroad shall be responsible for system can be easily produced in a are also considered repair points. compliance with all track safety printed format which can be readily Transponder means a wayside provisions set forth in subpart C of this provided to FRA representatives in a component of the ATC system used to part. When the railroad and/or its timely manner and authenticated by a provide trainset position correction on assignee have actual knowledge of the designated representative of the railroad the mainline or to provide an overlay of facts giving rise to a violation, or a as a true and accurate copy of the overrun protection within a trainset reasonable person acting in the railroad’s records if requested to do so maintenance facility. circumstances and exercising reasonable by FRA representatives. care would have knowledge that the Underframe means the lower § 299.13 System description. horizontal support structure of a rail track does not comply with the vehicle. requirements of this part, it shall— (a) General. This section describes the Unit, trainset means a cab car or (1) Bring the track into compliance; components, operations, equipment, intermediate car of a trainset. (2) Halt operations over that track; or and systems of the railroad’s high-speed Vestibule means an area of a (3) Continue operations over the rail system. The railroad shall adhere to passenger car that normally does not segment of non-complying track in the following general requirements: contain seating, is located adjacent to a accordance with the provisions of (1) The railroad shall not exceed the side exit door, and is used in passing § 299.309(b) or (c). maximum trainset speed approved by (e) The FRA Administrator may hold from a seating area to a side exit door. FRA under § 299.609(g) while in the railroad, the railroad’s contractor, or Yard means a system of tracks within revenue service, up to a maximum both responsible for compliance with defined limits and outside of the speed of 330 km/h (205 mph). the requirements of this part and subject territory controlled by signals, which (2) The railroad shall not transport or to civil penalties. can be used for the making up of non- permit to be transported in revenue service any product that has been passenger trains or the storing of § 299.9 Notification and filings. established to be a hazardous material maintenance-of-way equipment. All notifications and filings to the Yield strength means the ability of a pursuant to 49 CFR part 172, as FRA required by this part shall be amended. structural member to resist a change in submitted to the Associate length caused by a applied load. (3) The railroad shall not conduct Administrator for Railroad Safety and scheduled right-of-way maintenance on Exceeding the yield strength will cause Chief Safety Officer, 1200 New Jersey permanent deformation of the member. a section of the right-of-way prior to that Avenue SE, Washington, DC 20590, section of the right-of-way being cleared § 299.7 Responsibility for compliance. unless otherwise specified. of all revenue service trainsets (a) The railroad shall not— § 299.11 Electronic recordkeeping. (including any trainset repositioning (1) Use, haul, or permit to be used or The railroad’s electronic moves), and proper action is taken by hauled on its line(s) any trainset— recordkeeping shall be retained such the general control center staff to protect (i) With one or more defects not in that— incursion into established maintenance compliance with this part; or (a) The railroad maintains an zones by revenue trainsets. (ii) That has not been inspected and information technology security Additionally, the railroad shall not tested as required by a provision of this program adequate to ensure the integrity commence revenue service prior to part. of the electronic data storage system, completion of the maintenance (2) Operate over any track, except as including the prevention of activities, that section of the right-of- provided in paragraph (e) of this unauthorized access to the program way being cleared of all maintenance-of- section, with one or more conditions not logic or individual records; way equipment. Further, the railroad is in compliance this part, if the railroad (b) The program and data storage prohibited from commencing revenue has actual knowledge of the facts giving system must be protected by a security operations until after conclusion of the rise to the violation, or a reasonable system that utilizes an employee daily sweeper inspection, under person acting in the circumstances and identification number and password, or § 299.339, and the general control center exercising reasonable care would have a comparable method, to establish returning the signal and trainset control that knowledge. appropriate levels of program access system to the state required to protect (3) Violate any other provision of this meeting all of the following standards: revenue operations. part or any provision of the applicable (1) No two individuals have the same (b) Right-of-way. (1) The railroad shall FRA regulations listed under § 299.3(c). electronic identity; and operate on a completely dedicated right- (b) For purposes of this rule, a trainset (2) A record cannot be deleted or of-way and shall not operate or conduct shall be considered in use prior to the altered by any individual after the joint operations with any other freight

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equipment, other than the railroad’s walkways located at a safe distance from protected against the impact of road maintenance-of-way equipment, or the tracks at a minimum distance of 2.0 vehicles or water-borne vessels. passenger rail equipment. Only the m (6.56 feet) from the field side of the (15) Train protection switches shall be railroad’s high-speed trainsets approved outside rail for a design speed of 330 installed at regular intervals on both for revenue operations under this part, km/h (205 mph). The walkways shall be sides of the right-of-way at intervals and any equipment required for used primarily for track and right-of- defined by the railroad and at intervals construction, maintenance, and rescue way inspection, but may be used for not to exceed 60 m (197 feet) on purposes may be operated over the emergency evacuation or rescue access. platforms within stations. These devices railroad’s right-of-way. (10) Access to the right-of-way by shall act directly on the ATC system. (2) There shall be no public highway- maintenance-of-way personnel shall not (16) The railroad shall use the design rail grade crossings. Animal and non- be allowed during revenue operations wheel and rail profiles, service-proven railroad equipment crossings shall be unless the access is outside the on the Tokaido Shinkansen system, or accomplished by means of an underpass minimum safe distance defined in alternate wheel and rail profiles or overpass. Private at-grade crossings § 299.13(b)(9). In the event of approved by FRA. shall be for the exclusive use by the unscheduled maintenance or repair, (c) Railroad system safety—(1) railroad and shall be limited to track emergency access will be provided Inspection, testing, and maintenance Classes H0 and H1. under specific circumstances allowed procedures and criteria. The railroad (3) The railroad shall develop and under the railroad’s operating rules and shall develop, implement, and use a comply with a right-of-way barrier plan. the inspection, testing, and maintenance system of inspection, testing, The right-of-way barrier plan shall be program. maintenance procedures and criteria, maintained at the system headquarters (11) The railroad shall record all under subpart G of this part, which are and will be made available to FRA upon difficulties and special situations initially based on the Japanese Tokaido request. At a minimum, the plan will regarding geology, hydrology, Shinkansen system service-proven contain provisions in areas of settlement, landslide, concrete, and procedures and criteria, to ensure the demonstrated need for the prevention quality criteria that arise during integrity and safe operation of the of— construction of the right-of-way. After railroad’s rolling stock, infrastructure, (i) Vandalism; construction, the railroad shall monitor and signal and trainset control system. (ii) Launching of objects from the stability and quality standards of The railroad may, subject to FRA review overhead bridges or structures onto the structures such as bridges, viaducts, and and approval, implement inspection, path of trainsets; earth structures. testing, maintenance procedures and (iii) Intrusion of vehicles from (12) The railroad shall make available criteria, incorporating new or emerging adjacent rights-of-way; and for review by the FRA the track layout technology, under § 299.713(d)(4). (iv) Unauthorized access to the right- drawings which show, at a minimum, (2) Operating practices. The railroad of-way. the following information: (4) The entire perimeter of the shall develop, implement, and use system’s right-of-way, except for (i) Length of straight sections, spirals operating rules, which meet the elevated structures such as bridges and and curves, curve radius, standards set forth in subpart E of this viaducts shall be permanently fenced. superelevation, superelevation part and which are based on practices Elevated structures shall be equipped variations, gradients, and vertical curve and procedures proven on the Tokaido with walkways and safety railing. radii; Shinkansen system to ensure the (5) The railroad shall install intrusion (ii) Turnouts and crossover location, integrity and safe operation of the detectors in accordance with the technology, and geometry; railroad’s system. The railroad shall requirements set forth in subpart C of (iii) Maximum operating speed and have station platform attendants on the this part. allowable cant deficiencies; platform in close proximity to the train (6) The railroad shall install rain, (iv) Signal boxes, Go/No-Go signals, protection switches required by flood, and wind detectors in locations and communication devices; paragraph (b)(15) of this section, while identified by the railroad, based on (v) Details and arrangement of track trainsets are approaching and departing relevant criteria used by JRC to provide circuitry; the station. The railroad’s operating adequate warning of when operational (vi) Power feeding equipment rules shall require coordination between restrictions are required due to adverse including sectionalization, and return on-board crew and station platform weather conditions. Operating routing; attendants to assure safety during restrictions shall be defined in the (vii) Location of accesses to the right- passenger boarding and alighting from railroad’s operating rules. of-way; and trainsets at stations. (7) Access to the right-of-way for (viii) The railroad shall also submit (3) Personnel qualification maintenance-of-way staff shall be the specifications for the track layout, requirements. The railroad shall provided on both sides of the right-of- permissible track forces, components develop, implement, and use a training way in accordance with the inspection, such as rail, ballast, ties, rail fasteners, and testing program, which meets the testing, and maintenance program. This and switches. requirements set forth in this part and access shall be protected against entry (13) Protection devices shall be part 243 of this chapter, to ensure that by unauthorized persons. installed on all highway bridge all personnel, including railroad (8) Provision shall be made to permit overpasses in accordance with the right- employees and employees of railroad emergency personnel to access the right- of-way plan in paragraph (b)(3) of this contractors, possess the skills and of-way in accordance with the section. knowledge necessary to effectively Emergency Preparedness Plan pursuant (14) There shall be no movable perform their duties. to part 239 of this chapter. This access bridges in the railroad’s system. (4) System qualification tests. The shall be protected against entry by Stationary rail bridges located over railroad shall develop, implement, and unauthorized persons. highways or navigable waterways shall use a series of operational and design (9) Throughout the length of the right- have their foundations, piers, or other tests, which meet the standards set forth of-way, the railroad shall install support structure appropriately in subpart F of this part, to demonstrate

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the safe operation of system (7) Turnouts, expansion joints and position and command switch-and-lock components, and the system as a whole. glued-insulated joints shall be of the movements on mainlines and within (d) Track and infrastructure. (1) The proven design as used on the Tokaido trainset maintenance facilities. railroad shall construct its track and Shinkansen system. (7) Track circuits shall be used to infrastructure to meet all material and (8) The trainsets and stations shall be provide broken rail detection. operational design criteria, within designed to permit level platform (8) Overrun protection coils shall be normal acceptable construction boarding for passengers and crew at all used at mainline turnouts, crossovers tolerances, and to meet the requirements side entrance doors. Provisions for high within stations and trainset set forth in subpart C of this part. level boarding shall be made at all maintenance facilities to prevent (2) The railroad shall operate on locations in trainset maintenance unauthorized route access. nominal standard gauge, 1,435 mm (56.5 facilities where crew and maintenance (9) Transponders shall be used on the inches), track. personnel are normally required to mainline to provide trainset position (3) The railroad shall install and access or disembark trainsets. correction. Transponders may be used operate on double track throughout the (e) Signal and trainset control to provide an overlay of overrun mainlines, with a minimum nominal systems. (1) The railroad’s signal and protection within a trainset distance between track centerlines of 4 trainset control systems, shall be based maintenance facility. m (13.1 feet) for operating speeds up to upon the service-proven system utilized (10) Go/No-Go signals shall be used in 170 km/h (106 mph) (track Classes up on the Tokaido Shinkansen system and stations for shunting and emergency to H4) and 4.2 m (13.8 feet) for operating shall include an automatic train control operations and in trainset maintenance speeds greater than 170 km/h (106 mph) (ATC) system, interlocking equipment, facilities to provide trainset movement (track Classes H5 and above). Generally, and wayside equipment, including: authority. each track will be used for a single Track circuits, transponders, and Go/ (11) The railroad shall include an direction of traffic, and trainset will not No-Go signals in stations and trainset intrusion detection system as required overtake each other on mainline tracks maintenance facilities. by paragraph (b)(3) and (5) of this (except at non-terminal station (2) The railroad’s signaling system section that shall interface with the ATC locations). The railroad may install shall extend beyond the mainline into system and have the capability to stop crossover connections between the trainset maintenance facilities and be the trainset under specified intrusion double track at each station, and at designed to prevent collisions at all scenarios. regular intervals along the line to permit speeds. (f) Communications. (1) The railroad flexibility in trainset operations, (3) The ATC system shall be designed shall install a dedicated communication maintenance, and emergency rescue. with a redundant architecture utilizing system along the right-of-way to (4) The railroad’s main track (track a intrinsic fail-safe design concept. transmit data, telephone, and/or radio (4) The trainset braking curves shall Classes H4 and above) shall consist of communications that is completely be determined by the on-board continuous welded rail. Once installed, isolated and independent of the signal equipment based on the ATC signal the rail shall be field-welded to form and trainset system. To ensure from the ground facility and on-board one continuous track segment except transmission reliability, the system shall database that includes the alignment rail expansion joints and where glued- include back-up transmission routes. and rolling stock performance data. The insulated joints are necessary for (2) For trainset operation and on-board equipment shall generate the signaling purposes. The rail shall be JIS maintenance, the railroad shall install— braking command based upon the E 1101 60 kg rail, as specified in JIS E (i) A portable radio system for trainset location, speed, and braking 1101:2011 as amended by JIS E maintenance and service use; and curves. 1101:2012, and JIS E 1101:2016 (all (ii) A trainset radio, which shall (5) The ATC on-board equipment incorporated by reference, see § 299.17). facilitate communication between each shall have three modes: Mainline, trainset and the general control center. (5) In yards and maintenance shunting, and cut-out. facilities, where operations will be at (i) Mainline mode shall be used for (g) Rolling stock. (1) The railroad’s lower speeds, the railroad shall install operations on mainlines and for rolling stock shall be designed, either JIS E 1101 50kgN rail or JIS E entering into the trainset maintenance operated, and maintained in accordance 1101 60 kg rail as specified in JIS E facilities. The mainline mode of ATC with the requirements set forth in 1101:2011 as amended by JIS E on-board equipment shall provide the subparts D, E, and H of this part. 1101:2012, and JIS E 1101:2016 (all following functions: (2) The railroad shall utilize bi- incorporated by reference, see § 299.17). (A) Prevent train-to-train collisions; directional, fixed-consist, electric (6) The railroad shall use either and multiple unit (EMU), high-speed ballasted or non-ballasted track to (B) Prevent overspeed derailments. trainsets based on the N700. support the track structure, as (ii) Shunting mode shall be used to (3) Each trainset shall be equipped appropriate for the intended high-speed protect movements within trainset with wheel slide control. system. maintenance facilities and for (4) Each trainset shall be equipped (i) Except as noted in paragraph emergency operations as required by the with two electrically connected (c)(6)(ii) of this section, for ballasted operating rules. When operating in pantographs. The position of the mainline track structure, the railroad shunting mode, the trainset shall be pantographs (up or down) shall be shall install pre-stressed concrete ties. restricted to a maximum speed of 30 displayed in the driver’s cab. (ii) For special track work such as km/h. (5) The driver’s cab shall be a full turnouts and expansion joints, and at (iii) Cut-out mode shall be used for width and dedicated cab and shall be transitions to bridges, and for non- emergency operations and/or in the arranged to enhance safety of operation, ballasted track, the railroad shall install event of an ATC system failure as range of vision, visibility and readability either pre-stressed, composite ties, or required by the operating rules. of controls and indicators, accessibility use direct fixation. Detailed (6) Interlocking equipment shall of controls, and climate control. requirements are included in subpart C prevent the movement of trainsets (6) The railroad’s passenger of this part. through a switch in an improper equipment brake system shall be based

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on the N700’s design and shall meet the (vii) The railroad shall establish a sufficient to describe the actual following standards: maximum safe operating speed to construction and function of the core (i) Each trainset shall be equipped address brake failures that occur in systems or system components of with an electronically controlled brake revenue service as required by special design; system that shall ensure that each unit § 299.409(f)(4). In the event of any (2) A quantitative risk assessment, in the trainset responds independently friction brake failure on a trainset, the incorporating the design information to a brake command. The brake speed shall be limited by ATC on-board and engineering analysis described in command shall be transmitted through equipment in accordance with the brake this paragraph, demonstrating that the the on-board internal trainset control failure switch position selected by the core systems or system components, as network, as well as through the trainline driver and as required by § 299.447. utilized in the service environment for redundancy. defined in § 299.13, presents no greater (A) Motorized cars shall be equipped § 299.15 Special approvals. hazard of serious personal injury than with regenerative and electronically (a) General. The following procedures existing core system or system controlled pneumatic brakes. The govern consideration and action upon components that conform to the specific system shall be designed to maximize requests for special approval of requirements of this part. the use of regenerative brakes. alternative standards to this part. (e) Federal Register notice. FRA will (B) Non-motorized cars shall be (b) Petitions for special approval of publish a notice in the Federal Register equipped with electronically controlled alternative standard. Each petition for concerning each petition under pneumatic brakes. special approval of an alternative paragraphs (b) and (c) of this section. (C) The friction brakes on each bogie standard shall contain— (f) Comment. Not later than 30 days (1) The name, title, address, and shall be cheek mounted disc brakes. from the date of publication of the telephone number of the primary person (D) Each car shall be equipped with notice in the Federal Register to be contacted with regard to review of an electronic and pneumatic brake concerning a petition under paragraphs the petition; control unit and a main reservoir. The (b) and (c) of this section, any person (2) The alternative proposed, in detail, system shall be designed that in the may comment on the petition. to be substituted for the particular event of a failure of an electronic control (1) Each comment shall set forth requirements of this part; and unit in a car, brake control shall be (3) Appropriate data or analysis, or specifically the basis upon which it is provided by the electronic control unit both, establishing that the alternative made, and contain a concise statement on the adjacent car. Each car in the will provide at least an equivalent level of the interest of the commenter in the trainset shall be equipped with a backup of safety. proceeding. wheel slide protection controller that (c) Petitions for special approval of (2) Each comment shall be submitted will provide wheel slide protection in alternative compliance. Each petition to the U.S. Department of the event of a wheel slide protection for special approval of alternative Transportation, Docket Operations (M– controller failure. compliance shall contain— 30), West Building Ground Floor, Room (ii) The braking system shall be (1) The name, title, address, and W12–140, 1200 New Jersey Avenue SE, designed with the following brake telephone number of the primary person Washington, DC 20590, and shall controls: Service, emergency, urgent, to be contacted with regard to the contain the assigned docket number for and rescue brake. petition; that proceeding. The form of such (iii) The service and emergency brake (2) High-speed core systems and submission may be in written or shall be applied automatically by ATC system components of special design electronic form consistent with the or manually by the driver. shall be deemed to comply with this standards and requirements established (iv) The urgent brake control shall be part, if the FRA Associate Administrator by the Federal Docket Management independent of the service and determines under paragraph (d) of this System and posted on its website at emergency brake control and shall be section that the core system or system http://www.regulations.gov. automatically applied if the trainset is components provide at least an (g) Disposition of petitions. (1) FRA parted. Application of the urgent brake equivalent level of safety in the will conduct a hearing on a petition in shall produce an irretrievable stop. The environment defined within § 299.13 accordance with the procedures urgent brake force shall be designed to with respect to the protection of railroad provided in § 211.25 of this chapter. vary according to speed in order to employees and the public. In making a (2) If FRA finds that the petition minimize the braking distance and determination under paragraph (d) of complies with the requirements of this avoid excessive demand of adhesion at this section the Associate Administrator section or that the proposed plan is higher speeds. shall consider, as a whole, all of those acceptable the petition will be granted, (v) A disabled trainset shall be elements of casualty prevention or normally within 90 days of its receipt. capable of having its brake system mitigation relevant to the integrity of the If the petition is neither granted nor controlled electronically by a rescue core system or components that are denied within 90 days, the petition trainset. addressed by the requirements of this remains pending for decision. FRA may (vi) Independent of the driver’s brake part. attach special conditions to the approval handle in the cab, each trainset shall be (d) Petition contents. The Associate of the petition. Following the approval equipped with two urgent brake Administrator may only make a finding of a petition, FRA may reopen switches in each cab car, accessible only of equivalent safety and compliance consideration of the petition for cause to the crew; located adjacent to the door with this part, based upon a submission stated. control station and that can initiate an of data and analysis sufficient to (3) If FRA finds that the petition does urgent brake application. If door control support that determination. The petition not comply with the requirements of stations are provided in intermediate shall include— this section, or that the proposed plan cars that are accessible only to crew (1) The information required by is not acceptable or that the proposed members, then the urgent brake § 299.15(b) or (c), as appropriate; changes are not justified, or both, the switches must also be included adjacent Information, including detailed petition will be denied, normally within to the door control stations. drawings and materials specifications, 90 days of its receipt.

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(4) When FRA grants or denies a steel,’’ (Amendment 2), Published § 299.203 PTC system required. petition, or reopens consideration of the February 20, 2012; into § 299.13. The railroad shall not commence petition, written notice is sent to the (6) JIS B 8265 ‘‘Construction of revenue service prior to installing and petitioner and other interested parties. pressure vessels-general principles,’’ making operative its FRA-certified PTC Published December 27, 2010; into system. § 299.17 Incorporation by reference. § 299.409. Certain material is incorporated by § 299.205 PTC System Certification. reference into this part with the Subpart B—Signal and Trainset (a) Prior to operating its PTC system approval of the Director of the Federal Control System in revenue service, the railroad must Register under 5 U.S.C. 552(a) and 1 first obtain a PTC System Certification CFR part 51. All approved material is § 299.201 Technical PTC system requirements. from FRA by submitting an acceptable available for inspection at Federal PTCSP and obtaining FRA’s approval of Railroad Administration, Docket Clerk, (a) The railroad shall comply with all its PTCSP. 1200 New Jersey Avenue SE, applicable requirements under 49 U.S.C. (b) Each PTCSP requirement under Washington, DC 20590 (telephone: 202– 20157, including, but not limited to, the this subpart shall be supported by 493–6052); email: [email protected] statutory requirement to fully information and analysis sufficient to and is available from the sources implement an FRA-certified PTC system establish that the PTC system meets the indicated in this section. It is also prior to commencing revenue service. requirements of § 236.1005(a) and (c) available for inspection at the National (b) The railroad’s PTC system shall be through (f) of this chapter. Archives and Records Administration designed to reliably and functionally (c) If the Associate Administrator (NARA). For information on the prevent train-to-train collisions, over- finds that the PTCSP and its supporting availability of this material at NARA, speed derailments, incursions into documentation support a finding that email [email protected] or go to established work zone limits, and the PTC system complies with www.archives.gov/federal-register/cfr/ movements of trainset through switches §§ 236.1005(a) and (c) through (f) of this ibr-locations.html. left in the wrong position, in accordance chapter, and 299.211, the Associate (a) ASTM International, 100 Barr with § 236.1005(a) and (c) through (f) of Administrator shall approve the PTCSP. Harbor Drive, PO Box C700, West this chapter. If the Associate Administrator approves Conshohocken, PA 19428–2959, (c) The railroad is authorized to the PTCSP, the railroad shall receive www.astm.org. conduct field testing of its PTC system ε1 PTC System Certification for its PTC (1) ASTM D 4956–07 , Standard on its system, prior to obtaining PTC system and shall implement the PTC Specification for Retroreflective System Certification from FRA, in system according to the PTCSP. Sheeting for Traffic Control, approved accordance with its system-wide (d) Issuance of a PTC System March 15, 2007; into § 299.423. qualification plan under § 299.603. Certification is contingent upon FRA’s (2) ASTM E 810–03, Standard Test During any field testing of its confidence in the implementation and Method for Coefficient of Retroreflection uncertified PTC system and regression operation of the subject PTC system. of Retroreflective Sheeting Utilizing the testing of its FRA-certified PTC system, This confidence may be based on FRA- Coplanar Geometry, approved February FRA may oversee the railroad’s testing, monitored field testing or an 10, 2003; into § 299.423. audit any applicable test plans and independent assessment performed in (3) ASTM E 2073–07, Standard Test procedures, and impose additional accordance with § 236.1017 of this Method for Photopic Luminance of testing conditions that FRA believes chapter. Photoluminescent (Phosphorescent) may be necessary for the safety of (e)(1) As necessary to ensure safety, Markings, approved July 1, 2007; into trainset operations. § 299.423. FRA may attach special conditions to its (d) The railroad is not exempted from (b) Japanese Standards Association 4– certification of the railroad’s PTC compliance with any requirement of 1–24, Akasaka, Minato-ku, Tokyo, 107– System. subparts A through G of 49 CFR part 8440 Japan, www.jsa.or.jp (Japanese (2) After granting a PTC System 236, or parts 233, and 235 of this site), or www.jsa.or.jp/en (English site). Certification, FRA may reconsider the (1) JIS E 7105:2006(E), ‘‘Rolling chapter, unless the railroad’s FRA- PTC System Certification upon Stock—Test methods of static load for approved PTCSP provides for such an revelation of any of the following factors body structures,’’ Published February exception. concerning the contents of the PTCSP: 20, 2006; into § 299.403. (e)(1) All materials filed in accordance (i) Potential error or fraud; (2) JIS E 7105:2011(E), ‘‘Rolling with this subpart must be in the English (ii) Potentially invalidated Stock—Test methods of static load for language, or have been translated into assumptions determined as a result of body structures,’’ (Amendment 1) English and attested as true and correct. in-service experience or one or more Published September 7, 2011; into (2) Each filing referenced in this unsafe events calling into question the § 299.403. subpart may include a request for full or safety analysis supporting the approval. (3) JIS E 1101:2001(E), ‘‘Flat bottom partial confidentiality in accordance (3) During FRA’s reconsideration in railway rails and special rails for with § 209.11 of this chapter. If accordance with this paragraph, the PTC switches and crossings of non-treated confidentiality is requested as to a system may remain in use if otherwise steel,’’ Published June 30, 2001; into portion of any applicable document, consistent with the applicable law and § 299.13. then in addition to the filing regulations, and FRA may impose (4) JIS E 1101:2006(E) ‘‘Flat bottom requirements under § 209.11 of this special conditions for use of the PTC railway rails and special rails for chapter, the person filing the document system. switches and crossings of non-treated shall also file a copy of the original (4) After FRA’s reconsideration in steel,’’ (Amendment 1), Published unredacted document, marked to accordance with this paragraph, FRA March 25, 2006; into § 299.13. indicate which portions are redacted in may: (5) JIS E 1101:2012(E) ‘‘Flat bottom the document’s confidential version (i) Dismiss its reconsideration and railway rails and special rails for without obscuring the original continue to recognize the existing PTC switches and crossings of non-treated document’s contents. System Certification;

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(ii) Allow continued operations under maintenance, repair, inspection, testing, and thoroughly report any safety- such conditions the Associate and modification of the PTC system; relevant failures or previously Administrator deems necessary to (7) A complete description of the unidentified hazards to the railroad, ensure safety; or specific procedures and test equipment including when another user of the (iii) Revoke the PTC System necessary to ensure the safe and proper product experiences a safety-relevant Certification and direct the railroad to installation, implementation, operation, failure or discovers a previously cease operations. maintenance, repair, inspection, testing, unidentified hazard; (f) FRA shall be afforded reasonable and modification of the PTC system on (17) Documentation establishing—by access to monitor, test, and inspect the railroad and establish safety-critical design, data, or other analysis—that the processes, procedures, facilities, hazards are appropriately mitigated. PTC system meets the fail-safe operation documents, records, design and testing These procedures, including calibration criteria under paragraph (b)(4)(v) of materials, artifacts, training materials requirements, shall be consistent with appendix C to part 236 of this chapter; and programs, and any other or explain deviations from the and, information used in the design, equipment manufacturer’s (18) An analysis establishing that the development, manufacture, test, recommendations; PTC system will be operated at a level implementation, and operation of the (8) A complete description of the of safety comparable to that achieved system, as well as interview any configuration or revision control over the 5-year period prior to the personnel. measures designed to ensure that the submission of the railroad’s PTCSP by (g) Information that has been certified railroad or its contractor does not other train control systems that perform under the auspices of a foreign adversely affect the safety-functional PTC functions, and which have been regulatory entity recognized by the requirements and that safety-critical utilized on high-speed rail systems with Associate Administrator may, at the hazard mitigation processes are not similar technical and operational Associate Administrator’s sole compromised as a result of any such characteristics in the United States or in discretion, be accepted as change; foreign service. independently verified and validated (9) A complete description of all (b) As the railroad’s PTC system may and used to support the railroad’s initial implementation testing be considered a stand-alone system PTCSP. procedures necessary to establish that pursuant to § 236.1015(e)(3) of this (h) The railroad shall file its PTCSP in safety-functional requirements are met chapter, the following requirements FRA’s Secure Information Repository at and safety-critical hazards are apply: https://sir.fra.dot.gov, consistent with appropriately mitigated; (1) The PTC system shall reliably § 299.201(e). (10) A complete description of all execute the functions required by post-implementation testing (validation) § 236.1005 of this chapter and be § 299.207 PTC Safety Plan content and monitoring procedures, including demonstrated to do so to FRA’s requirements. the intervals necessary to establish that satisfaction; and (a) The railroad’s PTCSP shall contain safety-functional requirements, safety- (2) The railroad’s PTCSP shall the following elements: critical hazard mitigation processes, and establish, with a high degree of (1) A hazard log consisting of a safety-critical tolerances are not confidence, that the system will not comprehensive description of all safety- compromised over time, through use, or introduce any hazards that have not relevant hazards of the PTC system, after maintenance (adjustment, repair, been sufficiently mitigated. specific to implementation on the or replacement) is performed; (c) When determining whether the railroad, including maximum threshold (11) A complete description of each PTCSP fulfills the requirements under limits for each hazard (for unidentified record necessary to ensure the safety of this section, the Associate hazards, the threshold shall be exceeded the system that is associated with Administrator may consider all at one occurrence); periodic maintenance, inspections, available evidence concerning the (2) A description of the safety tests, adjustments, repairs, or reliability of the proposed system. assurance concepts that are to be used replacements, and the system’s resulting (d) When reviewing the issue of the for system development, including an conditions, including records of potential data errors (for example, errors explanation of the design principles and component failures resulting in safety- arising from data supplied from other assumptions; relevant hazards (see § 299.213); business systems needed to execute the (3) A risk assessment of the as-built (12) A safety analysis to determine braking algorithm, survey data needed PTC system; whether, when the system is in for location determination, or (4) A hazard mitigation analysis, operation, any risk remains of an mandatory directives issued through the including a complete and unintended incursion into a roadway computer-aided dispatching system), comprehensive description of each work zone due to human error. If the the PTCSP must include a careful hazard and the mitigation techniques analysis reveals any such risk, the identification of each of the risks and a used; PTCSP shall describe how that risk will discussion of each applicable (5) A complete description of the be mitigated; mitigation. In an appropriate case, such safety assessment and Verification and (13) A complete description of how as a case in which the residual risk after Validation processes applied to the PTC the PTC system will enforce authorities mitigation is substantial, the Associate system, their results, and whether these and signal indications; Administrator may require submission processes address the safety principles (14) A complete description of how of a quantitative risk assessment described in appendix C to part 236 of the PTC system will appropriately and addressing these potential errors. this chapter directly, using other safety timely enforce all integrated hazard (e) The railroad must comply with the criteria, or not at all; detectors in accordance with § 236.1005 applicable requirements under (6) A complete description of the of this chapter; § 236.1021 of this chapter prior to railroad’s training plan for railroad and (15) The documents and information modifying a safety-critical element of an contractor employees and supervisors required under § 299.211; FRA-certified PTC system. necessary to ensure safe and proper (16) A summary of the process for the (f) If a PTCSP applies to a PTC system installation, implementation, operation, product supplier or vendor to promptly designed to replace an existing certified

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PTC system, the PTCSP will be PTC apparatus can be repaired or (e) If the railroad elects to also approved provided that the PTCSP exchanged. provide cryptographic message establishes with a high degree of (c) The railroad shall comply with all confidentiality, it shall: confidence that the new PTC system provisions in its PTCSP for each PTC (1) Comply with the same will provide a level of safety not less system it uses and shall operate within requirements for message integrity and than the level of safety provided by the the scope of initial operational authentication under this section; and system to be replaced. assumptions and predefined changes (2) Only use keys meeting or identified. exceeding the security strength required § 299.209 PTC system use and failures. (d) The normal functioning of any to protect the data as defined in the (a) When any safety-critical PTC safety-critical PTC system must not be railroad’s PTCSP. system component fails to perform its interfered with in testing or otherwise (f) The railroad, or its vendor or intended function, the cause must be without first taking measures to provide supplier, shall have a prioritized service determined and the faulty component for the safe movement of trainsets that restoration and mitigation plan for adjusted, repaired, or replaced without depend on the normal functioning of the scheduled and unscheduled undue delay. Until repair of such system. interruptions of service. This plan shall be made available to FRA upon request, essential components is completed, the (e) Annually, by April 16 of each year without undue delay, for restoration of railroad shall take appropriate action as following the commencement of the communication services that support specified in its PTCSP. railroad’s revenue service, the railroad PTC system services. (b) Where a trainset that is operating shall provide FRA with a report of the in, or is to be operated within, a PTC- number of PTC failures that occurred § 299.213 Records retention. equipped track segment experiences a during the previous calendar year. The (a) The railroad shall maintain at a PTC system failure or the PTC system is report shall identify failures by category, designated office on the railroad— otherwise cut out while en route (i.e., including but not limited to locomotive, (1) A current copy of each FRA- after the trainset has departed its initial wayside, communications, and back approved PTCSP that it holds; terminal), the trainset may only office system failures. (2) Adequate documentation to continue in accordance with all of the (f) The railroad and the PTC system demonstrate that the PTCSP meets the following: vendors and/or suppliers must comply safety requirements of this RPA, (1) Except as provided in paragraph with each applicable requirement under including the risk assessment; (b)(4) of this section, when no absolute § 236.1023 of this chapter. (3) An Operations and Maintenance block protection is established, the Manual, pursuant to § 299.215; and trainset may proceed at a speed not to § 299.211 Communications and security (4) Training and testing records exceed restricted speed. requirements. pursuant to § 236.1043(b) of this (2) When absolute block protection (a) All wireless communications chapter. can be established in advance of the between the office, wayside, and (b) Results of inspections and tests trainset, the trainset may proceed at a onboard components in a PTC system specified in the PTCSP must be speed not to exceed 120 km/h (75 mph), shall provide cryptographic message recorded pursuant to § 236.110 of this and the trainset shall not exceed integrity and authentication. chapter. restricted speed until the absolute block (b) Cryptographic keys required under (c) Each contractor providing services in advance of the trainset is established. this section shall— relating to the testing, maintenance, or (3) A report of the failure or cut-out (1) Use an algorithm approved by the operation of the railroad’s PTC system must be made to a designated railroad National Institute of Standards or a shall maintain at a designated office officer of the railroad as soon as safe and similarly recognized and FRA-approved training records required under practicable. standards body; §§ 236.1043(b) of this chapter, and 299.207(a)(6). (4) Where the PTC system is the (2) Be distributed using manual or automated methods, or a combination of (d) After the PTC system is placed in exclusive method of delivering service, the railroad shall maintain a both; and mandatory directives, an absolute block database of all safety-relevant hazards as (3) Be revoked— must be established in advance of the set forth in its PTCSP and those that had trainset as soon as safe and practicable, (i) If compromised by unauthorized not been previously identified in its and the trainset shall not exceed disclosure of the cleartext key; or PTCSP. If the frequency of the safety- restricted speed until the absolute block (ii) When the key algorithm reaches relevant hazards exceeds the threshold in advance of the trainset is established. its lifespan as defined by the standards set forth in its PTCSP, then the railroad (5) Where the failure or cut-out is a body responsible for approval of the shall— result of a defective onboard PTC algorithm. (1) Report the inconsistency in apparatus, the trainset may be moved in (c) The cleartext form of the writing to FRA’s Secure Information passenger service only to the next cryptographic keys shall be protected Repository at https://sir.fra.dot.gov, forward location where the necessary from unauthorized disclosure, within 15 days of discovery; repairs can be made; however, if the modification, or substitution, except (2) Take prompt countermeasures to next forward location where the during key entry when the cleartext reduce the frequency of each safety- necessary repairs can be made does not keys and key components may be relevant hazard to below the threshold have the facilities to handle the safe temporarily displayed to allow visual set forth in its PTCSP; and unloading of passengers, the trainset verification. When encrypted keys or (3) Provide a final report when the may be moved past the repair location key components are entered, the inconsistency is resolved to FRA’s in service only to the next forward cryptographically protected cleartext Secure Information Repository at passenger station in order to facilitate key or key components shall not be https://sir.fra.dot.gov, on the results of the unloading of passengers. When the displayed. the analysis and countermeasures taken passengers have been safely unloaded, (d) Access to cleartext keys shall be to reduce the frequency of the safety- the defective trainset shall be moved to protected by a tamper-resistant relevant hazard(s) below the threshold the nearest location where the onboard mechanism. set forth in its PTCSP.

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§ 299.215 Operations and Maintenance (c) The following activities are maximum allowable operating speeds Manual. expressly prohibited on track Class H2 apply— (a) The railroad shall catalog and trainset maintenance facilities under maintain all documents as specified in traffic conditions: TABLE 1 TO PARAGRAPH (a) its PTCSP for the operation, installation, (1) Any work that interrupts rail maintenance, repair, modification, Over track that meets all continuity, e.g., as in joint bar of the requirements The maximum allowable inspection, and testing of the PTC operating speed in km/h replacement or rail replacement; prescribed in this part (mph) system and have them in one (2) Any work that adversely affects for— Operations and Maintenance Manual, the lateral or vertical stability of the Class H0 track ...... 20 (12) readily available to persons required to track with the exception of spot tamping Class H1 track ...... 30 (19) perform such tasks and for inspection an isolated condition where not more Class H2 track ...... 70 (44) by FRA and FRA-certified state than 4.5 m (15 feet) of track are involved Class H3 track ...... 120 (75) inspectors. Class H4 track ...... 170 (106) at any one time and the ambient air Class H5 track ...... 230 (143) (b) Plans required for proper temperature is not above 35 C (95 F); Class H6 track ...... 285 (177) maintenance, repair, inspection, and and Class H7 track ...... 330 (205) testing of safety-critical PTC systems (3) Removal and replacement of the must be adequate in detail and must be rail fastenings on more than one tie at (b) Except as provided in paragraph made available for inspection by FRA a time within 4.5 m (15 feet). (c) of this section, if a segment of track and FRA-certified state inspectors does not meet all of the requirements for where such PTC systems are deployed § 299.303 Measuring track not under load. its intended Class, it is to be reclassified or maintained. They must identify all When unloaded track is measured to to the next lower track Class for which software versions, revisions, and determine compliance with it does meet all of the requirements of revision dates. Plans must be legible and requirements of this part, evidence of this part. However, if the segment of correct. rail movement, if any, that occurs while track does not at least meet the (c) Hardware, software, and firmware the track is loaded shall be added to the requirements for track Class H1 track, revisions must be documented in the measurements of the unloaded track. operations may continue at Class H1 Operations and Maintenance Manual speeds for a period of not more than 30 according to the railroad’s configuration § 299.305 Drainage. days without bringing the track into management control plan and any Each drainage or other water carrying compliance, under the authority of an additional configuration/revision facility under or immediately adjacent individual designated under § 299.353, control measures specified in its PTCSP. to the roadbed shall be maintained and after that individual determines that (d) Safety-critical components, kept free of obstruction, to operations may safely continue and including spare equipment, must be accommodate expected water flow for subject to any limiting conditions positively identified, handled, replaced, the area concerned. specified by such individual. and repaired in accordance with the (c) If a segment of track designated as procedures specified in the railroad’s § 299.307 Vegetation. track Class H0 does not meet all of the PTCSP. Vegetation on railroad property which requirements for its intended class, (e) The railroad shall designate in its is on or immediately adjacent to operations may continue at Class H0 Operations and Maintenance Manual an roadbed shall be controlled so that it speeds for a period of not more than 30 appropriate railroad officer responsible does not— days without bringing the track into for issues relating to scheduled (a) Become a fire hazard to track- compliance, under the authority of an interruptions of service. carrying structures; individual designated under § 299.353, Subpart C—Track Safety Standards (b) Obstruct visibility of railroad signs after that individual determines that and signals along the right-of-way; operations may safely continue and § 299.301 Restoration or renewal of track (c) Interfere with railroad employees subject to any limiting conditions under traffic conditions. performing normal trackside duties; specified by such individual. (a) Restoration or renewal of track, (d) Prevent proper functioning of (d) No high-speed passenger trainset other than in yards and trainset signal and communication lines. shall operate over track Class H0. maintenance facilities, under traffic (e) Prevent railroad employees from § 299.311 Track geometry; general. conditions is prohibited. visually inspecting moving equipment (b) Restoration or renewal of track from their normal duty stations. If the values listed in the following under traffic conditions on track Class table are exceeded, the railroad shall H2 in yards and trainset maintenance § 299.309 Classes of track: operating initiate remedial action. A reduction in facilities is limited to the replacement of speed limits. operating speed so that the condition worn, broken, or missing components or (a) Except as provided in paragraph complies with the limits listed for a fastenings that do not affect the safe (b) of this section and as otherwise lower speed shall constitute bringing passage of trainset. provided in this part, the following the track into compliance.

TABLE 1 TO § 299.311

Track geometry parameter (mm) Track class H0 H1 H2 H3 H4 H5 H6 H7

Gauge is measured between the heads of the Min ...... 1429 1429 1429 1429 1429 1429 1429 1429 rails at right angles to the rails in a plane 14 Max ...... 1454 1454 1454 1454 1454 1454 1454 1454 mm (0.55 inches) below the top of the rail head and may not exceed—.

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TABLE 1 TO § 299.311—Continued

Track geometry parameter (mm) Track class H0 H1 H2 H3 H4 H5 H6 H7

The deviation from uniformity 1 of the mid-chord 10 m chord.... 38 31 31 14 12 10 8 7 offset on either rail for a 10 m chord (align- ment) may not be more than—. The deviation from uniform profile on either rail 10 m chord.... 40 40 40 27 22 18 15 13 at the mid-ordinate of a 10 m chord (surface) may not be more than—. The deviation from uniform crosslevel at any ...... 50 26 26 22 18 14 9 9 point on tangent and curved track may not be more than—. The difference in crosslevel between any two 2.5 m...... 26 26 26 22 18 14 9 9 points 2.5 meters (8.2 feet) apart (twist) may not be more than—. 1 Uniformity for alignment at any point along the track is established by averaging the measured mid-chord offset values for a 10 m (32.8 feet) chord for nine consecutive points that are centered around that point and spaced at 2.5-meter (8.2 feet) intervals.

§ 299.313 Track geometry; performance operating conditions; the limits in (2) When operating through a constant based. § 299.311 apply in all cases. radius curve at a constant speed (a) For all track of Class H4 and above, (b) The maximum allowable posted corresponding to the proposed cant vibration in the lateral and vertical timetable operating speed for each curve deficiency, and a test plan is submitted directions measured on the carbody of is determined by the following formula: and approved by FRA in accordance a vehicle representative of the service with § 299.609(d)— fleet traveling at a speed no less than 10 (i) The steady-state (average) load on km/h (6.2 mph) below the maximum any wheel, throughout the body of the speed permitted for the class of track, curve, is not less than 60 percent of its shall not exceed the limits prescribed in Where— static value on perfectly level track; and (ii) For passenger cars, the steady- the following table: Vmax = Maximum allowable posted timetable operating speed (km/h). state (average) lateral acceleration TABLE 1 TO PARAGRAPH (A) Ea = Actual elevation of the outside rail measured on the floor of the carbody (mm). Actual elevation, Ea, for each 50- does not exceed 0.15 g. Carbody acceleration limits 12 meter track segment in the body of the (e) The railroad shall transmit the curve is determined by averaging the results of the testing specified in Lateral vibration 3 Vertical vibration 3 elevation for 11 points through the paragraph (d) of this section to FRA in segment at 5-meter spacing. If the curve ≤ ≤ accordance with §§ 299.9 and 299.613 0.35 g peak-to-peak 0.45 g peak-to-peak. length is less than 50-meters, average the requesting approval under § 299.609(g) 1 sec window ...... 1 sec window. points through the full length of the body excluding peaks <50 excluding peaks <50 of the curve. for the vehicle type to operate at the desired curving speeds allowed under msec. msec. Eu = Qualified cant deficiency (mm) of the the formula in paragraph (b) of this 1 vehicle type. Carbody accelerations in the vertical and R = Radius of curve (m). Radius of curve, R, section. The request shall be made in lateral directions shall be measured by accelerometers oriented and located in ac- is determined by averaging the radius of writing and shall contain, at a cordance with § 299.331(c)(3). the curve over the same track segment as minimum, the following information: 2 Acceleration measurements shall be proc- the elevation. (1) A description of the vehicle type essed through an LPF with a minimum cut-off involved, including schematic diagrams frequency of 10 Hz. The sample rate for accel- (c) All vehicles are considered eration data shall be at least 200 samples per qualified for operating on track with a of the suspension system(s) and the second. cant deficiency, Eu, not exceeding 75 estimated location of the center of 3 Peak-to-peak accelerations shall be meas- mm (3 inches). gravity above top of rail; and ured as the algebraic difference between the (d) Each vehicle type must be (2) The test procedure, including the two extreme values of measured acceleration in any 1-second time period, excluding any approved by FRA, under § 299.609, to load condition under which the testing peak lasting less than 50 milliseconds. operate on track with a qualified cant was performed, and description of the deficiency, Eu, greater than 75 mm (3 instrumentation used to qualify the (b) If the carbody acceleration inches). Each vehicle type must vehicle type, as well as the maximum requirements are not met on a segment demonstrate in a ready-for-service load values for wheel unloading and roll of track, the segment of track is to be condition, compliance with the angles or accelerations that were reclassified to the next lower Class of requirements of either paragraph (d)(1) observed during testing. track for which it does meet the or (2) of this section. Note 1 to paragraph (e)(2). The test requirements of this part. (1) When positioned on a track with procedure may be conducted whereby all the § 299.315 Curves; elevation and speed a uniform superelevation equal to the wheels on one side (right or left) of the limitations. proposed cant deficiency: vehicle are raised to the proposed cant (i) No wheel of the vehicle unloads to deficiency and lowered, and then the vertical (a) The maximum elevation of the a value less than 60 percent of its static wheel loads under each wheel are measured outside rail of a curve may not be more value on perfectly level track; and and a level is used to record the angle than 200 mm (77⁄8 inches). The outside (ii) For passenger cars, the roll angle through which the floor of the vehicle has rail of a curve may not be lower than the between the floor of the equipment and been rotated. inside rail by design, except when the horizontal does not exceed 8.6 (f) Upon FRA approval of the request engineered to address specific track or degrees; or to approve the vehicle type to operate at

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the desired curving speeds allowed cant deficiencies and surface (b) Each 25 m (82 feet) segment of under the formula in paragraph (b) of limitations. For purposes of this section, track that contains crossties shall have— this section, the railroad shall notify vertical track strength is defined as the (1) A sufficient number of crossties to FRA in accordance with § 299.9 in track capacity to constrain vertical provide effective support that will— writing no less than 30 calendar days deformations so that the track shall, (i) Hold gauge within limits under maximum load, remain in prior to the proposed implementation of prescribed in § 299.311; the approved higher curving speeds compliance with the track performance allowed under the formula in paragraph and geometry requirements of this part. (ii) Maintain surface within the limits (b) of this section. The notification shall (b) Track shall have sufficient lateral prescribed in § 299.311; contain, at a minimum, identification of strength to withstand the maximum (iii) Maintain alignment within the the track segment(s) on which the thermal and vehicle loads generated at limits prescribed in § 299.311; and higher curving speeds are to be maximum permissible trainset speeds, (iv) Maintain longitudinal rail implemented. cant deficiencies and lateral alignment restraint. (g) As used in this section, and limitations. For purposes of this section (2) The minimum number and type of §§ 299.331 and 299.609, vehicle type lateral track strength is defined as the crossties specified in paragraph (b)(4) of means like vehicles with variations in track capacity to constrain lateral this section and described in paragraph their physical properties, such as deformations so that track shall, under (c) or (d) of this section, as applicable, suspension, mass, interior maximum load, remain in compliance effectively distributed to support the arrangements, and dimensions that do with the track performance and entire segment; not result in significant changes to their geometry requirements of this part. dynamic characteristics. (3) At least one non-defective crosstie § 299.319 Track fixation and support. of the type specified in paragraphs (c) § 299.317 Track strength. (a) Crossties, if used shall be of and (d) of this section that is located at (a) Track shall have a sufficient concrete or composite construction, a joint location as specified in paragraph vertical strength to withstand the unless otherwise approved by FRA (e) of this section; and maximum vehicle loads generated at under § 299.15, for all tracks over which (4) The minimum number of crossties maximum permissible trainset speeds, trainsets run in revenue service. as indicated in the following table:

TABLE 1 TO PARAGRAPH (b)(4)

Minimum number of non-defective crossties Non-ballasted Track class Other than on non-ballasted bridge & turnout bridge Turnout

H0 ...... 20 ...... 26 24 H1 ...... 28 ...... 36 33 H2 ...... 31, unless inside a TMF, then 28 ...... 36 33 H3 ...... 35 ...... 40 37 H4–H7 ...... 39 ...... 45 41

(c) Crossties, other than concrete, paragraph (b)(4) of this section shall not (6) Configured with less than two counted to satisfy the requirements set be— fasteners on the same rail. forth in paragraph (b)(4) of this section (1) Broken through or deteriorated to (e) Classes H0 and H1 track shall have shall not be— the extent that prestressing material is one crosstie whose centerline is within (1) Broken through; visible; 0.61 m (24 inches) of each rail joint (2) Split or otherwise impaired to the (2) Deteriorated or broken off in the (end) location. Classes H2 and H3 track extent the crossties will allow the vicinity of the shoulder or insert so that shall have one crosstie whose centerline ballast to work through, or will not hold the fastener assembly can either pull out is within 0.46 m (18 inches) of each rail spikes or rail fasteners; or move laterally more than 9.5 mm (3⁄8 joint (end) location. Classes H4–H7 (3) Deteriorated so that the tie plate or inch) relative to the crosstie; track shall have one crosstie whose base of rail can move laterally 9.5 mm (3) Deteriorated such that the base of centerline is within 0.32 m (12.6 inches) (38 inch) relative to the crossties; either rail can move laterally more than of each rail joint (end) location. The (4) Cut by the tie plate through more 9.5 mm (3⁄8 inch) relative to the crosstie; relative position of these crossties is than 40 percent of a crosstie’s thickness; (4) Deteriorated so that rail seat described in the following three (5) Configured with less than 2 rail abrasion is sufficiently deep so as to diagrams: holding spikes or fasteners per tie plate; cause loss of rail fastener toeload; or (5) Deteriorated such that the (1) Each rail joint in Classes H0 and (6) Unable, due to insufficient fastener crosstie’s fastening or anchoring system H1 track shall be supported by at least toeload, to maintain longitudinal is unable to maintain longitudinal rail one crosstie specified in paragraphs (d) restraint and maintain rail hold down restraint, or maintain rail hold down, or and (e) of this section whose centerline and gauge. maintain gauge due to insufficient is within 1.22 m (48 inches) as shown (d) Concrete crossties counted to fastener toeload; or in Figure 1 to this paragraph. satisfy the requirements set forth in

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(2) Each rail joint in Classes H2 and one crosstie specified in paragraphs (c) is within 0.92 m (36.2 inches) as shown H3 track shall be supported by at least and (d) of this section whose centerline in Figure 2 to this paragraph.

(3) Each rail joint in Classes H4–H7 crosstie specified in paragraphs (c) and within 0.64 m (25.2 inches) as shown in track shall be supported by at least one (d) of this section whose centerline is Figure 3 to this paragraph.

(f) In Class H3 track there shall be at prescribed in § 299.311. Each § 299.321 Defective rails. least two non-defective ties each side of component of each such system shall be (a) The railroad’s inspection, testing, a defective tie. evaluated to determine whether gauge is and maintenance program shall include (g) In Classes H4 to H7 track and at effectively being maintained. any expansion joints there shall be at a description of defective rails least three non-defective ties each side (j) For track constructed without consistent with the practice on the of a defective tie. crossties, such as slab track and track Tokaido Shinkansen system. The (h) Defective ties shall be replaced in connected directly to bridge structural inspection, testing, and maintenance accordance with the railroad’s components, track over servicing pits, program shall include identification of inspection, testing, and maintenance etc., the track structure shall be rail defect types, definition of the program. sufficient to maintain the geometry inspection criteria, time required for (i) Track shall be fastened by a system limits specified in § 299.311. verification and the corresponding of components that effectively remedial action. maintains gauge within the limits

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(b) When the railroad learns that a rail geographic area in which the CWR is (f) Procedures which prescribe when in that track contains any of the defects located; and where physical track inspections listed in the railroad’s inspection, (2) De-stressing procedures/methods are to be performed under extreme testing, and maintenance program, a which address proper attainment of the temperature conditions. person designated under § 299.353 or desired rail installation temperature (g) Scheduling and procedures for 299.355 shall determine whether the range when adjusting CWR; and inspections to detect cracks and other track may continue in use. If the (3) Glued insulated or expansion joint indications of potential failures in CWR designated person determines that the installation and maintenance joints. track may continue in use, operation procedures. (h) The railroad shall have in effect a over the defective rail is not permitted (b) Rail anchoring, if used, or until— comprehensive training program for the fastening requirements that will provide application of these written CWR (1) The rail is replaced or repaired; or sufficient restraint to limit longitudinal (2) The remedial action prescribed in procedures, with provisions for periodic rail and crosstie movement to the extent the inspection, testing, and maintenance retraining for those individuals practical, and that specifically address program is initiated. designated as qualified in accordance CWR rail anchoring or fastening with this subpart to supervise the § 299.323 Continuous welded rail (CWR) patterns on bridges, bridge approaches, installation, adjustment, and plan. and at other locations where possible maintenance of CWR track and to (a) The railroad shall have in effect longitudinal rail and crosstie movement perform inspections of CWR track. and comply with a plan that contains associated with normally expected written procedures which address: The trainset-induced forces—is restricted. (i) The plan shall prescribe and installation, adjustment, maintenance, (c) CWR joint installation and require compliance with recordkeeping and inspection of CWR; and inspection maintenance procedures. requirements necessary to provide an adequate history of track constructed of CWR joints. (d) Procedures which specifically with CWR. At a minimum, these records (b) The railroad shall file its CWR address maintaining a desired rail shall include— plan with FRA pursuant to § 299.9. The installation temperature range when initial CWR plan shall be filed 60 days cutting CWR including rail repairs, in- (1) The rail laying temperature, prior to installation of any CWR track. track welding, and in conjunction with location, and date of CWR installations. The effective date of the plan is the date adjustments made in the area of tight Each record shall be retained until the the plan is filed with FRA. track, a track buckle, or a pull-apart. rail neutral temperature has been (c) The railroad’s existing plan shall (e) Procedures which control trainset adjusted; and remain in effect until the railroad’s new speed on CWR track when— (2) A record of any CWR installation plan is developed and filed with FRA. (1) Maintenance work, track or maintenance work that does not § 299.325 Continuous welded rail (CWR); rehabilitation, track construction, or any conform to the written procedures. Such general. other event occurs which disturbs the record must include the location of the The railroad shall comply with the roadbed or ballast section and reduces rail and be maintained until the CWR is contents of the CWR plan developed the lateral or longitudinal resistance of brought into conformance with such under § 299.323. The plan shall contain the track; and procedures. (2) The difference between the rail the following elements— § 299.327 Rail end mismatch. (a) Procedures for the installation and temperature and the rail neutral adjustment of CWR which include— temperature is in a range that causes Any mismatch of rails at joints may (1) Designation of a desired rail buckling-prone conditions to be present not be more than that prescribed by the installation temperature range for the at a specific location. following table:

TABLE 1 TO § 299.327

Any mismatch of rails at joints may not be more than the following: Track class On the tread of the rail ends On the gauge side of the rail ends

H0 ...... 6 mm 5 mm H1–H2 ...... 4 mm 4 mm H3–H7 ...... 2 mm 2 mm

§ 299.329 Rail joints and torch cut rails. rail ends. For track Classes H0 to H3 and the time required to replace the (a) Each rail joint, insulated joint, track bolts shall be tightened, as joint bar must not exceed the limits expansion joint, and compromise joint required, to allow longitudinal specified in the inspection, testing, and shall be of a structurally sound design movement of the rail in the joint to maintenance program. and appropriate dimensions for the rail accommodate expansion and (f) No rail shall have a bolt hole which on which it is applied. contraction due to temperature is torch cut or burned. (g) No joint bar shall be reconfigured (b) If a joint bar is cracked, broken, or variations. by torch cutting. permits excessive vertical movement of (d) Except as provided in paragraph (h) No rail having a torch cut or flame either rail when all bolts are tight, it (e) of this section, each rail shall be cut end may be used. shall be replaced. bolted with at least two bolts at each (c) Except for glued-insulated joints, joint. § 299.331 Turnouts and crossings each joint bar shall be held in position (e) Clamped joint bars may be used for generally. by track bolts tightened to allow the temporary repair during emergency (a) In turnouts and track crossings, the joint bar to firmly support the abutting situations, and speed over that rail end fastenings shall be intact and

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maintained to keep the components shall be designed to restrain rail railroad’s inspection, testing, and securely in place. Also, each switch, movement affecting the position of maintenance program. frog, and guard rail shall be kept free of switch points and frogs. obstructions that may interfere with the (c) Each flangeway at turnouts shall § 299.333 Frog guard rails and guard passage of wheels. Use of rigid rail be at least 39 mm (1.5 inches) wide. faces; gauge. crossings at grade is limited to track (d) For all turnouts and track The guard check and guard face Classes H0, H1, and H2. crossings, the railroad shall prepare gauges in frogs shall be within the limits (b) The track through and on each inspection and maintenance prescribed in the following table: side of track crossings and turnouts requirements to be included in the

TABLE 1 TO § 299.333

Guard check gauge Guard face gauge The distance between the gauge line of a frog to the guard The distance between the guard lines,1 measured across the Track class line 1 of its guard rail or guarding face, measured across the track at right angles to the gauge line,2 may not be more track at right angles to the gauge line,2 may not be less than— than—

H0–H7 ...... 1393 mm 1358 mm 1 A line along that side of the flangeway which is nearer to the center of the track and at the same elevation as the gauge line. 2 A line 14 mm (0.55 inches) below the top of the center line of the head of the running rail, or corresponding location of the tread portion of the track structure.

§ 299.335 Derails. railroad personnel working adjacent to operating rules, special instructions, or (a) Derails shall be installed at the affected track. When in a locked changed to permit movement. locations where maintenance-of-way position, a derail shall be free of any lost equipment can access track other than motion that would allow it to be § 299.337 Automated vehicle-based Class H0, in a configuration intended to operated without removal of the lock. inspection systems. derail the un-controlled equipment (c) Each derail shall be maintained (a) A qualifying Track Geometry away from the mainline and at a and function as intended. Measurement System (TGMS) and a distance from the point of intersection (d) Each derail shall be properly qualifying Track Acceleration with the mainline that will not foul the installed for the rail to which it is Measurement System (TAMS) shall be dynamic envelope of the mainline. applied. operated over the route at the following (b) Each derail shall be clearly visible (e) If a track is equipped with a derail frequency: to railroad personnel operating rail it shall be in the derailing position equipment on the affected track and to except as provided in the railroad’s

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(1) For track Class H3, at least twice contain sufficient location identification considered as a search for internal per calendar year with not less than 120 information which enables field defects under this section. days between inspections; and personnel to easily locate indicated (f) When the railroad learns, through (2) For track Classes H4, H5, H6, and exceptions. inspection or otherwise, that a rail in H7, at least twice within any 60-day (f) Following a track inspection that track contains any of the defects in period with not less than 12 days performed by a qualifying TGMS or accordance with § 299.321, a qualified between inspections. TAMS, the railroad shall, institute individual designated under § 299.353 (b) The qualifying TGMS shall meet or remedial action for all exceptions to the or 299.355 shall determine whether or exceed minimum design requirements class of track in accordance with the not the track may continue in use. If the which specify that— railroad’s inspection, testing, and qualified individual so designated (1) Track geometry measurements maintenance program. determines that the track may continue shall be taken no more than 1 meter (3.3 (g) The railroad shall maintain for a in use, operation over the defective rail feet) away from the contact point of period of one year following an is not permitted until— wheels carrying a vertical load of no less inspection performed by a qualifying (1) The rail is replaced; or than 4,500 kg (10,000 lb) per wheel; TGMS and TAMS, a copy of the plot (2) The remedial action as prescribed (2) Track geometry measurements and the exception report for the track in § 299.321 has been taken. shall be taken and recorded on a segment involved, and additional (g) The person assigned to operate the distance-based sampling interval not records which— rail defect detection equipment must be exceeding 0.60 m (2 feet), preferably (1) Specify the date the inspection a qualified operator as defined in this 0.30 m (1 foot); was made and the track segment subpart and have demonstrated (3) Calibration procedures and involved; and, proficiency in the rail flaw detection parameters are assigned to the system process for each type of equipment the (2) Specify the location, remedial which assures that measured and operator is assigned. action taken, and the date thereof, for all recorded values accurately represent listed exceptions to the class. track conditions. Track geometry § 299.343 Initial inspection of new rail and welds. measurements recorded by the system § 299.339 Daily sweeper inspection. shall not differ on repeated runs at the (a) The railroad shall provide for the A sweeper vehicle shall be operated initial inspection of newly same site at the same speed more than each morning after the overnight 1 manufactured rail, and for initial 3 mm ( ⁄8 inch); and maintenance over all tracks except track (4) The TGMS shall be capable of inspection of new welds made in either Class H2 in stations, prior to measuring and processing the necessary new or used rail. The railroad may commencing revenue service over that track geometry parameters to determine demonstrate compliance with this track. The sweeper vehicle shall operate compliance with §§ 299.311 and section by providing for— at a speed no greater than 120 km/h (75 299.315. (1) Mill inspection. A continuous mph) to conduct a visual inspection to (5) A qualifying TAMS shall be on a inspection at the rail manufacturer’s ensure the right-of-way is clear of vehicle having dynamic response mill shall constitute compliance with obstacles within the clearance envelope characteristics that are representative of the requirement for initial inspection of and to identify conditions that could other vehicles assigned to the service new rail, provided that the inspection cause accidents, and shall have a and shall— equipment meets the applicable (i) Be operated at the revenue speed minimum clearance of no less than 35 requirements as specified under the profile in accordance with § 299.309; mm above top of rail. railroads inspection testing and (ii) Be capable of measuring and § 299.341 Inspection of rail in service. maintenance program and § 299.321. processing carbody acceleration The railroad shall obtain a copy of the (a) Prior to revenue service the parameters to determine compliance manufacturer’s report of inspection and railroad shall submit written procedures with Carbody Acceleration Limits per retain it as a record until the rail for the inspection of rails in accordance § 299.313; and receives its first scheduled inspection (iii) Monitor lateral and vertical with the inspection, testing, and under § 299.341; accelerations of the carbody. The maintenance program. (2) Welding plant inspection. A accelerometers shall be attached to the (b) On track Classes H4 to H7, and H2 continuous inspection at a welding carbody on or under the floor of the within stations, a continuous search for plant, if conducted in accordance with vehicle, as near the center of a bogie as internal defects shall be made of all rail the provisions of paragraph (a)(1) of this practicable. within 180 days after initiation of section, and accompanied by a plant (d) The qualifying TGMS and TAMS revenue service and, thereafter, at least operator’s report of inspection which is shall be capable of producing, within 24 annually, with not less than 240 days retained as a record by the railroad, hours of the inspection, output reports between inspections. shall constitute compliance with the that— (c) Each defective rail shall be marked requirements for initial inspection of (1) Provide a continuous plot, on a with a highly visible marking on both new rail and plant welds, or of new constant-distance axis, of all measured sides of the rail. plant welds made in used rail; and track geometry and carbody acceleration (d) Inspection equipment shall be (3) Inspection of field welds. Initial parameters required in paragraph (b) capable of detecting defects between inspection of new field welds, either and (c) of this section; joint bars and within the area enclosed those joining the ends of CWR strings or (2) Provide an exception report by joint bars. those made for isolated repairs, shall be containing a systematic listing of all (e) If the person assigned to operate conducted before the start of revenue track geometry and all acceleration the rail defect detection equipment service in accordance with the railroad’s conditions which constitute an being used determines that, due to rail inspection, testing, and maintenance exception to the class of track over the surface conditions, a valid search for program. The initial inspection may be segment surveyed. internal defects could not be made over conducted by means of portable test (e) The output reports required under a particular length of track, the test on equipment. The railroad shall retain a paragraph (d) of this section shall that particular length of track cannot be record of such inspections until the

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welds receive their first scheduled (2) On-track inspections; other than § 299.349 Inspection records. inspection under § 299.341. trainset maintenance facilities and (a) The railroad shall keep a record of (b) Each defective rail found during MOW yards. Except for track located each inspection required to be inspections conducted under paragraph inside trainset maintenance facilities performed on that track under this (a)(3) of this section shall be marked and MOW yards and the associated subpart. with highly visible markings on both portions of the right-of-way, on-track (b) Except as provided in paragraph (f) sides of the rail and the appropriate visual inspections, conducted on foot of this section, each record of an remedial action as set forth in § 299.341 during maintenance hours, shall be inspection under §§ 299.325 and will apply. performed on all track in accordance 299.345 shall be prepared on the day the with the following conditions: § 299.345 Visual inspections; right of way. inspection is made and signed by the (i) Ballasted track shall be inspected person making the inspection. (a) General. All track shall be visually at least once every two weeks, with a inspected in accordance with the (c) Records shall specify the track minimum of six calendar days in inspected, date of inspection, location, schedule prescribed in paragraph (c) of between inspections. this section by an individual qualified and nature of any deviation from the (ii) Non-ballasted track shall be requirements of this part, name of under this subpart. The visual inspected at least once every four inspection shall be conducted in qualified individual who made the weeks, with a minimum of twelve inspection, and the remedial action, if accordance with the requirements set calendar days in between inspections. forth in the inspection, testing, and any, taken by the person making the (iii) Turn-outs and track crossings maintenance program under subpart G inspection. shall be inspected at least once a week, of this part. (d) Rail inspection records shall (b) Inspection types and frequency— with a minimum of three calendar days specify the date of inspection, the (1) Safe walkway inspection. Except for in between inspections. location and nature of any internal track located inside trainset (3) On-track inspections; trainset defects found, name of qualified maintenance facilities and MOW yards maintenance facilities and MOW yards. individual who made the inspection, and the associated portions of the right- For track located inside trainset the remedial action taken and the date of-way, the right-of-way and all track maintenance facilities and MOW yards thereof, and the location of any intervals shall be inspected from the safe and the associated portions of the right- of track not tested pursuant to § 299.341 walkway during daytime hours, in of-way, including turn-outs and track of this part. The railroad shall retain a accordance with the following crossings, on-track visual inspections, rail inspection record for at least two conditions: conducted on foot during maintenance years after the inspection and for one (i) Ballasted track shall be inspected hours, shall be performed on all track in year after remedial action is taken. at least once every two weeks, with a accordance with the following (e) The railroad shall make inspection minimum of six calendar days in conditions: records required by this section between inspections. (i) Ballasted track shall be inspected available for inspection and copying by (ii) Non-ballasted track shall be at least twice during any 60-day period, the FRA. inspected at least once every four with a minimum of twelve calendar (f) For purposes of compliance with weeks, with a minimum of twelve days in between inspections. the requirements of this section, the calendar days in between inspections. (ii) Non-ballasted track shall be railroad may maintain and transfer (iii) No two consecutive visual inspected at least twice within any 120- records through electronic transmission, inspections from the safe walkway shall day period, with a minimum of twenty- storage, and retrieval provided that— be performed from the same safe four calendar days in between (1) The electronic system is compliant walkway. Safe walkway inspections inspections. with the requirements of § 299.11; shall alternate between safe walkways (4) Visual inspections from trainset (2) The electronic storage of each on each side of the right-of-way. cab. Visual inspections from trainset cab record shall be initiated by the person (iv) In stations, the safe walkway shall be performed for the right-of-way making the inspection within 24 hours inspection may be performed from and track for track Class H3 and above, following the completion of that either the safe walkway or the station except of track leading to a trainset inspection; platform. maintenance facility, at least twice (3) Track inspection records shall be (v) An additional on-track visual weekly with a minimum of two calendar kept available to persons who inspection conducted during days between inspections. performed the inspection and to persons maintenance hours under paragraph (c) If a deviation from the performing subsequent inspections. (b)(2) of this section performed in place requirements of this subpart is found (g) Each track/vehicle performance of a visual inspection from the safe during the visual inspection, remedial record required under § 299.337 shall be walkway under paragraph (b)(1) of this action shall be initiated immediately in made available for inspection and section will satisfy the visual inspection accordance with the railroad’s copying by the FRA. requirement of paragraph (b)(1) of this inspection, testing, and maintenance section. However, a safe walkway visual program required under subpart G of § 299.351 Qualifications for track inspection performed under paragraph this part. maintenance and inspection personnel. (b)(1) of this section cannot replace an (a) General. The railroad shall on-track visual inspection conducted § 299.347 Special inspections. designate qualified individuals during maintenance hours under In the event of fire, flood, severe responsible for the maintenance and paragraph (b)(2) of this section. storm, temperature extremes, or other inspection of track in compliance with (vi) Except for paragraph (b)(2)(v) of occurrence which might have damaged the safety requirements prescribed in this section, inspections performed track structure, a special inspection this subpart. Each designated under paragraph (b)(1) of this section shall be made of the track and right-of- individual, including contractors and shall not occur during the same week as way involved as soon as possible after their employees, must meet the inspections performed under paragraph the occurrence, prior to the operation of minimum qualifications set forth in this (b)(2) of this section. any trainset over that track. subpart.

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(b) Recordkeeping. In addition to the compensate for deviations from the (d) Flexible wheel guards. The lead requirements contained in § 243.203 of requirements in this subpart and shall axle of a trainset shall be equipped with this chapter, the railroad shall also have successfully completed a recorded flexible wheel guards mounted on the maintain, with respect to the examination on this subpart as part of bogie below the primary suspension designation of individuals under this the qualification process. with a maximum clearance above the subpart, the track inspection records rail of 15 mm (0.59 inches). made by each individual as required by § 299.357 Personnel qualified to inspect and restore continuous welded rail. § 299.403 Trainset structure. § 299.347. Individuals designated under (a) Occupied volume integrity. To § 299.353 Personnel qualified to supervise § 299.353 or 299.355 that inspect demonstrate resistance to loss of track restoration and renewal. continuous welded rail (CWR) or occupied volume, the trainsets shall Each individual designated to supervise the installation, adjustment, comply with both the compression load supervise restorations and renewals of and maintenance of CWR in accordance requirement in paragraph (b) of this track, shall have— with the written procedures established section and the dynamic collision (a) Successfully completed a course by the railroad shall have— requirements in paragraph (c) of this offered by the employer or by a college (a) Current qualifications under either section. level engineering program, § 299.353 or 299.355; (b) Compression load requirement. supplemented by special on-the-job (b) Successfully completed a training The end compression load shall be training emphasizing the techniques to course of at least eight hours duration applied to the vehicle as defined in JIS be employed in the supervision, specifically developed for the E 7105:2006 as amended by JIS E restoration, and renewal of high-speed application of written CWR procedures 7105:2011 (all incorporated by track; issued by the railroad; reference, see § 299.17), with an end (b) Demonstrated to the railroad, at (c) Demonstrated to the railroad that load magnitude no less than 980 kN least once per calendar year, that the the individual— (220,300 lbf) without permanent individual— (1) Knows and understands the deformation of the occupied volume. (1) Knows and understands the requirements of those written CWR (c) Dynamic collision scenario. In requirements of this subpart that apply procedures; addition to the requirements of to the restoration and renewal of the (2) Can detect deviations from those paragraph (b) of this section, occupied track for which he or she is responsible; requirements; volume integrity shall also be (2) Can detect deviations from those (3) Can prescribe appropriate demonstrated for the trainset through an requirements; and, remedial action to correct or safely evaluation of a dynamic collision (3) Can prescribe appropriate compensate for those deviations. scenario in which a moving trainset remedial action to correct or safely (d) Written authorization from the impacts a proxy object under the compensate for those deviations. railroad or the employer to prescribe following conditions: (c) Written authorization from the remedial actions to correct or safely (1) The initially-moving trainset is railroad or the employer to prescribe compensate for deviations from the made up of the equipment undergoing evaluation at its AW0 ready-to-run remedial actions to correct or safely requirements in those procedures and weight; compensate for deviations from the must have successfully completed a (2) The scenario shall be evaluated on requirements of this subpart and shall recorded examination on those tangent, level track; have successfully completed a recorded procedures as part of the qualification (3) The trainset shall have an initial examination on this subpart as part of process. The recorded examination may velocity of 32 km/h (20 mph) and shall the qualification process. be written, or in the form of a computer not be braked; file with the results of an interactive § 299.355 Personnel qualified to inspect (4) The proxy object shall have the track. training course. following characteristics: (i) The object shall be a solid circular Each individual designated to inspect Subpart D—Rolling Stock cylinder that weighs 6350 kg (14,000 track for defects, shall have— § 299.401 Clearance requirements. pounds); (a) Successfully completed a course (ii) The object shall have a width of (a) General. The rolling stock shall be offered by the railroad or by a college 914 mm (36 inches) and a diameter of designed to meet all applicable level engineering program, 1219 mm (48 inches); supplemented by special on-the-job clearance requirements of the railroad. (iii) The axis of the cylinder shall be training emphasizing the techniques to The railroad shall make its clearance perpendicular to the direction of be employed in the inspection of high- diagrams available to FRA upon request. trainset motion and parallel to the speed track; (b) Clearance above top of rail. No ground; and (b) Demonstrated to the railroad, at part or appliance of a trainset except the (iv) The center of the object shall be least once per calendar year, that the wheels, sander tips, wheel guards, and located 762 mm (30 inches) above the individual— other components designed to be in the top of the underframe. (1) Knows and understands the path of the wheel (i.e., above the rail (5) Collision configurations. Two requirements of this subpart that apply and aligned inside the wheel width collision configurations shall be to the inspection of the track for which path) may be less than 60 mm (2.36 evaluated. he or she is responsible; inches) above the top of rail. (i) The center of the object shall be (2) Can detect deviations from those (c) Obstacle deflector. The leading located 483 mm (19 inches) from the requirements; and, end of a trainset shall be equipped with longitudinal centerline of the trainset; (3) Can prescribe appropriate an obstacle deflector that extends across and remedial action to correct or safely both rails of the track. The minimum (ii) The center of the object shall be compensate for those deviations. clearance above the rail of the obstacle aligned with the side of the cab car at (c) Written authorization from the deflector shall be 76 mm (3 inches), and the point of maximum width. railroad or the employer to prescribe the maximum clearance shall be 229 (6) Model validation. The model used remedial actions to correct or safely mm (9 inches). to demonstrate compliance with the

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dynamic collision requirements must be at the top and bottom cords of the § 299.405 Trainset interiors. validated. Model validation shall be vehicle side. The allowable stress in the (a) Interior fittings. Interior fittings of demonstrated and submitted to FRA for structural members of the occupied trainsets shall be— review and approval. volumes for this condition shall be one- (7) Dynamic collision requirements. half yield or one-half the critical (1) Securely attached and designed to As a result of the impact described in buckling stress, whichever is less. Local operate without failure under the paragraphs (c)(5)(i) and (ii) of this yielding to the outer skin of the conditions typically found in passenger section— passenger car is allowed provided that rail equipment including expected (i) One of the following two the resulting deformations in no way mechanical vibrations, and shock. conditions must be met for the occupied intrude upon the occupied volume of (2) To the extent possible, all interior volume: the car. fittings shall be recessed or flush (A) There shall be no more than 254 (ii) Each passenger car shall also be mounted. Corners and/or sharp edges mm (10 inches) of longitudinal designed to rest on its roof so that any shall be either avoided or padded to permanent deformation; or damage in occupied areas is limited to mitigate the consequence of impact with (B) Global vehicle shortening shall not roof extrusions. Other than roof such surfaces. exceed 1 percent over any 4.6 m (15- extrusions, the allowable stress in the (b) Luggage stowage. (1) Luggage feet) length of occupied volume. structural members of the occupied stowage racks shall slope downward in (ii) Compliance with each of the volumes for this condition shall be one- the outboard direction at a minimum following conditions shall also be half yield or one-half the critical ratio of 1:8 with respect to a horizontal demonstrated for the cab after the buckling stress, whichever is less. Local plane to provide lateral restraint for impact: yielding to the outer skin, including the stowed articles. (A) Each seat provided for an floor structure, of the car is allowed (2) Luggage stowage compartments employee regularly assigned to occupy provided that the resulting deformations shall provide longitudinal restraint for the cab, and any floor-mounted seat in in no way intrude upon the occupied stowed articles. the cab, shall maintain a survival space volume of the car. Deformation to the where there is no intrusion for a roof extrusions is allowed to the extent § 299.407 Glazing. minimum of 305 mm (12 inches) from necessary to permit the vehicle to be (a) General. The railroad shall install each edge of the seat. Walls or other supported directly on the top chords of glazing systems compliant with the items originally within this defined the sides and ends. requirements defined in this section. space shall not further intrude more (2) Side structure. (i) The sum of the than 38 mm (1.5 inches) towards the (b) Trainset glazing; end-facing. (1) section moduli about a longitudinal Each end-facing exterior window of the seat under evaluation. axis, taken at the weakest horizontal (B) There shall be a clear exit path for trainset shall comply with the section between the side sill and roof, requirements for large object and the occupants of the cab; of the extrusions on each side of the car (C) The vertical height of the cab ballistic impact scenarios as defined in located between the inside edge of the this section. (floor to ceiling) shall not be reduced by doors shall be not less than 3.95x105 more than 20 percent; and mm3 (24.1 in3). (2) Each end-facing exterior window of the trainset shall demonstrate (D) The operating console shall not (ii) The sum of the section moduli compliance with the following have moved closer to the driver’s seat by about a transverse axis, taken at the requirements for the large object impact more than 51 mm (2 inches). weakest horizontal section on each side test. (d) Equipment override. (1) Using the of the car located between body corners dynamic collision scenarios described shall be not less than 2.64x105 mm3 (i) The glazing article shall be in paragraph (c) of this section, and with (16.1 in3). impacted with a cylindrical projectile all units in the trainset are positioned at that complies with the following design (iii) The minimum section moduli or their nominal running heights, the anti- specifications as depicted in Figure 6 to thicknesses specified in paragraph climbing performance shall be evaluated paragraph (b)(2)(i)(D) of this section: (f)(2)(i) of this section shall be adjusted for each of the following sets of initial in proportion to the ratio of the yield (A) The projectile shall be constructed conditions: strength of the material used to a value of aluminum alloy such as ISO 6362– (2) For the initial conditions specified of 172 MPa (25 ksi). 2:1990, grade 2017A, or its in paragraphs (c)(1) through (3) of this demonstrated equivalent; section, compliance with the following (iv) The combined thickness of the conditions shall be demonstrated after a skin of the side structure extrusions (B) The projectile end cap shall be dynamic impact: shall not be less than 3 mm (0.125 inch) made of steel; (i) The relative difference in elevation nominal thickness. The thicknesses (C) The projectile assembly shall between the underframes of the shall be adjusted in proportion to the weigh 1 kilogram (kg) (¥0, +0.020 kg) connected equipment shall not change ratio of the yield strength of the material or 2.2 lbs (¥0, +0.044 lbs) and shall by more than 102 mm (4 inches); and used to a value of 172 MPa (25 ksi). have a hemispherical tip. Material may (ii) The tread of any wheel of the (f) Bogie-to-carbody attachment. (1) be removed from the interior of the trainset shall not rise above the top of The bogie-to-carbody attachment shall aluminum portion to adjust the rail by more than 102 mm (4 inches). utilize the service proven design as used projectile mass according to the (e) Roof and side structure integrity. on the N700. prescribed tolerance. The hemispherical To demonstrate roof and side structure (2) The bogie shall be securely tip shall have a milled surface with 1 integrity, each passenger car shall attached to the carbody and designed to mm (0.04 inches) grooves; and comply with the following: operate without failure under the (D) The projectile shall have an (1) Rollover strength. (i) Each operating conditions of the railroad, overall diameter of 94 mm (3.7 inches) passenger car shall be designed to rest including expected mechanical shocks with a nominal internal diameter of 70 on its side and be uniformly supported and vibrations. mm (2.76 inches).

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(ii) The test of the glazing article shall article during each test is within the framing, may be performed using a flat be deemed satisfactory if the test required temperature range. sample having the same composition as projectile does not penetrate the glazing (vi) The test glazing article shall be the glazing article for which compliance article, the glazing article remains in its mounted at the same angle relative to is to be demonstrated. The glazing frame, and the witness plate is not the projectile path as it will be to the manufacturer shall provide marked by spall. direction of travel when mounted on the documentation containing its technical (iii) A new projectile shall be used for vehicle. justification that testing a flat sample is each test. (vii) The projectile’s impact velocity sufficient to verify compliance of the (iv) The glazing article to be tested shall equal the maximum operating glazing article with the requirements of shall be that which has the smallest area speed of the trainset plus 160 km/h (100 this paragraph. for each design type. For the test, the mph). The projectile velocity shall be (ii) Flat sample testing is permitted glazing article shall be fixed in a frame measured within 4 m (13 feet) of the only if no surface of the full-size glazing of the same construction as that point of impact. article contains curvature whose radius mounted on the vehicle. (viii) The point of impact shall be at is less than 2,500 mm (98 inches); and (v) A minimum of four tests shall be the geometrical center of the glazing when a complete, finished, glazing conducted and all must be deemed article. article is laid (convex side uppermost) satisfactory. Two tests shall be (3) Representative samples for large on a flat horizontal surface, the distance, conducted with the complete glazing object impact testing of large end-facing (measured perpendicularly to the flat article at 0°C ± 0.5°C (32°F ± 0.9°F) and cab glazing articles may be used, instead surface) between the flat surface and the two tests shall be conducted with the of the actual design size provided that inside face of the glazing article is not complete glazing article at 20°C ± 5°C the following conditions are met: greater than 200 mm (8 inches). (68°F ± 9°F). For the tests to be valid it (i) Testing of glazing articles having (4) End-facing glazing shall shall be demonstrated that the core dimensions greater than 1,000 mm by demonstrate sufficient resistance to temperature of the complete glazing 700 mm (39.4 by 27.6 inches), excluding spalling, as verified by the large impact

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projectile test under the following (3) Any glazing material certified to infrastructure during normal operation conditions: meet the requirements of this part shall of the brake system. (i) An annealed aluminum witness be re-certified if any change is made to (b) Minimum performance plate of maximum thickness 0.15 mm the glazing that may affect its requirement for brake system. Each (0.006 inches) and of dimension 500 mechanical properties or its mounting trainset’s brake system, under the worst- mm by 500 mm (19.7 by 19.7 inches) is arrangement on the vehicle. case adhesion conditions as defined by placed vertically behind the sample (4) All certification/re-certification the railroad, shall be capable of stopping under test, at a horizontal distance of documentation shall be made available the trainset from its maximum operating 500 mm (19.7 inches) from the point of to FRA upon request. The test speed within the signal spacing existing impact in the direction of travel of the verification data shall contain all on the track over which the trainset is projectile or the distance between the pertinent original data logs and operating. point of impact of the projectile and the documentation that the selection of (c) Urgent brake system. A trainset location of the driver’s eyes in the material samples, test set-ups, test shall be provided with an urgent brake driver’s normal operating position, measuring devices, and test procedures application feature that produces an whichever is less. The center of the were performed by qualified individuals irretrievable stop. An urgent brake witness plate is aligned with the point using recognized and acceptable application shall be available at any of impact. practices and in accordance with this time, and shall be initiated by an (ii) Spalling performance shall be section. unintentional parting of the trainset or deemed satisfactory if the aluminum (5) Glazing shall be marked in the by the trainset crew from the conductor witness plate is not marked. following manner: rooms. (iii) For the purposes of this part, (i) Each end-facing exterior window (d) Application/release indication. materials used specifically to protect the in a cab shall be permanently marked, The brake system shall be designed so cab occupants from spall (i.e., spall prior to installation, in such a manner that an inspector may determine shields) shall not be required to meet that the marking is clearly visible after whether the brake system is functioning the flammability and smoke emission the material has been installed. The properly without being placed in a performance requirements of § 299.413. marking shall include: (5) Each end-facing exterior window (A) The words ‘‘FRA TYPE IHS’’ to dangerous position on, under or in a cab shall, at a minimum, provide indicate that the material meets the between the equipment. This ballistic penetration resistance that requirements specified in paragraph (b) determination may be made through meets the requirements of appendix A of this section; automated monitoring system that to part 223 of this chapter. (B) The manufacturer of the material; utilizes sensors to verify that the brakes (c) Trainset glazing; side-facing. and have been applied and released. Except as provided in paragraph (d) of (C) The type or brand identification of (e) Passenger brake alarm. (1) A this section, each side-facing exterior the material. means to initiate a passenger brake window in a trainset shall comply with (ii) Each side-facing exterior window alarm shall be provided at two locations the requirements for Type II glazing as in a trainset shall be permanently in each unit of a trainset. The words defined in part 223 of this chapter or marked, prior to installation, in such a ‘‘Passenger Brake Alarm’’ shall be other alternative standard approved by manner that the marking is clearly legibly stenciled or marked on each FRA. visible after the material has been device or on an adjacent badge plate. (d) Side-facing breakable glazing. A installed. The marking shall include: (2) All passenger brake alarms shall be side-facing exterior window intended to (A) The words ‘‘FRA TYPE II’’ to installed so as to prevent accidental be breakable and serve as an emergency indicate that the material meets the activation. window exit may comply with an requirements specified in paragraph (c) (3) When a passenger brake alarm is alternative standard approved for use by of this section; activated, it shall initiate an emergency FRA under § 299.15. (B) The manufacturer of the material; brake application. The emergency brake (e) Certification of Glazing Materials. and application can be overridden by the Glazing materials shall be certified in (C) The type or brand identification of driver so that the trainset can be accordance with the following the material. stopped at a safe location. procedures: (f) Glazing securement. Each exterior (4) To retrieve the emergency brake (1) Each manufacturer that provides window shall remain in place when application described in paragraph glazing materials, intended by the subjected to— (e)(3) of this section, the driver must manufacturer for use in achieving (1) The forces due to air pressure activate appropriate controls to issue a compliance with the requirements of differences caused when two trainsets command for brake application as this subpart, shall certify that each type pass at the minimum separation for two specified in the railroad’s operating of glazing material being supplied for adjacent tracks, while traveling in rules. this purpose has been successfully opposite directions, each trainset (f) Degraded brake system tested in accordance with this section traveling at the maximum approved performance. The following and that test verification data are trainset speed in accordance with requirements address degraded brake available to the railroad or to FRA upon § 299.609(g); and system performance on the railroad’s request. (2) The impact forces that the exterior high-speed trainsets— (2) Tests performed on glazing window is required to resist as specified materials for compliance with this part in this section. (1) Loss of power or failure of shall be conducted by either— regenerative brake shall not result in (i) An independent third party (lab, § 299.409 Brake system. exceeding the allowable stopping facility, underwriter); or (a) General. The railroad shall distance as defined by the railroad; (ii) The glazing manufacturer, demonstrate through analysis and (2) The available friction braking shall providing FRA with the opportunity to testing the maximum safe operating be adequate to stop the trainset safely witness all tests by written notice, a speed for its trainsets that results in no under the operating conditions defined minimum of 30 days prior to testing. thermal damage to equipment or by the railroad;

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(3) The operational status of the are not functioning as intended shall be (b) Lateral accelerations. The trainsets trainset brake system shall be displayed defined by the railroad under its shall not operate under conditions that for the driver in the operating cab; and requirements for movement of defective result in a steady-state lateral (4) Under § 299.607(b)(5), the railroad equipment required by § 299.447, and acceleration greater than 0.15g, as shall demonstrate through analysis and within the railroad’s operating rules, as measured parallel to the car floor inside testing the maximum speed for safely appropriate. the passenger compartment. operating its trainsets using only the (m) Monitoring and diagnostic system. (c) Journal bearing overheat sensors. friction brake system with no thermal Each trainset shall be equipped with a Bearing overheat sensors shall be damage to equipment or infrastructure. monitoring and diagnostic system that is provided on all journal bearings on each The analysis and testing shall also designed to automatically assess the trainset. determine the maximum safe operating functionality of the brake system for the speed for various percentages of entire trainset. Details of the system § 299.413 Fire safety. operative friction brakes. operation and the method of (a) General. All materials used in (g) Main reservoir system. The main communication of brake system constructing the interior of the trainset reservoirs in a trainset shall be designed functionality prior to the dispatch of the shall meet the flammability and smoke and tested to meet the requirements set trainset shall be described in detail in emission characteristics and testing forth in JIS B 8265 (incorporated by the railroad’s Operating Rules and standards contained in appendix B to reference, see § 299.17). Reservoirs shall inspection, testing, and maintenance part 238 of this chapter. For purposes of be certified based on their size and program required by § 299.445. this section, the interior of the trainset volume requirements. (n) Trainset securement. Each trainset includes walls, floors, ceilings, seats, (h) Main reservoir tests. Prior to initial shall be equipped with a means of doors, windows, electrical conduits, air installation, each main reservoir shall be securing the equipment, independent of ducts, and any other internal subjected to a pneumatic or hydrostatic the friction brake, on the grade equipment. pressure test based on the maximum condition defined by the railroad. The (b) Certification. The railroad shall working pressure defined in paragraph railroad’s operating rules shall define require certification that a (g) of this section unless otherwise procedures for trainset securement and representative sample of combustible established by the railroad’s mechanical the railroad shall demonstrate that these materials to be— officer. Records of the test date, procedures effectively secure the (1) Used in constructing a passenger location, and pressure shall be equipment in accordance with car or a cab, or maintained by the railroad for the life of § 299.607(b)(5). (2) Introduced in a passenger car or a the equipment. Periodic inspection (o) Rescue operation; brake system. A cab, as part of any kind of rebuild, requirements for main reservoirs shall trainset’s brake system shall be designed refurbishment, or overhaul of the car or be defined in the railroad’s inspection, so as to allow a rescue vehicle or cab, has been tested by a recognized testing, and maintenance program trainset to control its brakes when the independent testing laboratory and that required by § 299.445. trainset is disabled. the results show the representative (i) Brake gauges. All mechanical sample complies with the requirements gauges and all devices providing § 299.411 Bogies and suspension system. of paragraph (a) of this section at the electronic indication of air pressure that (a) Wheel climb. (1) Suspension time it was tested. are used by the driver to aid in the systems shall be designed to reasonably (c) Fire safety analysis. The railroad control or braking of a trainset shall be prevent wheel climb, wheel unloading, shall ensure that fire safety located so that they can be conveniently rail rollover, rail shift, and a vehicle considerations and features in the read from the driver’s normal position from overturning to ensure safe, stable design of the trainsets reduce the risk of during operation of the trainset. performance and ride quality. These personal injury caused by fire to an (j) Brake application/release. (1) Brake requirements shall be met— acceptable level in its operating actuators shall be designed to provide (i) In all operating environments, and environment using a formal safety brake pad clearance when the brakes are under all track conditions and loading methodology. To this end, the railroad released. conditions as determined by the (2) The minimum brake cylinder shall complete a written fire safety railroad; and pressure shall be established to provide analysis for the passenger equipment adequate adjustment from minimum (ii) At all track speeds and over all being procured. In conducting the service to emergency for proper trainset track qualities consistent with the analysis, the railroad shall— operation. requirements in subpart C of this part, (1) Identify, analyze, and prioritize (k) Leakage. The method of inspection up to the maximum trainset speed and the fire hazards inherent in the design for main reservoir pipe and brake maximum cant deficiency of the of the equipment. cylinder pipe leakage shall be equipment in accordance with (2) Take effective steps to design the prescribed in the railroad’s inspection, § 299.609(g). equipment and select materials which testing, and maintenance program (2) All passenger equipment shall help provide sufficient fire resistance to required by § 299.445. meet the safety performance standards reasonably ensure adequate time to (l) Slide alarm. (1) A trainset shall be for suspension systems contained in detect a fire and safely evacuate the equipped with an adhesion control § 299.609(h). In particular— passengers and crewmembers, if a fire system designed to automatically adjust (i) Vehicle/track system qualification. cannot be prevented. Factors to consider the braking force on each wheel to All trainsets shall demonstrate safe include potential ignition sources; the prevent sliding during braking. operation during pre-revenue service type, quantity, and location of the (2) A wheel slide alarm that is visual qualification in accordance with materials; and availability of rapid and or audible, or both, shall alert the driver § 299.609 and is subject to the safe egress to the exterior of the in the operating cab to wheel-slide requirements of § 299.313. equipment under conditions secure conditions on any axle of the trainset. (ii) Revenue service operation. All from fire, smoke, and other hazards. (3) Operating restrictions for a trainset passenger equipment in service is (3) Reasonably ensure that a with wheel slide protection devices that subject to the requirements of § 299.313. ventilation system in the equipment

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does not contribute to the lethality of a all fire safety systems and fire safety the override device from each side of fire. equipment on the passenger equipment the door without the use of a tool or (4) Identify in writing any trainset it operates under § 299.445(b), and other implement. component that is a risk of initiating fire subpart G of this part. The railroad shall (3) Marking and instructions. Each and which requires overheat protection. comply with those procedures that it manual override device and each An overheat detector shall be installed designates as mandatory for the safety of retention mechanism shall be marked, in any component when the analysis the equipment and its occupants. and instructions provided for their use, determines that an overheat detector is as specified in § 299.423. § 299.415 Doors. necessary. (f) The status of each powered, (5) Identify in writing any unoccupied (a) Each powered, exterior side door exterior side door in a passenger car trainset compartment that contains in a vestibule that is partitioned from shall be displayed to the driver in the equipment or material that poses a fire the passenger compartment of a trainset operating cab. Door interlock sensors hazard, and analyze the benefit shall have a manual override device that shall be provided to detect trainset provided by including a fire or smoke is— motion and shall be nominally set to (1) Capable of releasing the door to detection system in each compartment operate at 5 km/h. so identified. A fire or smoke detector permit it to be opened without power. (2) Located such that— (g) All powered exterior side shall be installed in any unoccupied passenger doors shall: compartment when the analysis (i) Interior access is provided adjacent to each manual door release mechanism; (1) Be equipped with the service- determines that such equipment is proven door safety system utilized by necessary to ensure sufficient time for and, (ii) Exterior access is provided on the N700 or an alternate door safety the safe evacuation of passengers and system designed subject to a Failure crewmembers from the trainset. For each side of each car. (3) Designed and maintained so that a Modes, Effects, Criticality Analysis purposes of this section, an unoccupied person may readily access and operate (FMECA); trainset compartment means any part of the override device without requiring (2) Be designed with an obstruction the equipment structure that is not the use of a tool or other implement. detection system capable of detecting a normally occupied during operation of (4) The railroad may protect a manual rigid flat bar, 6.4 mm (1⁄4 inches) wide the trainset, including a closet, baggage override device used to open a powered, and 76 mm (3 inches) high and a rigid compartment, food pantry, etc. 3 (6) Determine whether any occupied exterior door with a cover or a screen. rod, 9.5 mm ( ⁄8 inches) in diameter; (5) When a manual override device is or unoccupied space requires a portable (3) Incorporate an obstruction activated, door panel friction, including fire extinguisher and, if so, the proper detection system sufficient to detect seals and hangers, shall allow the doors type and size of the fire extinguisher for large obstructions; to be opened or closed manually with as each location. As required by § 239.101 (4) Be designed so that activation of low a force as practicable. a door by-pass feature does not affect of this chapter, each passenger car is (6) The emergency release mechanism required to have a minimum of one the operation of the obstruction shall require manual reset. detection system on all the other doors portable fire extinguisher. If the analysis (b) Each passenger car shall have a performed indicates that one or more on the trainset; minimum of one exterior side door per (5) The door control station shall be additional portable fire extinguishers side. Each such door shall provide a are needed, such shall be installed. located in a secured area that is only minimum clear opening with accessible to crewmembers or (7) Analyze the benefit provided by dimensions of 813 mm (32 inches) including a fixed, automatic fire- maintenance personnel; horizontally by 1850 mm (72.8 inches) (6) The door open or closed circuit suppression system in any unoccupied vertically. trainset compartment that contains shall not be affected by the throttle (c) Door exits shall be marked, and position; and, equipment or material that poses a fire instructions provided for their use, as hazard, and determine the proper type (7) Discrete, dedicated trainlines shall specified in § 299.423. be used for door-open and door-close and size of the automatic fire- (d) All doors intended for access by commands, door-closed summary suppression system for each such emergency responders shall be marked, circuit, and no motion, if trainlined. location. A fixed, automatic fire- and instructions provided for their use, (h) All powered exterior side door suppression system shall be installed in as specified in § 299.423. any unoccupied compartment when the (e) Vestibule doors and other interior systems in a trainset shall: analysis determines that such doors intended for passage through a (1) Be designed with a door summary equipment is practical and necessary to passenger car. circuit. The door summary circuit shall ensure sufficient time for the safe (1) General. Except for a door be connected or interlocked to prohibit evacuation of passengers and providing access to a control the trainset from developing tractive crewmembers from the trainset. compartment each powered vestibule power if an exterior side door in a (8) Explain how safety issues are door and any other powered interior passenger car, other than a door under resolved in the design of the equipment door intended for passage through a the direct physical control of a and selection of materials to reduce the passenger car shall have a manual crewmember for his or her exclusive risk of each fire hazard. override device that conforms with the use, is not closed; (9) Describe the analysis and testing requirements of paragraphs (e)(2) and (2) Be connected to side door status necessary to demonstrate that the fire (3) of this section. indicators located on the exterior of protection approach taken in the design (2) Manual override devices. Each each unit of the trainset; of the equipment and selection of manual override device shall be: (3) Be connected to a door summary materials meets the fire protection (i) Capable of releasing the door to status indicator that is readily viewable requirements of this part. permit it to be opened without power; to the driver from his or her normal (d) Inspection, testing, and (ii) Located adjacent to the door it position in the operating cab; maintenance. The railroad shall develop controls; and (4) If equipped with a trainset-wide and adopt written procedures for the (iii) Designed and maintained so that door by-pass device, be designed so that inspection, testing, and maintenance of a person may readily access and operate the trainset-wide door by-pass functions

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only when activated from the operating (2) A minimum, average illumination system that provides a means for cab of the trainset; level of 10.7 lux (1 foot-candle) passengers and crewmembers to (5) A lock (cut-out/lock-out) measured 635 mm (25 inches) above communicate by voice with each other mechanism shall be installed at each floor level along the center of each aisle in an emergency situation. Except as door panel to secure a door in the closed and passageway; further specified, at least one intercom and locked position. When the lock (3) A minimum illumination level of that is accessible to passengers without mechanism is utilized to secure the door 1.1 lux (0.1 foot-candle) measured 635 using a tool or other implement shall be in the closed position, a door-closed mm (25 inches) above floor level at any located in each end (half) of each car. indication shall be provided to the door point along the center of each aisle and (c) Marking and instructions. The summary circuit; and, passageway; following requirements apply to all (6) A crew key or other secure device (c) Lighting activation. Each units of a trainset: shall be required to lock-out an exterior emergency lighting fixture shall activate (1) The location of each intercom side door to prevent unauthorized use. automatically or be energized intended for passenger use shall be (i)(1) Visual inspections and continuously whenever the car is in conspicuously marked with HPPL functional tests. The inspection and revenue service and normal lighting is material in accordance with § 299.423; functional tests required for the door not available. and safety system, including the trainset- (d) Independent power source. (2) Legible and understandable wide by-pass verification, shall be Emergency lighting system shall have an operating instructions shall be made of conducted in accordance with the independent power source(s) that is HPPL material in accordance with railroad’s trainset inspection, testing, located in or within one half a car § 299.423 and posted at or near each and maintenance program in accordance length of each light fixture it powers. such intercom. with § 299.445, and operating rules (e) Functional requirements. (d) Back-up power. PA and intercom under subpart E. Emergency lighting system components systems shall have a back-up power (2) Face-to-face relief. Crewmembers shall be designed to operate without system capable of— taking control of a trainset do not need failure and capable of remaining (1) Powering each system to allow to perform a visual inspection or a attached under the conditions typically intermittent emergency communication functional test of the door by-pass found in passenger rail equipment for a minimum period of 90 minutes. devices in cases of face-to-face relief of including expected mechanical Intermittent communication shall be another trainset crew and notification vibrations, and shock in accordance considered equivalent to continuous by that crew as to the functioning of the with § 299.405(a)(1), as well as comply communication during the last 15 door by-pass devices. with electromagnetic interference minutes of the 90-minute minimum (j) The railroad shall maintain a criteria in § 299.435(e). period; and record of each door by-pass activation (1) All emergency lighting system (2) Operating in all equipment and each unintended opening of a components shall be capable to operate orientations within 90 degrees of powered exterior side door, including in all railcar orientations. vertical. any repair(s) made, in the defect (2) All emergency lighting system (e) Additional requirements. The PA tracking system as required by components shall be capable to operate and intercom systems shall be designed § 299.445(h). when normal power is unavailable for to operate without failure and remain 90 minutes without a loss of more than attached under the conditions typically § 299.417 Emergency lighting. 40% of the minimum illumination found in passenger rail equipment (a) General. Emergency lighting shall levels specified in paragraph (b) of this including expected mechanical be provided in each unit of a trainset. section. vibrations, and shock in accordance The emergency lighting system shall be (f) Inspection. (1) The railroad shall with § 299.405(a)(1), as well as comply designed to facilitate the ability of inspect the emergency lighting system with electromagnetic interference passengers and trainset crew members, as required by its inspection, testing, criteria in § 299.435(e). and/or emergency responders to see and and maintenance program in accordance orient themselves, to identify obstacles, with § 299.445. § 299.421 Emergency roof access. in order to assist them to safely move (2) If batteries are used as (a) Number and dimensions. Each through and out of a passenger rail car. independent power sources, they shall passenger car shall have a minimum of (1) Emergency lighting shall have automatic self-diagnostic modules two emergency roof access locations, illuminate the following areas: designed to perform discharge tests. each providing a minimum opening of (i) Passenger car aisles, passageways, 660 mm (26 inches) longitudinally (i.e., and toilets; § 299.419 Emergency communication. parallel to the longitudinal axis of the (ii) Door emergency exit controls/ (a) PA (public address) system. Each car) by 610 mm (24 inches) laterally. manual releases; passenger car shall be equipped with a (b) Means of access. Emergency roof (iii) Vestibule floor near the door PA system that provides a means for a access shall be provided by means of a emergency exits (to facilitate safe trainset crewmember to communicate conspicuously marked structural weak entrance/exit from the door); by voice to passengers of his or her point in the roof for access by properly (iv) Within the car diaphragm and trainset in an emergency situation. The equipped emergency response adjacent area; and PA system shall also provide a means personnel. (v) Specialty car locations such as for a trainset crewmember to (c) Location. Emergency roof access crew offices. communicate by voice in an emergency locations shall be situated so that when (b) Minimum illumination levels. (1) situation to persons in the immediate a car is on its side— A minimum, average illumination level vicinity of his or her trainset (e.g., (1) One emergency access location is of 10.7 lux (1 foot-candle) measured at persons on the station platform). The PA situated as close as practicable within floor level adjacent to each exterior door system may be part of the same system each half of the roof as divided top from and each interior door providing access as the intercom system. bottom; and to an exterior door (such as a door (b) Intercom system. Each passenger (2) One emergency access location is opening into a vestibule); car shall be equipped with an intercom situated as close as practicable within

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each half of the roof as divided left from right. (See Figure 2 to this paragraph.)

(d) Obstructions. The ceiling space trainset crewmembers to make positive with paragraphs (d) and (e) of this below each emergency roof access identification of emergency exits. section. location shall be free from wire, cabling, (1) Each interior emergency exit sign (ii) Rescue access door control locator conduit, and piping. This space shall and emergency exit locator sign shall be signs/markings and instructions; also be free of any rigid secondary conspicuous (i.e., clearly recognizable/ (A) Each door intended for use by structure (e.g., a diffuser or diffuser distinguishable) or become conspicuous emergency responders for rescue access support, lighting back fixture, mounted to passengers and trainset crewmembers shall have operating instructions for PA equipment, or luggage rack) where immediately and automatically upon opening the door from outside the car practicable. It shall be permissible to cut the loss of power for normal lighting, placed on or immediately adjacent to through interior panels, liners, or other from a minimum distance of 1.52 m (5 the door on the carbody. If a power door non-rigid secondary structures after feet). does not function with an integral making the cutout hole in the roof, (2) The signs and markings shall release mechanism, the instructions provided any such additional cutting operate independently of the car’s shall indicate the location of the exterior necessary to access the interior of the normal and emergency lighting systems, manual door control. vehicle permits a minimum opening of for a minimum of 90 minutes after loss (B) Each power door intended for use the dimensions specified in paragraph of all power for normal lighting. by emergency responders for rescue (a) of this section to be maintained. (3) An emergency exit locator sign access which has a non-integral release (e) Marking instructions. Each shall be located in close proximity of mechanism located away from the door, emergency roof access location shall be each emergency exit and shall work in shall have a door control sign/marking conspicuously marked with conjunction with the emergency exit placed at the location of this control that retroreflective material of contrasting sign. The location of the sign, provides instructions for emergency color meeting the minimum directional arrow(s), or wording shall operation, either as part of the access requirements specified in § 299.423. guide passengers and trainset sign/marking or as another sign/ Legible and understandable instructions crewmembers to the emergency exit marking. shall be posted at or near each such route. (C) Each car equipped with manual location. (c) Rescue access signage/marking doors shall have operating instructions systems. (1) Rescue access signage and for opening the door from the exterior, § 299.423 Markings and instructions for marking systems shall enable emergency either as part of the access sign/marking emergency egress and rescue access. responders to make positive or as another sign/marking. (a) General. Instructions and markings identification of rescue access points. (iii) Rescue access window locator shall be provided in each unit of a (2) Rescue access information for signs/markings and instructions; trainset in accordance with the emergency responders placed on the (A) Each rescue access window shall minimum requirements of this section exterior of the carbody shall, at a be identified with a unique to provide instructions for passengers minimum, consist of the following: retroreflective and easily recognizable and trainset crewmembers for regarding (i) Each door intended for use by sign, symbol, or other conspicuous emergency egress, and rescue access emergency responders for rescue access marking that complies with paragraphs instructions for emergency responders. shall be identified with emergency (d) and (e) of this section. (b) Visual identity and recognition. access signs, symbols, or other (B) Signs, symbols, or marking shall Emergency exit signage/marking conspicuous marking consisting of be placed at the bottom of each such systems shall enable passengers and retroreflective material that complies window, on each window, or adjacent

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to each window, utilizing arrows, where (ii) Luminance. The photopic automatically from a low-location upon necessary, to clearly designate rescue luminance of all specimens of the HPPL loss of power for normal lighting, and assess window location. Legible and material shall be measured with a under the minimum general emergency understandable window-access luminance meter as defined in section light illumination levels as specified in instructions, including any pictogram/ 5.2 of ASTM E 2073–07, a minimum of § 299.423. instructions for removing the window, 90 minutes after activation has ceased. (c) Signage and markings. At a shall be posted at or near each rescue (iii) Luminance in mcd/m 2. The test minimum, the LLEEPM system shall access window. report shall include a luminance have the following three components: (iv) Roof access locator signs/ measurement 90 minutes after (1) Primary door exit signs. (i) Each markings and instructions. activation has ceased. primary door exit shall be clearly (A) The location of each emergency (f) Recordkeeping. (1) The railroad marked with an exit sign; access point provided on the roof of a shall retain a copy of the car (ii) The exit sign shall be visible from passenger car shall be clearly marked manufacturer/supplier provided a low-location from the exit along the with retroreflective material of independent laboratory certified test exit path; and contrasting color that complies with report results showing that the (iii) Each exit sign shall be located on paragraphs (d) and (e) of this section. illuminance or luminance or immediately adjacent to each door (B) Legible and understandable measurements, as appropriate, on the and placed between 152.4 and 457.2 instructions shall be posted at or near active area of the signage/marking mm (6 and 18 inches) above the floor. each such location. component. Such records shall be kept (2) Primary door exit marking/ (C) If emergency roof access is until all cars with those components are delineators. (i) The location of the exit provided by means of a structural weak retired, transferred, leased, or conveyed path shall be marked using electrically point: to another railroad for use in revenue powered (active) marking/delineators or (1) The retroreflective material shall service. A copy of such records shall be light fixtures, HPPL (passive) marking/ clearly mark the line along which the transferred to the accepting railroad delineators or a combination of these roof skin shall be cut; and along with any such cars. two systems. (2) A sign plate with a retroreflective (2) The railroad shall retain a copy of (ii) The requirements in this section border shall also state: the railroad-approved illuminance test apply for both electrical and HPPL plan(s) and test results until the next CAUTION—DO NOT USE FLAME components, whether installed on the periodic test, or other test specified in walls, floors, or seat assemblies. CUTTING DEVICES. accordance with the railroad’s CAUTION—WARN PASSENGERS (iii) Each primary door shall be BEFORE CUTTING. inspection, testing, and maintenance marked on or around the door’s CUT ALONG DASHED LINE TO GAIN program is conducted on a operating handle. ACCESS. representative car/area, or until all cars (3) Exit path marking/delineators. (i) ROOF CONSTRUCTION—[STATE of that type are retired, or are The marking/delineator components RELEVANT DETAILS]. transferred, leased, or conveyed to shall be positioned so as to identify an (d) Color contrast. Exterior signs/ another railroad. A copy of such records exit path to all primary exits that is markings shall provide luminance shall be transferred to the accepting clearly visible and easily recognizable contrast ratio of not less than 0.5, as railroad along with such car(s). from any seat or compartment in the (3) The railroad shall retain a copy of measured by a color-corrected trainset, when normal lighting and the certified independent laboratory test photometer. emergency lighting are unavailable in report results that certify that the (e) Materials—(1) Retroreflective conditions of darkness and/or smoke. retroreflective material complies with material. Exterior emergency rescue (ii) Markings/delineators shall be Type I materials per ASTM D–4956– access locator signs/markings shall be located on the floor or no higher than 07 epsiv;1 until all cars containing the constructed of retroreflective material 457.2 mm (18 inches) on the seat retroreflective material are retired, or are that conforms to the specifications for assembly, or walls/partitions of aisles, transferred, leased, or conveyed to Type I material sheeting, as specified in and/or passageways. another railroad. A copy of such records ASTM D 4956–07 ε≠ (incorporated by (iii) Changes in the direction of the shall be provided to the accepting reference, see § 299.17), ‘‘as tested in exit path shall be indicated by the railroad along with any car(s) that are accordance with ASTM E 810–03 LLEEPM and be placed within 102 mm transferred, leased, or conveyed. (incorporated by reference, see (4 inches) of the corner of the exit path. § 299.17). § 299.425 Low-location emergency exit (d) Material—(1) HPPL passive (2) HPPL materials. All HPPL path marking. systems. HPPL strip marking/delineator materials used in finished component (a) General. Low-location emergency material used for LLEEPM components configurations shall comply with the exit path marking (LLEEPM) shall be shall be capable of providing a minimum luminance criterion of 7.5 provided in each unit of a trainset. The minimum luminance level of 7.5 mcd/ mcd/m2 after 90 minutes when tested LLEEPM system shall be designed to m2, measured 90 minutes after normal according to the provisions of ASTM E identify the location of primary door power has ceased. 2073–07 (incorporated by reference, see exits and the exit path to be used to (2) Electroluminescent marking/ § 299.17), with the following three reach such doors by passengers and delineator strips. The luminance value modifications: trainset crewmembers under conditions of the electroluminescent (EL) marking/ (i) Activation. The HPPL material of darkness when normal and delineator strip shall be at least 1,000 shall be activated with a fluorescent emergency sources of illumination are mcd/m2, as measured on the strip lamp of 40W or less and a color obscured by smoke or are inoperative. surface. temperature of 4000–4500K that (b) Visual identity and recognition. (e) Conspicuity of markings. LLEEPM provides no more than 10.7 lux (1 fc) of The LLEEPM system shall be signs shall comply with the text, color illumination as measured on the conspicuous (i.e., clearly recognizable/ and respective illuminance or material surface. The activation period distinguishable), or become luminance requirements specified in shall be for no more than 60 minutes. conspicuous immediately and § 299.423 and in this section.

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(f) Emergency performance duration. (2) The railroad shall retain a copy of normal and emergency power systems, The LLEEPM system shall operate the railroad-approved illuminance test shall be reported and repaired in independently of the car’s normal and plan(s) and test results until the next accordance with the railroad’s emergency lighting systems for 90 periodic test, or other test specified in inspection, testing, and maintenance minutes after loss of all power for accordance with the railroad’s program as specified in § 299.445. normal lighting. inspection, testing, and maintenance (g) Recordkeeping. (1) The railroad program and ensure that tests are § 299.427 Emergency egress windows. shall retain a copy of the car conducted on a representative car, or (a) Number and location. Each unit in manufacturer/supplier provided until all cars of that type are retired, a trainset shall have a minimum of four certified independent laboratory test transferred, leased, or conveyed to emergency window exits. At least one report results showing that the another railroad. A copy of such records illuminance or luminance shall be provided to the accepting emergency window exit shall be located measurements, as appropriate, on the railroads along with any car(s) that are in each side of each end (half) of the car, active area of the signage/marking/ transferred, leased, or conveyed. in a staggered configuration where delineator component comply with the (3) Illegible, broken, damaged, practicable. (See Figure 3 to this criteria specified in § 299.423 and in missing, or non-functioning components paragraph.) this section. of the LLEEPM system, including the

(b) Ease of operability. Each luminescent material on the inside of otherwise comply with all requirements emergency egress window exit shall be each car to facilitate passenger egress as in this subpart applicable to emergency designed to permit rapid and easy specified in § 299.423. egress window. removal from the inside of the car (2) Legible and understandable § 299.429 Rescue access windows. during an emergency situation using a operating instructions, including hammer designed to break the glazing instructions for removing the window (a) General. Each emergency egress that shall be located adjacent to each shall be made of luminescent material, window required by § 299.427 shall also emergency window. The railroad shall shall be posted at or near each such serve as a means of rescue access. (b) Ease of operability. Each rescue inspect for the presence of the window exit as specified in § 299.423. emergency hammers each day prior to access window must be capable of being (e) Obstructions. If window removal removed without unreasonable delay by the trainset being placed into service in may be hindered by the presence of a accordance with § 299.711(b). an emergency responder using tools or seatback, headrest, luggage rack, or implements that are commonly (c) Dimensions. Except as provided in other fixture, the instructions shall state available to the responder in a passenger paragraph (c)(1) of this section, each the method for allowing rapid and easy trainset emergency. emergency egress window in a removal of the window, taking into (c) Marking and instructions. (1) Each passenger car shall have an account the fixture(s), and this portion rescue access window shall be marked unobstructed opening with minimum of the instructions may be in written or with retroreflective material on the dimensions of 660 mm (26 inches) pictorial format. exterior of each car as specified in horizontally by 610 mm (24 inches) (f) Additional emergency window § 299.423. A unique and easily vertically. A seatback is not an exits. Any emergency window exit in recognizable symbol, sign, or other obstruction if it can be moved away addition to the minimum number conspicuous marking shall also be used from the window opening without using required by paragraph (a) of this section to identify each such window. a tool or other implement. that has been designated for use by the (2) Legible and understandable (d) Marking and instructions. (1) Each railroad need not comply with the window-access instructions, including emergency window exit shall be minimum dimension requirements in instructions for removing the window, conspicuously and legibly marked with paragraph (c) of this section, but must shall be posted at or near each rescue

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access window as specified in appendix C to this part to determine (i) Accurate within ± 2 km/h (1.24 § 299.423. compliance with paragraph (l)(1) of this miles per hour) for speed lower than 30 section, and, to the extent reasonably km/h (18.6 miles per hour), then § 299.431 Driver’s controls and cab layout. necessary to evaluate the effect of increasing linearly up to ± 12 km/h (7.5 (a) Driver controls and cab layout. alterations during maintenance, to miles per hour) at 500 km/h (311 miles Driver controls and cab layout shall determine compliance with paragraph per hour); and replicate that used in the N700, unless (l)(2) of this section. (ii) Clearly readable from the driver’s otherwise approved by FRA. (i) Maintenance of trainset cabs. (1) If normal position under all light (b) Cab seating. Each seat provided for the railroad receives an excessive noise conditions. an employee regularly assigned to report, and if the condition giving rise (2) The speed indicator shall be based occupy a cab and any floor-mounted to the noise is not required to be on a system of independent on-board seat in the cab shall be securely attached immediately corrected under this part, speed measurement sources in accordance with § 299.405. the railroad shall maintain a record of (c) Cab interior surface. Sharp edges guaranteeing the accuracy level the report, and repair or replace the item and corners shall be eliminated from the specified in paragraph (a)(1) of this identified as substantially contributing interior of the cab, and interior surfaces section under all operational conditions. to the noise: of the cab likely to be impacted by an The system shall be automatically (i) On or before the next periodic monitored for inconsistencies and the employee during a collision or inspection required by the railroad’s derailment shall be padded with shock- engineer shall be automatically notified inspection, testing, and maintenance of any inconsistency potentially absorbent material. program under subpart G; or (d) Cab securement. Trainset interior compromising this accuracy level. (ii) If the railroad determines that the (3) The speed indicator shall be cab doors shall be equipped with the repair or replacement of the item following: calibrated periodically as defined in the requires significant shop or material (1) A secure and operable device to railroad’s inspection, testing, and resources that are not readily available, lock the door from the outside that does maintenance program. not impede egress from the cab; and at the time of the next major equipment (k) Cab lights. (1) Each trainset cab (2) A securement device on each cab repair commonly used for the particular shall have cab lights which will provide door that is capable of securing the door type of maintenance needed. sufficient illumination for the control (2) The railroad has an obligation to from inside of the cab. instruments, meters, and gauges to respond to an excessive noise report (e) Cab glazing serviceability. End- enable the driver to make accurate that a trainset-cab-occupant files. The facing cab windows of the lead trainset readings from his or her normal railroad meets its obligation to respond cab shall be free of cracks, breaks, or positions in the cab. These lights shall to an excessive noise report, as set forth other conditions that obscure the view be located, constructed, and maintained in paragraph (m)(1) of this section, if the of the right-of-way for the crew from so that light shines only on those parts railroad makes a good faith effort to their normal position in the cab. requiring illumination and does not identify the cause of the reported noise, (f) Floors of cabs, passageways, and interfere with the driver’s vision of the and where the railroad is successful in compartments. Floors of cabs, track and signals. Each trainset cab shall determining the cause, if the railroad passageways, and compartments shall also have a conveniently located light repairs or replaces the items that cause be kept free from oil, water, waste or that can be readily turned on and off by the noise. any obstruction that creates a slipping, the driver operating the trainset and that (3)(i) The railroad shall maintain a tripping or fire hazard. Floors shall be provides sufficient illumination for written or electronic record of any properly treated to provide secure them to read trainset orders and excessive noise report, inspection, test, footing. timetables. (g) Cab environmental control. Each maintenance, replacement, or repair completed pursuant to paragraph (m) of (2) Cab passageways and lead cab in a trainset shall be heated and compartments shall be illuminated. air conditioned. The HVAC system shall this section, and the date on which that be inspected and maintained to ensure inspection, test, maintenance, § 299.433 Exterior lights. that it operates properly and meets the replacement, or repair occurred. If the (a) Headlights. Each leading end of a railroad’s performance standard which railroad elects to maintain an electronic trainset shall be equipped with two or shall be defined in the inspection, record, the railroad must satisfy the more headlights. testing, and maintenance program. conditions listed in § 299.11. (1) Each headlight shall produce (h) Trainset cab noise. Performance (ii) The railroad shall retain these 80,000 candela. standards for the railroad’s trainsets: records for a period of one year. (1) The average noise levels in the (iii) The railroad shall establish an (2) Headlights shall be arranged to trainset cab shall be less than or equal internal, auditable, monitorable system illuminate signs in the right-of-way. to 85 dB(A) when the trainset is that contains these records. (3) Headlights shall be recognized 600 operating at maximum approved (m) Trainset sanitation facilities for m (1,968 feet) ahead of the cab car by trainset speed as approved under employees. Sanitation facilities shall be a driver in another trainset or a § 299.609(g). Compliance with this provided for crewmembers either: maintenance person standing in the paragraph (h)(1) shall be demonstrated (1) On the trainset, that meet right-of-way under clear weather during the trainset qualification testing otherwise applicable sanitation conditions. as required by § 299.607. standards, which are accessible at (b) Taillights (marking devices). (1) (2) The railroad shall not make any frequent intervals during the course of The trailing end of the trainset shall be alterations during maintenance or their work shift; or equipped with two red taillights; modifications to the cab, that cause the (2) Ready access to railroad-provided (2) Each taillight shall be located at average sound level to exceed the sanitation facilities outside of the least 1.2 m (3.9 feet) above rail; requirements in paragraph (1) of this trainset. (3) Each taillight shall be recognizable section. (j) Speed indicators. (1) Each trainset 200 m (656 feet) ahead of the cab car by (3) The railroad or manufacturer shall controlling cab shall be equipped with a driver in another trainset or a follow the test protocols set forth in a speed indicator which is— maintenance person standing in the

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right-of-way under clear weather housed in an enclosure designed barriers providing direct access to high conditions; specifically for that purpose with the arc voltage equipment shall be (4) Taillights of the trailing end of the chute vented directly to outside air. conspicuously and legibly marked trainset shall be on when the trainset is (3) Auxiliary power supply (440 ‘‘DANGER–HIGH VOLTAGE’’ or with in operation; VAC), providing power distribution, the word ‘‘DANGER’’ and the normal (5) Taillights shall not be on in the shall be provided with both overload voltage carried by the parts so protected. direction of trainset travel, except if the and ground fault protection. Labels shall be retro-reflective. driver shall re-position the trainset in a (c) Main battery system. (1) The main (h) Hand-operated switches. All hand- station. Such re-positioning operations batteries shall be isolated from the cab operated switches carrying currents shall be done in accordance with the and passenger seating areas by a non- with a potential of more than 150 volts railroad’s operating rules; and combustible barrier. that may be operated while under load (6) In an emergency situation, the (2) If batteries are of the type to shall be covered and shall be operative headlight on the rear of the trainset may potentially vent explosive gases, the from the outside of the cover. Means serve as the taillights in accordance batteries shall be adequately ventilated shall be provided to show whether the with the railroad’s operating rules. to prevent accumulation of explosive switches are open or closed. Switches concentrations of these gases. that should not be operated while under § 299.435 Electrical system design. (3) Battery chargers shall be designed load shall be conspicuously and legibly (a) Overhead collector systems. (1) to protect against overcharging. marked with the words ‘‘must not be Pantographs shall be so arranged that (4) Battery circuits shall include an operated under load’’ and the voltage they can be operated from the driver’s emergency battery cut-off switch to carried. normal position in the cab. Pantographs completely disconnect the energy stored (i) Conductors; jumpers; cable that automatically rise when released in the batteries from the load. connections. (1) Conductor sizes shall shall have an automatic locking device (d) Capacitors for high-energy storage. be selected on the basis of current- to secure them in the down position. (1) Capacitors, if provided, shall be carrying capacity, mechanical strength, (2) Each overhead collector system, isolated from the cab and passenger temperature, flexibility requirements, including the pantograph, shall be seating areas by a non-combustible and maximum allowable voltage drop. equipped with a means to electrically barrier. Current-carrying capacity shall be ground any uninsulated parts to prevent (2) Capacitors shall be designed to derated for grouping and for operating the risk of electrical shock when protect against overcharging and temperature. working on the system. overheating. (2) Jumpers and cable connections (3) Means shall be provided to permit (e) Electromagnetic interference (EMI) between trainset units shall be located the driver to determine that the and electromagnetic compatibility and guarded to provide sufficient pantograph is in its lowest position, and (EMC). (1) The railroad shall ensure vertical clearance. They may not hang for securing the pantograph if necessary, electromagnetic compatibility of the with one end free. without the need to mount the roof of safety-critical equipment systems with (3) Cable and jumper connections the trainset. their environment. Electromagnetic between trainset units may not have any (4) Each trainset equipped with a compatibility can be achieved through of the following conditions: pantograph operating on an overhead equipment design or changes to the (i) Broken or badly chafed insulation; collection system shall also be equipped operating environment. (ii) Broken plugs, receptacles, with a means to safely lower the (2) The electronic equipment shall not terminals, or trainline pins; and pantograph in the event of an produce electrical noise that interferes (iii) Broken or protruding strands of emergency. If an emergency pole is used with trainline control and wire. for this purpose, that part of the pole communications or with wayside (j) Traction motors. All traction which can be safely handled shall be signaling systems. motors shall be in proper working order, marked to so indicate. This pole shall be (3) To contain electromagnetic or safely cut-out. protected from moisture and damage interference emissions, suppression of § 299.437 Automated monitoring. when not in use. Means of securement transients shall be at the source and electrical isolation of a damaged wherever possible. (a) Each trainset shall be equipped to pantograph, when it cannot be (4) Electrical and electronic systems monitor the performance of the performed automatically, shall be of equipment shall be capable of following systems or components: addressed in the railroad’s operating operation in the presence of external (1) Reception of cab and trainset rules. electromagnetic noise sources. control signals; (b) Circuit protection. (1) Each (5) All electronic equipment shall be (2) Electric brake status; (3) Friction brake status; auxiliary circuit shall be provided with self-protected from damage or improper (4) Fire detection systems, if so a circuit breaker or equivalent current- operation, or both, due to high voltage equipped; limiting devices located as near as transients and long-term over-voltage or (5) Auxiliary power status; practicable to the point of connection to under-voltage conditions. This includes (6) Wheelslide; the source of power for that circuit. protection from both power frequency (7) On-board bearing-temperature Such protection may be omitted from and harmonic effects as well as sensors; circuits controlling safety-critical protection from radio frequency signals (8) Door open/closed status; and, devices. into the microwave frequency range. (9) Bogie vibration detection. (2) The 25-kV main power line shall (f) Insulation or grounding of metal (b) When any of the monitored be protected with a lightning arrestor, parts. All unguarded noncurrent- parameters are out of predetermined automatic circuit breaker, and overload carrying metal parts subject to becoming limits, an alert shall be sent relay. The lightning arrestor shall be run charged shall be grounded or thoroughly immediately to the driver. The railroad’s by the most direct path possible to insulated. operating rules shall control trainset ground with a connection to ground of (g) High voltage markings: Doors, movement when the monitored not less than No. 6 AWG. These cover plates, or barriers. External parameters are out of predetermined overload protection devices shall be surfaces of all doors, cover plates, or limits.

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(c) The railroad shall develop (9) Urgent brake application(s); trainset operation, reveals a failure to appropriate operating rules to address (10) Passenger brake alarm request; record a regularly recurring data driver and equipment performance in (11) Wheel slip/slide alarm activation element or reveals that any required the event that the automatic monitoring (with a property-specific minimum data element is not representative of the system becomes defective. duration); actual operations of the trainset during (d) The monitoring system shall be (12) Trainset number; this time period. If the review is not designed with an automatic self-test (13) Trainset tractive effort (positive successful, further maintenance and feature that notifies the driver that the and negative); testing shall be performed until a monitoring capability is functioning (14) Trainset brake cylinder pressures; subsequent test is successful. When a correctly and alerts the driver when a (15) Cruise control on/off, if so successful test is accomplished, a system failure occurs. equipped and used; record, in any medium, shall be made (16) Bogie vibration detection; of that fact and of any maintenance § 299.439 Event recorders. (17) Door status opened/closed; and work necessary to achieve the (a) Duty to equip and record. Each (18) Safety-critical trainset control successful result. This record shall be trainset shall be equipped with an data routed to the controlling driver’s kept at the location where the trainset operative event recorder that monitors display with which the driver is is maintained until a record of a and records as a minimum all safety required to comply, specifically subsequent successful test is filed. The data required by paragraph (b) of this including text messages conveying download shall be taken from section. The event recorder shall record mandatory directives and maximum information stored in the certified the most recent 48 hours of operational authorized speed. The specific crashworthy crash hardened event data of the trainset on which it is information format, content, and recorder memory module. installed. proposed duration for retention of such (f) Preserving accident data. If any (b) Equipment requirements. Event data shall be specified in the PTC Safety trainset equipped with an event recorders shall monitor and record data Plan submitted for the trainset control recorder, or any other trainset mounted elements or information needed to system under subpart B, subject to FRA recording device or devices designed to support the data elements required by approval. If it can be calibrated against record information concerning the this paragraph. The data shall be other data required by this part, such functioning of a trainset, is involved in recorded with at least the accuracy trainset control data may, at the election an accident/incident that is required to required of the indicators displaying of the railroad, be retained in a separate be reported to FRA under part 225 of any of the required data elements to the certified crashworthy memory module. this chapter, the railroad shall, to the driver. (d) Response to defective equipment. extent possible, and to the extent (c) Data elements. The event recorder A trainset on which the event recorder consistent with the safety of life and shall be equipped with a certified has been taken out of service may property, preserve the data recorded by crashworthy event recorder memory remain in-service only until the next each such device for analysis by FRA in module that meets the requirements of pre-service inspection. A trainset with accordance with § 299.11. This appendix B to this part. The certified an inoperative event recorder is not preservation requirement permits the event recorder memory module shall be deemed to be in improper condition, railroad to extract and analyze such mounted for its maximum protection. unsafe to operate, or a non-complying data, provided the original downloaded The event recorder shall record, and the trainset under § 299.447. data file, or an unanalyzed exact copy certified crashworthy event recorder (e) Annual tests. (1) The railroad’s of it, shall be retained in secure custody memory module shall retain, the inspection, testing, and maintenance and shall not be utilized for analysis or following data elements or information program under subpart H of this part any other purpose except by direction of needed to support the data elements: shall require annual testing of the event FRA or the National Transportation (1) Trainset speed; recorder. All testing under this section Safety Board. This preservation (2) Selected direction of motion; shall be performed at intervals that do requirement shall expire one (1) year (3) Date and time; not exceed 368 calendar days. after the date of the accident/incident (4) Distance traveled; (2) A microprocessor-based event unless FRA or the Board notifies the (5) Throttle position; recorder with a self-monitoring feature railroad in writing that the data are (6) Applications and operations of the equipped to verify that all data elements desired for analysis. trainset brake system, including urgent required by this part are recorded, (g) Relationship to other laws. and emergency applications. The system requires further maintenance and testing Nothing in this section is intended to shall record, or provide a means of only if either of the following conditions alter the legal authority of law determining, that a brake application or exist: enforcement officials investigating release resulted from manipulation of (i) The self-monitoring feature potential violation(s) of Federal or State brake controls at the position normally displays an indication of a failure. If a criminal law(s), and nothing in this occupied by the driver. In the case of a failure is displayed, further chapter is intended to alter in any way brake application or release that is maintenance and testing must be the priority of National Transportation responsive to a command originating performed until a subsequent test is Safety Board investigations under 49 from or executed by an on-board successful. When a successful test is U.S.C. 1131 and 1134, nor the authority computer (e.g., electronic braking accomplished, a record, in any medium, of the Secretary of Transportation to system controller, controlling cab shall be made of that fact and of any investigate railroad accidents under 49 electronic control system, or trainset maintenance work necessary to achieve U.S.C. 5121, 5122, 20107, 20111, 20112, control computer), the system shall the successful result. This record shall 20505, 20702, 20703, and 20902. record, or provide a means of be available at the location where the (h) Disabling event recorders. Except determining, the involvement of any trainset is maintained until a record of as provided in paragraph (d) of this such computer; a subsequent successful test is filed; or, section, any individual who willfully (7) Applications and operations of the (ii) A download of the event recorder, disables an event recorder, or who regenerative brake; taken within the preceding 30 days and tampers with or alters the data recorded (8) Cab signal aspect(s); reviewed for the previous 48 hours of by such a device is subject to civil

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penalty as provided in part 218 of this (v) Hardware and software hazard as safety-critical failures in the chapter, and to disqualification from monitoring and tracking; supplier’s system, subsystem, or performing safety-sensitive functions on (vi) Hardware and software components; a railroad under subpart D of part 209 integration safety testing; (viii) The reasons shall be identified of this chapter. (vii) Demonstration of overall for that change or failure from the hardware and software system safety as suppliers, whether or not the railroad § 299.441 Trainset electronic hardware and part of the pre-revenue service testing of has experienced a failure of that safety- software safety. the equipment; and critical system, sub-system, or (a) Purpose and scope. The (viii) Safety-critical changes and component; and, requirements of this section apply to all failures. (ix) The railroad shall document all safety-critical electronic control (2) Safety analysis. The hardware and arrangements with suppliers for systems, subsystems, and components software safety program shall be based notification of any and all electronic on the trainsets, except for on-board on a formal safety methodology that safety-critical changes as well as safety- signaling and trainset control system includes a FMECA; verification and critical failures in the supplier’s system, components that must meet the software validation testing for all hardware and subsystem, or components. safety requirements defined in subpart B software components and their (d) Specific requirements. Hardware of this part. interfaces; and comprehensive hardware and software that controls or monitors a (b) Applicability. (1) The trainsets and software integration testing to trainset’s primary braking system shall shall utilize the service-proven safety- ensure that the hardware and software either— critical electronic control systems, system functions as intended. (1) Fail safely by initiating an subsystems, and components as used on (3) Compliance. The railroad shall emergency or urgent brake application the N700 to control and monitor safety- comply with the elements of its in the event of a hardware or software critical components. hardware and software safety program failure that could impair the ability of (2) Any modifications to the existing that affect the safety of the passenger the driver to apply or release the brakes; service-proven safety-critical electronic trainset. or control systems, subsystems, and (4) Safety-critical changes and (2) Provide the driver access to direct components shall be subject to the failures. Whenever a planned safety- manual control of the primary braking requirements defined in paragraph (c) of critical design change is made to the system (emergency or urgent braking). this section. safety-critical electronic control (i) The railroad shall assure that the (e) Inspection, testing, and systems, subsystems and components suppliers of new or modified safety- maintenance records. The inspection, (the products) that are in use by the critical systems, subsystems, and testing, and maintenance conducted by railroad and subject to this subpart, the components utilize an industry the railroad in accordance with railroad shall— recognized hardware and software § 299.445 shall be recorded in hardcopy (i) Notify FRA in accordance with development process which is evaluated or stored electronically. Electronic § 299.9 of the design changes made by and certified by an independent third- recordkeeping or automated tracking the product supplier; party assessor authorized by the systems, subject to the provisions (ii) Ensure that the safety analysis contained in § 299.11, may be utilized to industry standard utilized. required under paragraph (c)(2) of this (ii) The railroad shall require that all store and maintain any testing or section is updated as required; suppliers submit the certifications and training record required by this subpart. (iii) Conduct all safety-critical audit results as applicable. All such Results of product testing conducted by changes in a manner that allows the certifications shall be made available to a vendor in support of a safety analysis change to be audited; shall be provided to and recorded by the FRA upon request. (iv) The railroad shall document all (3) Any major upgrades or railroad. arrangements with suppliers for introduction of new safety-critical (1) The testing records shall contain notification of all electronic safety- technology shall be subject to all of the following: § 299.613(d). critical changes as well as safety-critical (i) The name of the railroad; (c) Electronic hardware and software failures in the supplier’s system, (ii) The location and date that the test safety program. The railroad shall subsystem, or components, and the was conducted; develop and maintain a written reasons for that change or failure from (iii) The equipment tested; electronic hardware and software safety the suppliers, whether or not the (iv) The results of tests; program to guide the design, railroad has experienced a failure of that (v) The repairs or replacement of development, testing, integration, and safety-critical system, sub-system, or equipment; verification of all new or modified component; (vi) Any preventative adjustments safety-critical trainset hardware and (v) Specify the railroad’s procedures made; and software. for action upon receipt of notification of (vii) The condition in which the (1) Hardware and software safety a safety-critical change or failure of an equipment is left. program description. The hardware and electronic system, sub-system, or (2) Each record shall be— software safety program shall include a component, and until the upgrade or (i) Signed by the employee description of how the following will be revision has been installed; conducting the test, or electronically implemented to ensure safety and (vi) Identify all configuration/revision coded, or identified by the automated reliability: control measures designed to ensure test equipment number; (i) The hardware and software design that safety-functional requirements and (ii) Filed in the office of a supervisory process; safety-critical hazard mitigation official having jurisdiction, unless (ii) The hardware and software design processes are not compromised as a otherwise noted; and documentation; result of any such change, and that any (iii) Available for inspection and (iii) The hardware and software such change can be audited; and, copying by FRA. hazard analysis; (vii) The railroad shall require (3) The results of the testing (iv) Hardware and software safety suppliers to provide notification of all conducted in accordance with this reviews; electronic safety-critical changes as well section shall be retained as follows:

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(i) The results of tests that pertain to maintenance, repair, modification, (2) The leading and trailing end installation or modification of a product inspection, and testing of the safety- couplers and uncoupling devices may shall be retained for the life-cycle of the critical electronic control systems, be stored within a removable shrouded product tested and may be kept in any subsystems and components. housing. office designated by the railroad; (i) Training and qualification (3) Leading and trailing automatic (ii) The results of periodic tests program. Under § 299.13(c)(3), the couplers of trainsets shall be compatible required for the maintenance or repair railroad shall establish and implement a with the railroad’s rescue vehicles. A of the product tested shall be retained training and qualification program for coupler adaptor can be used to meet this until the next record is filed and in no the safety-critical electronic control requirement. case less than one year; and systems, subsystems, and components (4) The railroad shall develop and (iii) The results of all other tests and subject to subpart G of this part prior to implement rescue procedures that training shall be retained until the next the safety-critical electronic control assure employee safety during rescue record is filed and in no case less than systems, subsystems, and components operations and shall be contained in the one year. being placed in use. railroad’s operating rules. (f) Review of safety analysis. (1) Prior (j) Operating personnel training. The (5) Each unit within a trainset shall be to the initial planned use of a new training program required by semi-permanently coupled and shall product as defined by paragraphs (b)(2) § 299.13(c)(3) for any driver or other only be uncoupled at a trainset or (3) of this section, the railroad shall person who participates in the operation maintenance facility or other locations notify FRA in accordance with § 299.9 of a trainset using the safety-critical identified by the railroad where the of the intent to place this product in electronic control systems, subsystems protections afforded in subpart B of part service. The notification shall provide a and components shall address all the 218 of this chapter can be applied. description of the product, and identify following elements: (6) The ends of units in a trainset that the location where the complete safety (1) Familiarization with the electronic are semi-permanently coupled are not analysis documentation and the testing control system equipment on-board the required to be equipped with automatic are maintained. trainset and the functioning of that (2) The railroad shall maintain and couplers, sill steps, end handholds or equipment as part of the system and in side handholds. make available to FRA upon request all relation to other on-board systems under (b) Crew access. (1) Each trainset shall railroad or vendor documentation used that person’s control; to demonstrate that the product meets (2) Any actions required of the provide a minimum of two (2) locations the safety requirements of the safety operating personnel to enable or enter per side, where crew members can analysis for the life-cycle of the product. data into the system and the role of that board or disembark the trainset safely (g) Hazard tracking. After a new function in the safe operation of the from ground level. product is placed in service in trainset; (2) Each location used for crew access accordance with paragraphs (b)(2) or (3) (3) Sequencing of interventions by the shall be equipped with retractable stairs of this section, the railroad shall system, including notification, with handrails designed for safe access maintain a database of all safety- enforcement, and recovery from the to the trainset from ground level. relevant hazards encountered with the enforcement as applicable; § 299.445 Trainset inspection, testing, and product. The database shall include all (4) Railroad operating rules applicable maintenance requirements. hazards identified in the safety analysis to control systems, including provisions (a) General. (1) The railroad shall and those that had not been previously for movement and protection of any develop a written inspection program identified in the safety analysis. If the unequipped passenger equipment, or for the rolling stock, in accordance with frequency of the safety-relevant hazards passenger equipment with failed or cut- and approved under the requirements of exceeds the threshold set forth in the out controls; § 299.713. As further specified in this safety analysis, then the railroad shall— (5) Means to detect deviations from (1) Report the inconsistency to the proper functioning of on-board section, the program shall describe in Associate Administrator, within 15 days electronic control system equipment detail the procedures, equipment, and of discovery in accordance with § 299.9; and instructions explaining the proper other means necessary for the safe (2) Take immediate countermeasures response to be taken regarding control of operation of the passenger equipment, to reduce the frequency of the safety- the trainset and notification of including all inspections set forth in relevant hazard(s) below the threshold designated railroad personnel; and paragraph (e) of this section. This set forth in the safety analysis; and (6) Information needed to prevent information shall include a detailed (3) Provide a final report to the unintentional interference with the description of the methods of ensuring Associate Administrator, on the results proper functioning of on-board accurate records of required inspections. of the analysis and countermeasures electronic control equipment. (2) The initial inspection, testing, and taken to mitigate the hazard to meet the maintenance program submitted under threshold set forth in the safety analysis § 299.443 Safety appliances. § 299.713 shall, as a minimum, address when the problem is resolved. For (a) Couplers. (1) The leading and the specific safety inspections contained hazards not identified in the safety trailing ends of each trainset shall be in paragraphs (e)(1) through (4) of this analysis the threshold shall be exceeded equipped with an automatic rescue section. The railroad may submit the at one occurrence. coupler that couples on impact. procedures detailing the bogie (4) Electronic or automated tracking (i) Uncoupling of the rescue coupler inspections or general overhaul systems used to meet the requirements shall be done only at a trainset requirements contained in paragraph contained in paragraph (g) of this maintenance facility or other location (e)(3) and (4) of this section, section shall be in accordance with where personnel can safely get under or respectively, at a later date than the § 299.11. between units. initial inspection, testing, and (h) Operations and maintenance (ii) The leading and the trailing ends maintenance program, but not less than manual. The railroad shall maintain all of a trainset are not required to be 180 days prior to the scheduled date of supplier or vendor documents equipped with sill steps or end or side the first bogie inspection or general pertaining to the operation, installation, handholds. overhaul.

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(b) Identification of safety-critical (ii) If the existence of any safety- (1) The identification number of the items. In addition to safety critical items critical conditions cannot be determined defective unit within a trainset, and identified under § 299.711(b), on-board by use of an automated monitoring trainset identification number; emergency equipment, emergency back- system, the railroad shall perform a (2) The date the defect was up systems, trainset exits and trainset visual inspection to determine if the discovered; safety-critical hardware and software condition exists. (3) The nature of the defect; systems in accordance with § 299.441 (2) Regular inspections. The railroad (4) The determination made by a shall be deemed safety-critical. shall perform a regular inspection on all qualified individual whether the (c) Compliance. The railroad shall trainsets in accordance with the test equipment is safe to run; adopt and comply with the approved procedures and inspection criteria (5) The name of the qualified inspection, testing, and maintenance established in paragraph (a) of this individual making such a program in accordance with § 299.703. section and at the intervals defined by determination; (d) General condition. The inspection, paragraph (f) of this section. If any of the (6) Any operating restrictions placed testing, and maintenance program shall conditions defined as safety-critical in on the equipment; and ensure that all systems and components paragraph (b) of this section and (7) Repairs made and the date that of the equipment are free of conditions § 299.711(b) are found during this they were completed. that endanger the safety of the crew, inspection, the trainset shall not be put (i) Retention of records. At a passengers, or equipment. These into service until that condition is minimum, the railroad shall keep the conditions include, but are not limited rectified. records described in paragraph (j) of to the following: (3) Bogie inspections. The railroad each required inspection under this (1) A continuous accumulation of oil shall perform a bogie inspection on all section in accordance with § 299.11. or grease; trainsets in accordance with the test Each record shall be maintained for at (2) Improper functioning of a procedures and inspection criteria least one year from the date of the component; established in paragraph (a) of this inspection. (3) A crack, break, excessive wear, section and at the intervals defined by (j) Availability of records. The railroad structural defect, or weakness of a paragraph (f) of this section. If any of the shall make defect reporting and tracking component; conditions defined as safety-critical in records available to FRA upon request. (4) A leak; paragraph (b) of this section and (k) Brake system repair points. The (5) Use of a component or system § 299.711(b) are found during this railroad shall designate brake system under conditions that exceed those for inspection, the trainset shall not be put repair points in the inspection, testing, which the component or system is into service until that condition is and maintenance program required by designed to operate; and rectified. paragraph (a) of this section. No trainset (6) Insecure attachment of a (4) General overhaul. The railroad shall depart a brake system repair point component. shall perform a general overhaul on all unless that trainset has a 100 percent (e) Specific safety inspections. The trainsets in accordance with the test operational brake system. program under paragraph (a) of this procedures and inspection criteria section shall specify that all passenger established in paragraph (a) of this § 299.447 Movement of defective trainsets shall receive thorough safety section and at the intervals defined by equipment. inspections by qualified individuals paragraph (f) of this section. If any of the (a) A trainset with one or more designated by the railroad at regular conditions defined as safety-critical in conditions not in compliance with the intervals. At a minimum, and in paragraph (b) of this section and list of safety critical defects identified in addition to the annual tests required for § 299.711(b) are found during this accordance with § 299.445(b) during a event recorder under § 299.439(f), the inspection, the trainset shall not be put pre-service inspection required by following shall be performed on each into service until that condition is § 299.445(e)(1) shall not be moved in trainset: rectified. revenue service and shall only be (1) Pre-service inspections. (i) Each (f) Maintenance intervals. The moved in accordance with paragraph (e) trainset in use shall be inspected at least railroad’s program established pursuant of this section. once every two calendar days by to paragraph (a) of this section shall (b) Except as provided in paragraph qualified individuals at a location where include the railroad’s scheduled (c) of this section, and after departure in there is a repair pit and access to the top maintenance intervals for all specific compliance with the pre-service of the trainset. The inspection shall safety inspections in paragraph (e) of inspection required by § 299.445(e)(1), a verify the correct operation of on-board this section, as required by § 299.707. trainset with one or more conditions not safety systems defined in the inspection, (g) Training and qualification in compliance with the list of safety testing, and maintenance program. If program. The railroad shall establish a critical defects identified in accordance any of the conditions defined as safety- training and qualification program as with §§ 299.445(b) and 299.711(b) may critical in paragraph (b) of this section defined in § 299.13(c)(3) to qualify be moved in revenue service only after and § 299.711(b) are found during this individuals to perform inspections, the railroad has complied with all of the inspection, the trainset shall not be put testing, and maintenance on the following: into service until that condition is equipment. Only qualified individuals (1) A qualified individual determines rectified. The pre-service inspection shall perform inspections, testing, and that it is safe to move the trainset, shall include the following: maintenance of the equipment. consistent with the railroad’s operating (A) Functional tests to determine the (h) Reporting and tracking of repairs rules; status of application and release of the to defective trainsets. The railroad shall (i) If appropriate, these service, emergency, and urgent air have in place prior to start of operations determinations may be made based brakes using the monitoring system; a reporting and tracking system for upon a description of the defective (B) Operational tests of the exterior passenger trainsets with a defect not in condition provided by a crewmember. doors; and conformance with this subpart. The (ii) If the determinations required by (C) A review of the log of on-board reporting and tracking system shall this paragraph are made by an off-site ATC equipment. record the following information: qualified individual based on a

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description of the defective condition by proceed in accordance with the § 299.505 Programs of operational tests on-site personnel, then a qualified railroad’s operating rules relating to the and inspections; recordkeeping. individual shall perform a physical percentage of operative brakes and at a (a) Requirement to conduct inspection of the defective equipment, speed no greater than the maximum operational tests and inspections. The at the first location possible, in authorized speed as determined by railroad shall periodically conduct accordance with the railroad’s § 299.409(f)(4) so long as the operational tests and inspections to inspection, testing, and maintenance requirements of paragraph (b) of this determine the extent of employee program and operating rules, to verify section are otherwise fully met, until the knowledge, application, and compliance the description of the defect provided next pre-service inspection. with its code of operating rules, by the on-site personnel. (e) A non-complying trainset may be timetables, and timetable special (2) The qualified individual who moved without passengers within a instructions in accordance with a made the determination in paragraph trainset maintenance facility, at speeds written program retained at its system (b)(1) of this section, notifies the driver not to exceed 16 km/h (10 mph), headquarters. in charge of movement of the trainset, without meeting the requirements of (b) Railroad and railroad testing in accordance with the railroad’s paragraph (a) of this section where the officer responsibilities. (1) Each railroad operating rules, of the maximum movement is solely for the purpose of officer who conducts operational tests authorized speed, authorized repair. The railroad shall ensure that the and inspections (railroad testing officer) destination, and any other operational movement is made safely. shall— restrictions that apply to the movement (i) Be qualified on the railroad’s of the non-compliant trainset. This (f) Nothing in this section authorizes operating rules in accordance with notification may be achieved through the movement of equipment subject to § 299.507; the tag required by paragraph (b)(3) of a Special Notice for Repair under part (ii) Be qualified on the operational this section; and 216 of this chapter unless the movement testing and inspection program (3) A tag bearing the words ‘‘non- is made in accordance with the requirements and procedures relevant to complying trainset’’ and containing the restrictions contained in the Special the testing and inspections the officer following information, are securely Notice. will conduct; attached to the control stand on each Subpart E—Operating Rules (iii) Receive appropriate field training, control cab of the trainset: as necessary to achieve proficiency, on (i) The trainset number and unit or car § 299.501 Purpose. each operational test or inspection that number; the officer is authorized to conduct; and (ii) The name of the qualified Through the requirements of this (iv) Conduct operational tests and individual making the determination in subpart, FRA learns the condition of the inspections in accordance with the paragraph (b)(1) of this section; operating rules and practices in use by railroad’s program of operational tests (iii) The location and date of the the railroad. The rules and practices and inspections. inspection that led to the discovery of covered by this subpart include the (2) The railroad shall maintain a the non-compliant item; procedures for instruction and testing of (iv) A description of each defect; record documenting qualification of all employees involved with the each railroad testing officer. The record (v) Movement restrictions, if any; movement of rail vehicles, including (vi) The authorized destination of the shall be retained by the railroad and drivers, on-board attendants, station shall be made available to trainset; and, platform attendants, general control (vii) The signature, if possible, as well representatives of the FRA for center staff, and all maintenance staff, inspection and copying during normal as the job title and location of the which are necessary to ensure that they person making the determinations business hours. If the railroad elects to possess the requisite skill and maintain an electronic record, the required by this section. knowledge of the rules and operating (4) Automated tracking systems used railroad must satisfy the conditions practices to maintain the safety of the to meet the tagging requirements listed in § 299.11. system. contained in paragraph (b)(3) of this (c) Written program of operational section may be reviewed and monitored § 299.503 Operating rules; filing and tests and inspections. Within 30 days of by FRA at any time to ensure the recordkeeping. commencing operations, the railroad integrity of the system. FRA’s Associate shall have a written program of Administrator may prohibit or revoke (a) Prior to commencing operations, operational tests and inspections in the railroad’s ability to utilize an the railroad shall develop a code of effect. The railroad shall maintain one automated tracking system in lieu of operating rules, timetables, and copy of its current program for periodic tagging if FRA finds that the automated timetable special instructions. The performance of the operational tests and tracking system is not properly secure, initial code of operating rules, inspections required by paragraph (a) of is inaccessible to FRA or the railroad’s timetables, and timetable special this section, and shall maintain one employees, or fails to adequately track instructions shall be based on practices copy of each subsequent amendment to or monitor the movement of defective and procedures proven on the Tokaido the program as amendments are made. equipment. Such a determination will Shinkansen system. These records shall be retained at the be made in writing and will state the (b) The railroad shall keep one copy system headquarters of the railroad for basis for such action. of its current code of operating rules, three calendar years after the end of the (c) A trainset that develops a non- timetables, timetable special instruction, calendar year to which they relate. complying condition in service may at its system headquarters, and shall These records shall be made available to continue in revenue service, so long as make them available to FRA for representatives of the FRA for the requirements of paragraph (b) of this inspection and copying during normal inspection and copying during normal section are otherwise fully met, until the business hours. If the railroad elects to business hours. The program shall— next pre-service inspection. maintain an electronic record, the (1) Provide for operational testing and (d) In the event of an in-service failure railroad must satisfy the conditions inspection under the various operating of the braking system, the trainset may listed in § 299.11. conditions on the railroad;

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(2) Describe each type of operational shall conduct periodic reviews and and copying during normal business test and inspection adopted, including analyses as provided in this paragraph hours. the means and procedures used to carry and shall retain, at its system (g) Electronic recordkeeping. Nothing it out; headquarters, one copy of the reviews. in this section precludes the railroad (3) State the purpose of each type of Each such review shall be completed from maintaining the information operational test and inspection; within 30 days of the close of the required to be retained under this part (4) State the frequency with which period. The designated officer(s) shall in an electronic format provided that the each type of operational test and conduct a written review of— railroad satisfy the conditions listed in inspection is conducted; (i) The operational testing and § 299.11. (5) The program shall address with inspection data for the system to (h) Disapproval of program. Upon particular emphasis those operating determine compliance by the railroad review of the program of operational rules that cause or are likely to cause the testing officers with its program of tests and inspections required by this most accidents or incidents, such as operational tests and inspections section, the Associate Administrator for those accidents or incidents identified required by paragraph (c) of this section. Safety may, for cause stated, disapprove in the six-month reviews and the annual At a minimum, this review shall include the program in whole or in part. summaries as required under the name of each railroad testing officer, Notification of such disapproval shall be paragraphs (e) and (f) of this section; the number of tests and inspections made in writing and specify the basis (6) Identify the officer(s) by name and conducted by each officer, and whether job title responsible for ensuring that the for the disapproval decision. If the the officer conducted the minimum Associate Administrator for Safety program of operational tests and number of each type of test or inspections is properly implemented disapproves the program— inspection required by the railroad’s (1) The railroad has 35 days from the and is responsible for overseeing the program; date of the written notification of such entire program. The responsibilities of (ii) Accident/incident data, the results disapproval to— such officer(s) shall include, but not be of prior operational tests and limited to, ensuring that the railroad’s inspections, and other pertinent safety (i) Amend its program; or testing officers are directing their efforts data for the system to identify the (ii) Provide a written response in in an appropriate manner to reduce relevant operating rules related to those support of the program to the Associate accidents/incidents and that all required accidents/incidents that occurred Administrator for Safety. If the reviews and summaries are completed, during the period. Based upon the Associate Administrator for Safety still and results of that review, the designated disapproves the program in whole or in (7) Include a schedule for making the officer(s) shall make any necessary part after receiving the railroad’s written program fully operative within 210 days adjustments to the tests and inspections response, the railroad shall amend its after it begins. required of railroad officers for the program. (d) Records. (1) The railroad shall subsequent period(s); and (2) A failure to adequately amend the keep a written or electronic record of (iii) Implementation of the program of program will be considered a failure to the date, time, place, and result of each operational tests and inspections from a implement a program under this operational test and inspection that was system perspective, to ensure that it is subpart. performed in accordance with its being utilized as intended, that the other program. Each record shall specify the § 299.507 Program of instruction on reviews provided for in this paragraph operating rules; recordkeeping. officer administering the test and have been properly completed, that inspection and each employee tested. appropriate adjustments have been (a) To ensure that each railroad These records shall be retained at the made to the distribution of tests and employee whose activities are governed system headquarters of the railroad for inspections required, and that the by the railroad’s operating rules one calendar year after the end of the railroad testing officers are understands those rules, the railroad calendar year to which they relate. appropriately directing their efforts. shall periodically instruct each such These records shall be made available to (2) Records retention. The records of employee on the meaning and representatives of the FRA for reviews required in paragraphs (e)(1) of application of its operating rules with a inspection and copying during normal this section shall be retained for a written program developed under business hours. period of one year after the end of the § 299.13(c)(3) and retained at its system (2) The railroad shall retain one copy calendar year to which they relate and headquarters. of its current program for periodic shall be made available to (b) Prior to commencing operations, performance of the operational tests and representatives of FRA for inspection the railroad shall file and retain one inspections required by paragraph (a) of and copying during normal business copy of its current program for the this section and one copy of each hours. periodic instruction of its employees as subsequent amendment to such (f) Annual summary on operational required by paragraph (a) of this section program. These records shall be retained tests and inspections. Before March 1 of and shall file and retain one copy of any for three calendar years after the end of each calendar year, the railroad shall amendment to that program as the calendar year to which they relate at retain, at its system headquarters, one amendments are made. These records the system headquarters where the tests copy of a written summary of the shall be retained at the railroad’s system and inspections are conducted. These following with respect to its previous headquarters for one calendar year after records shall be made available to year’s activities: The number, type, and the end of the calendar year to which representatives of the FRA for result of each operational test and they relate. These records shall be made inspection and copying during normal inspection that was conducted as available to representatives of the FRA business hours. required by paragraphs (a) and (b) of for inspection and copying during (e) Reviews of tests and inspections this section. These records shall be normal business hours. This program and adjustments to the program of retained for three calendar years after shall— operational tests—(1) Reviews by the the end of the calendar year to which (1) Describe the means and railroad. Not less than once every 180 they relate and shall be made available procedures used for instruction of the days the railroad’s designated officer(s) to representatives of FRA for inspection various classes of affected employees;

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(2) State the frequency of instruction (iii) Pre-revenue service systems to be based on extrapolation of less than and the basis for determining that integration testing of the system per full-level testing results, the analysis frequency; § 299.607, that includes vehicle/track done to justify the validity of the (3) Include a schedule for completing system qualification testing per extrapolation shall be described; and the initial instruction of employees who § 299.609; (ix) Inspection, testing, and are already employed when the program (iv) Simulated revenue operations of maintenance procedures to be followed begins; the system per § 299.611; to ensure that testing is conducted (4) Begin on the date of commencing (v) Compliance with operating rules safely. operations; and as per subpart E of this part; (f) The railroad shall provide FRA (5) Provide for initial instruction of (vi) Training and qualification of all notice at least 30 days in advance of the each employee hired after the program personnel involved in the test program times and places of any domestic testing begins. to conduct tests safely and in and notice at least 90 days in advance (c) The railroad is authorized to retain accordance with operating rules; for testing not conducted domestically by electronic recordkeeping its program (vii) Verification of all emergency to permit FRA observation of such tests. for periodic instruction of its employees preparedness procedures; and, on operating rules, provided that the (viii) Field testing of the railroad’s § 299.605 Functional and performance requirements stated in § 299.11 are uncertified PTC system and regression qualification tests. satisfied. testing of its FRA-certified PTC system, The railroad shall conduct functional under § 299.201. and performance qualification tests, Subpart F—System Qualification Tests (c) The railroad shall adopt and prior to commencing revenue comply with the system-wide operations, to verify that all safety- § 299.601 Responsibility for verification critical components meet all functional demonstrations and tests. qualification test plan, including and all performance specifications. The railroad shall comply with the completion of all tests required by the pre-revenue qualification tests and plan. § 299.607 Pre-revenue service system verification requirements set forth in (d) After FRA review of the system- integration testing. this subpart to demonstrate the overall wide test plan, detailed test procedures (a) Prior to commencing revenue safety of the system, prior to revenue as required by paragraph (b) of this operations, the railroad shall conduct operations. section shall be submitted 15 days prior tests of the trainsets throughout the to testing to FRA in accordance with system to— § 299.603 Preparation of system-wide § 299.9 for review. (1) Verify mechanical positioning of qualification test plan. (e) Each test procedure shall include the overhead catenary system; and (a) Prior to execution of any tests as the following elements: (2) Verify performance of the trainset, defined in this subpart, the railroad (1) A clear statement of the test track, and signal and trainset control shall develop a system-wide objectives. One of the principal test systems. qualification test plan, that identifies objectives shall be to demonstrate that (b) The railroad shall demonstrate safe the tests that will be carried out, to the railroad’s system meets the safety operation of the system during normal demonstrate the operability of all design and performance requirements and degraded-mode operating system elements, including track and specified in this part when operated in conditions. At a minimum, the infrastructure, signal and train control, the environment in which it will be following operation tests shall be communications, rolling stock, software, used; performed: and operating practices, and the system (2) Any special safety precautions to (1) Slow-speed operation of a trainset; as a whole. be observed during the testing; (2) Verification of correct overhead (b) The system-wide qualification test (3) A description of the railroad catenary and pantograph interaction; plan shall be submitted to FRA in property or facilities to be used to (3) Verification of trainset clearance at accordance with § 299.9 for review at conduct the tests; structures and passenger platforms; least 180 days prior to testing. FRA shall (4) Prerequisites for conducting each (4) Incremental increase of trainset notify the railroad, in writing, within 45 test; speed; days of receipt of the railroad’s (5) A detailed description of how the (5) Performance tests on trainsets to submission, and identify any tests are to be conducted. This verify braking rates in accordance with deficiencies in the test plan. FRA will description shall include— § 299.409; notify the railroad of any procedures to (i) An identification of the systems (6) Verification of vehicle noise; be submitted for review. The plan shall and equipment to be tested; (7) Verification of correct vehicle include the following: (ii) The method by which the systems suspension characteristics; (1) A list of all tests to be conducted; and equipment shall be tested; (8) Vehicle/track system qualification (2) A summary statement of the test (iii) The instrumentation to be used as defined in § 299.609; objectives; and calibration procedures; (9) Load tests with vehicles to verify (3) A planned schedule for (iv) The means by which the test relay settings and signal and conducting the tests which indicates the results will be recorded, analyzed and communication system immunization; sequence of testing and reported to FRA; (10) Monitoring of utility supply interdependencies; and (v) A description of the information or circuits and telephone circuits to ensure (4) The approach taken for— data to be obtained; the adequacy of power supplies, and to (i) Verifying results of installation (vi) A description of how the verify that transient-related disturbances tests performed by contractors and information or data obtained is to be are within acceptable limits; manufacturers; analyzed or used; (11) Verification of vehicle detection (ii) Functional and performance (vii) A description of any criteria to be due to shunting of signal system qualification testing of individual used as safety limits during the testing; circuits; safety-related equipment, facilities, and (viii) The criteria to be used to (12) Verification of safe operation of subsystems in accordance with evaluate the systems’ and equipments’ the signal and trainset control system as § 299.605; performance. If system qualification is required by subpart B of this part;

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(13) Tests of trainset radio reception another route through testing to dynamic response of the subject vehicle during system-wide vehicle operation; demonstrate compliance with paragraph as speeds are incrementally increased— and (a) of this section in accordance with the (i) On a segment of tangent track, from (14) Verification of EMI/EMC following: acceptable track class H4 speeds to the compatibility between various (1) Carbody acceleration. For vehicle target maximum test speed; and subsystems. types intended to operate at track class (ii) On a segment of curved track, H4 speeds and above, qualification from the speeds corresponding to 76 § 299.609 Vehicle/track system mm (3 inches) of cant deficiency to the qualification. testing conducted over a representative segment of the new route shall maximum testing cant deficiency. (a) General. All vehicles intended to demonstrate that the vehicle type will (2) When stage-one testing has operate in revenue service shall be not exceed the carbody lateral and successfully demonstrated a maximum qualified for operation in accordance vertical acceleration safety limits safe operating speed and cant with this subpart. A qualification specified in paragraph (h) of this deficiency, stage-two testing shall program shall be used to demonstrate section. commence with the subject equipment that the vehicle/track system will not (2) Bogie lateral acceleration. For over a representative segment of the exceed the wheel/rail force safety limits, vehicle types intended to operate at route as identified in paragraph (d)(1) of and the carbody and bogie acceleration track class H4 speeds or above, this section. criteria specified in paragraph (h) of this measurement of bogie lateral (i) A test run shall be conducted over section— acceleration during qualification testing the route segment at the speed the (1) At any speed up to and including shall demonstrate that the vehicle type railroad will request FRA to approve for 10 km/h (6 mph) above the proposed will not exceed the bogie lateral such service. maximum operating speed; and (ii) An additional test run shall be acceleration safety limit specified in (2) On track meeting the requirements conducted at 10 km/h (6 mph) above paragraph (h) of this section. for the class of track associated with the this speed. Measurement of bogie lateral proposed maximum operating speed as (3) When conducting stage-one and acceleration, if conducted, shall be defined in § 299.309. For purposes of stage-two testing, if any of the performed over a representative segment qualification testing, speeds may exceed monitored safety limits are exceeded on of the new route. the maximum allowable operating speed any segment of track, testing may for the class of track in accordance with (d) Vehicle/track system qualification continue provided that the track the test plan approved by FRA. testing plan. To obtain the data required location(s) where any of the limits are (b) New vehicle/track system to support the qualification program exceeded be identified and test speeds qualification. Vehicle types not outlined in paragraphs (b) and (c) of this be limited at the track location(s) until previously qualified under this subpart section, the railroad shall submit a corrective action is taken. Corrective shall be qualified in accordance with qualification testing plan as required by action may include making adjustments the requirements of this paragraph (b). § 299.603(b) at least 60 days prior to to the track, to the vehicle, or to both of (1) Carbody acceleration. For vehicle testing, requesting approval to conduct these system components. types intended to operate in revenue the testing at the desired speeds and (4) Prior to the start of the service at track class H4 speeds or cant deficiencies. This test plan shall qualification testing program, a above, qualification testing conducted provide for a test program sufficient to qualifying Track Geometry over a representative segment of the evaluate the operating limits of the track Measurement System (TGMS) shall be route shall demonstrate that the vehicle and vehicle type and shall include— operated over the intended route within type will not exceed the carbody lateral (1) Identification of the representative 30 calendar days prior to the start of the and vertical acceleration safety limits segment of the route for qualification qualification testing program to verify specified in paragraph (h) of this testing; compliance with the track geometry section. (2) Consideration of the operating limits specified in § 299.311. (2) Bogie lateral acceleration. For environment during qualification (f) Qualification testing results. The vehicle types intended to operate at testing, including operating practices railroad shall submit a report to FRA track class H4 speeds or above, and conditions, the signal system, and detailing all the results of the qualification testing conducted over a trainset on adjacent tracks; qualification program in accordance representative segment of the route shall (3) The maximum angle found on the with § 299.613. The report shall be demonstrate that the vehicle type will gauge face of the designed (newly- submitted at least 60 days prior to the not exceed the bogie lateral acceleration profiled) wheel flange referenced with intended operation of the equipment in safety limit specified in paragraph (h) of respect to the axis of the wheelset that revenue service over the route. this section. will be used for the determination of the (g) Cant deficiency. Based on the test (3) Measurement of wheel/rail forces. Single Wheel L/V Ratio safety limit results and all other required For vehicle types intended to operate at specified in paragraph (h) of this submissions, FRA will approve a track class H4 speeds or above, section; and maximum trainset speed and value of qualification testing conducted over a (4) A target maximum testing speed in cant deficiency for revenue service, representative segment of the route shall accordance with paragraph (a) of this normally within 45 days of receipt of all demonstrate that the vehicle type will section and the maximum testing cant the required information. FRA may not exceed the wheel/rail force safety deficiency. impose conditions necessary for safely limits specified in paragraph (h) of this (e) Qualification testing.Upon FRA operating at the maximum approved section. approval of the vehicle/track system trainset speed and cant deficiency. (c) Previously qualified vehicle/track qualification testing plan, qualification (h) Vehicle/track interaction system. Vehicle/track systems testing shall be conducted in two regulatory limits. The following vehicle/ previously qualified under this subpart sequential stages as required in this track interaction regulatory limits shall for a track class and cant deficiency on subpart. not be exceeded during qualification one route may be qualified for operation (1) Stage-one testing shall include testing in accordance with this section. at the same class and cant deficiency on demonstration of acceptable vehicle BILLING CODE 4910–06–P

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BILLING CODE 4910–06–C workmanship, materials, equipment, necessary to correct defects in § 299.611 Simulated revenue operations. design, or operating parameters. workmanship, materials, equipment, design, or operating parameters. (a) The railroad shall conduct (b) The railroad shall implement all simulated revenue operations for a actions necessary to correct defects, as identified by the report. Subpart G—Inspection, Testing, and minimum period of two weeks prior to Maintenance Program revenue operations to verify overall (c) The railroad shall submit the system performance, and provide report(s) required by paragraph (a) of § 299.701 General requirements. this section to FRA prior to commencing operating and maintenance experience. Under the procedures provided in simulated revenue operations and at (b) The railroad shall maintain a log § 299.713, the railroad shall obtain FRA least 60 days prior to the intended start of tests conducted during the simulated approval of a written inspection, testing, of full revenue service per § 299.609(f). revenue operations period. This log of and maintenance program. The program (d)(1) Prior to implementing a major tests shall identify any problems shall provide detailed information, upgrade to any safety-critical system encountered during testing, and actions consistent with the requirements set component or sub-system, or prior to necessary to correct defects in forth in §§ 299.337 through 299.349, and introducing any new safety-critical workmanship, materials, equipment, 299.447(a), on the inspection, testing, technology, the railroad shall submit for design, or operating parameters. and maintenance procedures necessary FRA approval the detailed test (c) The railroad shall implement all for the railroad to safely operate its procedures and/or analysis in actions necessary to correct safety system. This information shall include a accordance with § 299.603(d). defects, as identified by the log prior to detailed description of— the initiation of revenue service. (2) The railroad shall prepare a report (a) Safety inspection procedures, detailing the results of pre-operational § 299.613 Verification of compliance. intervals, and criteria; qualification, pre-revenue service (b) Test procedures and intervals; (a) The railroad shall prepare a report testing, and vehicle/track system (c) Scheduled preventive maintenance detailing the results of pre-operational qualification tests required under intervals; qualification, pre-revenue service §§ 299.605, 299.607, and 299.609 (d) Maintenance procedures; and testing, and vehicle/track system respectively pertaining to a major (e) Special testing equipment or qualification tests required under upgrade to any safety-critical system measuring devices required to perform §§ 299.605, 299.607, and 299.609 component or sub-system, or safety inspections and tests. respectively. The report shall identify introduction of any new safety-critical any problems encountered during technology. The report shall identify § 299.703 Compliance. testing, and alternative actions any problems encountered during After the railroad’s inspection, testing, necessary to correct defects in testing, and alternative actions and maintenance program is approved

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by FRA pursuant to the requirements (b) The maintenance interval of Administrator will notify the primary and procedures set forth in § 299.713, safety-critical components shall be railroad contact person in writing the railroad shall adopt and comply changed only when justified by whether the inspection, testing, and with the program, and shall perform— accumulated, verifiable operating data, maintenance program is approved and, (a) All inspections and tests described and approved by FRA under paragraph if not approved, the specific points in in the program in accordance with the § 299.713. which the program is deficient. procedures and criteria that the railroad Deficiencies identified shall be identified as safety-critical; and § 299.709 Quality control program. addressed as directed by FRA prior to (b) All maintenance tasks and The railroad shall establish an implementing the program. procedures described in the program in inspection, testing, and maintenance (2) FRA will review each proposed accordance with the procedures and quality control program enforced by the amendment to the program that relaxes intervals that the railroad identified as railroad or its contractor(s) to reasonably an FRA-approved requirement within safety-critical. ensure that inspections, testing, and 45 days of receipt. The Associate maintenance are performed in § 299.705 Standard procedures for safely Administrator will then notify the performing inspection, testing, and accordance with inspection, testing, and primary railroad contact person in maintenance, or repairs. maintenance program established under writing whether the proposed (a) The railroad shall establish written this subpart. amendment has been approved by FRA and, if not approved, the specific points standard procedures for performing all § 299.711 Inspection, testing, and safety-critical or potentially hazardous maintenance program format. in which the proposed amendment is inspection, testing, maintenance, and deficient. The railroad shall correct any The submission to FRA for each deficiencies as directed by FRA prior to repair tasks. These standard procedures identified subsystem shall consist of shall— implementing the amendment. For two parts— amendments proposing to make an (1) Describe in detail each step (a) The complete inspection, testing, FRA-approved program requirement required to safely perform the task; and maintenance program, in its (2) Describe the knowledge necessary more stringent, the railroad is permitted entirety, including all required to safely perform the task; to implement the amendment prior to information prescribed in § 299.701, and (3) Describe any precautions that shall obtaining FRA approval. be taken to safely perform the task; all information and procedures required (3) Following initial approval of a (4) Describe the use of any safety for the railroad and its personnel to program or amendment, FRA may equipment necessary to perform the implement the program. reopen consideration of the program or task; (b) A condensed version of the amendment for cause stated. (5) Be approved by the railroad’s program that contains only those items (4) The railroad may, subject to FRA official responsible for safety; identified as safety-critical, per review and approval under § 299.15, (6) Be enforced by the railroad’s § 299.703 submitted for approval by implement inspection, testing, supervisors responsible for FRA under § 299.713. maintenance procedures and criteria, accomplishing the tasks; and § 299.713 Program approval procedure. incorporating new or emerging (7) Be reviewed annually by the technology. railroad. The railroad shall provide (a) Submission. Except as provided in written notice to FRA in accordance § 299.445(a)(2), the railroad shall submit Appendix A to Part 299—Criteria for with § 299.9 at least one month prior to for approval an inspection, testing, and Certification of Crashworthy Event the annual review. If the Associate maintenance program as described in Recorder Memory Module Administrator or their designee § 299.711(b) not less than 180 days prior Section 299.439(c) requires that trainsets indicates a desire to be present, the to pre-revenue service testing. The be equipped with an event recorder that railroad shall provide a scheduled date program shall be submitted to FRA in includes a certified crashworthy event and location for the annual review. If accordance with § 299.9. If the railroad recorder memory module. This appendix the Associate Administrator requests the seeks to amend an approved program as prescribes the requirements for certifying an described in § 299.711(b), the railroad event recorder memory module (ERMM) as annual review be performed on another crashworthy, including the performance date but the railroad and the Associate shall file with FRA in accordance with § 299.9 for approval of such amendment criteria and test sequence for establishing the Administrator are unable to agree on a crashworthiness of the ERMM as well as the date for rescheduling, the annual review not less than 60 days prior to the marking of the event recorder containing the may be performed as scheduled. proposed effective date of the crashworthy ERMM. amendment. A program responsive to (b) The inspection, testing, and A. General Requirements maintenance program required by this the requirements of this subpart or any section is not intended to address and amendment to the program shall not be (a) Each manufacturer that represents its ERMM as crashworthy shall, by marking it as should not include procedures to implemented prior to FRA approval. (b) Contents. Each program or specified in section B of this appendix, address employee working conditions certify that the ERMM meets the performance that arise in the course of conducting amendment shall contain: criteria contained in this appendix and that the inspections, tests, and maintenance (1) The information prescribed in test verification data are available to the set forth in the program. When § 299.701 for such program or railroad or to FRA upon request. reviewing the railroad’s program, FRA amendment; (b) The test verification data shall contain, does not intend to review or approve (2) The name, title, address, and at a minimum, all pertinent original data logs any portion of the program that relates telephone number of the primary person and documentation that the test sample preparation, test set up, test measuring to employee working conditions. to be contacted with regard to review of the program, its content, or devices and test procedures were performed § 299.707 Maintenance intervals. by designated, qualified individuals using amendments. recognized and acceptable practices. Test (a) The initial scheduled maintenance (c) Approval. (1) Within 90 days of verification data shall be retained by the intervals shall be based on those in receipt of the initial inspection, testing, manufacturer or its successor as long as the effect on the Tokaido Shinkansen and maintenance program, FRA will specific model of ERMM remains in service system as required under § 299.13(c)(1). review the program. The Associate on any trainset.

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(c) A crashworthy ERMM shall be marked Marking ‘‘CERTIFIED DOT hydro-static pressure contained in one by its manufacturer as specified in section B CRASHWORTHY’’ on an event recorder of the two tables shown in this section of this appendix. designed for installation in the of appendix B. (See Tables 1 and 2.) B. Marking Requirements railroad’s trainsets is the certification Each ERMM must meet the individual that all performance criteria contained (a) The outer surface of the event recorder performance criteria in the sequence containing a certified crashworthy ERMM in this appendix have been met and all established in section D of this shall be colored international orange. In functions performed by, or on behalf of, appendix. A performance criterion is addition, the outer surface shall be inscribed, the manufacturer whose name appears deemed to be met if, after undergoing a on the surface allowing the most visible area, as part of the marking, conform to the test established in this appendix B for requirements specified in this appendix. in black letters on an international orange that criterion, the ERMM has preserved (b) Retro-reflective material shall be background, using the largest type size that all of the data stored in it. The data set can be accommodated, with the words applied to the edges of each visible stored in the ERMM to be tested shall ‘‘CERTIFIED DOT CRASHWORTHY’’, external surface of an event recorder followed by the ERMM model number (or containing a certified crashworthy include all the recording elements other such designation), and the name of the ERMM. required by § 299.439(c). The following manufacturer of the event recorder. This tables describe alternative performance information may be displayed as follows: C. Performance Criteria for the ERMM criteria that may be used when testing CERTIFIED DOT CRASHWORTHY An ERMM is crashworthy if it has an ERMM’s crashworthiness. A Event Recorder Memory Module Model been successfully tested for survival manufacturer may utilize either table Number under conditions of fire, impact shock, during its testing but may not combine Manufacturer’s Name static crush, fluid immersion, and the criteria contained in the two tables.

TABLE 1 TO APPENDIX A OF PART 299—ACCEPTABLE PERFORMANCE CRITERIA—OPTION A

Parameter Value Duration Remarks

Fire, High Temperature ...... 750 °C (1400 °F) ...... 60 minutes ...... Heat source: Oven. Fire, Low Temperature ...... 260 °C (500 °F) ...... 10 hours ...... Impact Shock ...... 55g ...... 100 ms ...... 1⁄2 sine crash pulse. Static Crush ...... 110kN (25,000 lbf) ...... 5 minutes ...... Fluid Immersion ...... #1 Diesel, #2 Diesel, Water, Salt Any single fluid, 48 hours ...... Water, Lube Oil. Fire Fighting Fluid...... 10 minutes, following immersion Immersion followed by 48 hours in above. a dry location without further disturbance. Hydrostatic Pressure ...... Depth equivalent = 15 m. (50 ft.) 48 hours at nominal temperature of 25 °C (77 °F).

TABLE 2 TO APPENDIX A TO PART 299—ACCEPTABLE PERFORMANCE CRITERIA—OPTION B

Parameter Value Duration Remarks

Fire, High Temperature ...... 1000 °C (1832 °F) ...... 60 minutes ...... Heat source: Open flame. Fire, Low Temperature ...... 260 °C (500 °F) ...... 10 hours ...... Heat source: Oven. Impact Shock—Option 1 ...... 23gs ...... 250 ms ...... Impact Shock—Option 2 ...... 55gs ...... 100 ms ...... 1⁄2 sine crash pulse. Static Crush ...... 111.2kN (25,000 lbf) ...... 5 minutes...... Applied to 25% of surface of larg- 44.5kN (10,000 lbf) ...... (single ‘‘squeeze’’) ...... est face. Fluid Immersion ...... #1 Diesel, #2 Diesel, Water, Salt 48 hours each ...... Water, Lube Oil, Fire Fighting Fluid. Hydrostatic Pressure ...... 46.62 psig ...... 48 hours at nominal temperature (= 30.5 m. or 100 ft.) ...... of 25 °C (77 °F).

D. Testing Sequence sequence. (See Figure 1). If all tests are as used for the other branch. Both done in the set sequence (single branch alternatives are deemed equivalent, and In order to reasonably duplicate the testing), the same ERMM must be conditions an event recorder may the choice of single branch testing or utilized throughout. If a manufacturer encounter, the ERMM shall meet the split branch testing may be determined opts for split branch testing, each various performance criteria, described by the party representing that the branch of the test must be conducted in section C of this appendix, in a set ERMM meets the standard. using an ERMM of the same design type

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E. Testing Exception minimum requirements defined within (1) Laterally as close as practicable to the § 299.437(l). longitudinal centerline of the cab, adjacent to If a new model ERMM represents an the driver’s seat, I. Measurement Instrumentation evolution or upgrade from an older (2) Longitudinally at the center of the model ERMM that was previously tested The instrumentation used shall conform to driver’s nominal seating position, and and certified as meeting the the requirements prescribed in appendix H to (3) At a height 1219 mm (48 inches) above performance criteria contained in part 229 of this chapter. the floor. (e) The sound measurements shall be taken section C of this appendix, the new II. Test Site Requirements autonomously within the cab. model ERMM need only be tested for The test shall meet the following (f) The sound level shall be recorded at the compliance with those performance requirements: maximum approved trainset speed (0/-3 km/ criteria contained in section C of this (a) The passenger trainset shall be tested h). appendix that are potentially affected by over a representative segment of the railroad (g) After the passenger trainset speed has the upgrade or modification. FRA will and shall not be tested in any site specifically become constant at the maximum test speed consider a performance criterion not to designed to artificially lower in-cab noise and the in-cab noise is continuous, LAeq,T be potentially affected if a preliminary levels. shall be measured, either directly or using a engineering analysis or other pertinent (b) All windows, doors, cabinets, seals, 1 second sampling interval, for a minimum data establishes that the modification or etc., must be installed in the trainset cab and duration of 30 seconds at the measurement be closed. position (LAeq, 30s). upgrade will not change the (c) The heating, ventilation and air performance of the older model ERMM conditioning (HVAC) system or a dedicated IV. Reporting against the performance criterion in heating or air conditioner system must be To demonstrate compliance, the railroad question. The manufacturer shall retain operating on high, and the vents must be shall prepare and submit a test report in and make available to FRA upon request open and unobstructed. accordance with § 299.613. As a minimum any analysis or data relied upon to that report shall contain— III. Procedures for Measurement satisfy the requirements of this (a) Name(s) of person(s) conducting the paragraph to sustain an exception from (a) LAeq,T is defined as the A-weighted, test, and the date of the test. testing. equivalent sound level for a duration of T (b) Description of the passenger trainset seconds, and the sound level meter shall be cab being tested, including: car number and Appendix B to Part 299—Cab Noise set for A-weighting with slow response. date of manufacture. Test Protocol (b) The sound level meter shall be (c) Description of sound level meter and calibrated with the acoustic calibrator calibrator, including: make, model, type, This appendix prescribes the procedures immediately before and after the in-cab tests. serial number, and manufacturer’s calibration for the in-cab noise measurements for high- The calibration levels shall be recorded. date. speed trainsets at speed. The purpose of the (c) Any change in the before and after (d) The recorded measurement during cab noise testing is to ensure that the noise calibration level(s) shall be less than 0.5 dB. calibration and for the microphone location levels within the cab of the trainset meet the (d) The sound level meter shall be located: during operating conditions.

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(e) The recorded measurements taken (f) Other information as appropriate to Issued in Washington, DC. during the conduct of the test. describe the testing conditions and Ronald L. Batory, procedure. Administrator. [FR Doc. 2020–03521 Filed 3–9–20; 8:45 am] BILLING CODE 4910–06–P

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