49 CFR Ch. II (10–1–20 Edition)

Federal Railroad Administration, DOT Pt. 213

(c) The highway-rail grade crossing § 212.233 Apprentice highway-rail inspector shall demonstrate the fol- grade crossing inspector. lowing specific qualifications: (a) An apprentice highway-rail grade (1) A comprehensive knowledge of crossing inspector shall be enrolled in a highway-rail grade crossing nomen- program of training prescribed by the clature, inspection techniques, mainte- Associate Administrator for Safety nance requirements, and methods; leading to qualification as a highway- (2) The ability to understand and derail grade crossing inspector. The ap- tect deviations from: prentice inspector may not participate (i) Grade crossing signal system in investigative and surveillance ac- maintenance, inspection and testing tivities, except as an assistant to a standards accepted in the industry; and qualified State or FRA inspector while (ii) The Grade Crossing Signal Sys- accompanying that qualified inspector. tem Safety Rules (49 CFR part 234); (b) Prior to being enrolled in the program the apprentice inspector shall (3) Knowledge of operating practices demonstrate: and highway-rail grade crossing sys- (1) Working basic knowledge of elec- tems sufficient to understand the safe- tricity; ty significance of deviations and com- (2) The ability to use electrical test binations of deviations from equipment in direct current and alter- § 212.231(c)(2) (i) and (ii); nating current circuits; and (4) Specialized knowledge of the re- (3) A basic knowledge of highway-rail quirements of the Grade Crossing Sig- grade crossing inspection and mainte- nal System Safety Rules (49 CFR part nance methods and procedures. 234), including the remedial action re- [59 FR 50104, Sept. 30, 1994] quired to bring highway-rail grade crossing signal systems into compli- § 212.235 Inapplicable qualification re- ance with those Rules; quirements. (5) Specialized knowledge of high- The Associate Administrator may de- way-rail grade crossing standards con- termine that a specific requirement of tained in the Manual on Uniform Traf- this subpart is inapplicable to an iden- fic Control Devices; and tified position created by a State agen- (6) Knowledge of railroad signal sys- cy if it is not relevant to the actual du- tems sufficient to ensure that highway- ties of the position. The determination rail grade crossing warning systems is made in writing. and inspections of those systems do not [47 FR 41051, Sept. 16, 1982. Redesignated at adversely affect the safety of railroad 57 FR 28115, June 24, 1992. Further redesig- signal systems. nated at 59 FR 50104, Sept. 30, 1994] (d) A State signal and train control inspector qualified under this part and PART 213—TRACK SAFETY who has demonstrated the ability to STANDARDS understand and detect deviations from the Grade Crossing Signal System Subpart A—General Safety Rules (49 CFR part 234) is Sec. deemed to meet all requirements of 213.1 Scope of part. this section and is qualified to conduct 213.3 Application. independent inspections of all types of 213.4 Excepted track. highway-rail grade crossing warning 213.5 Responsibility for compliance. systems for the purpose of determining 213.7 Designation of qualified persons to supervise certain renewals and inspect compliance with Grade Crossing Signal track. System Safety Rules (49 CFR part 234), 213.9 Classes of track: operating speed lim- to make reports of those inspections, its. and to recommend institution of en- 213.11 Restoration or renewal of track under forcement actions when appropriate to traffic conditions. promote compliance. 213.13 Measuring track not under load. 213.14 Application of requirements to [59 FR 50104, Sept. 30, 1994] curved track. 213.15 Penalties.

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213.17 Waivers. Subpart G—Train Operations at Track 213.19 Information collection. Classes 6 and Higher Subpart B—Roadbed 213.301 Scope of subpart. 213.303 Responsibility for compliance. 213.31 Scope. 213.305 Designation of qualified individuals; 213.33 Drainage. general qualifications. 213.37 Vegetation. 213.307 Classes of track: operating speed limits. Subpart C—Track Geometry 213.309 Restoration or renewal of track under traffic conditions. 213.51 Scope. 213.53 Gage. 213.311 Measuring track not under load. 213.55 Track alinement. 213.313 Application of requirements to 213.57 Curves; elevation and speed limita- curved track. tions. 213.317 Waivers. 213.59 Elevation of curved track; runoff. 213.319 Drainage. 213.63 Track surface. 213.321 Vegetation. 213.65 Combined track alinement and sur- 213.323 Track gage. face deviations. 213.327 Track alinement. 213.329 Curves, elevation and speed limita- Subpart D—Track Structure tions. 213.331 Track surface. 213.101 Scope. 213.332 Combined track alinement and sur- 213.103 Ballast; general. face deviations. 213.109 Crossties. 213.333 Automated vehicle-based inspection 213.110 Gage restraint measurement sys- systems. tems. 213.334 Ballast; general. 213.113 Defective rails. 213.335 Crossties. 213.115 Rail end mismatch. 213.337 Defective rails. 213.118 Continuous welded rail (CWR); plan 213.339 Inspection of rail in service. review and approval. 213.341 Initial inspection of new rail and 213.119 Continuous welded rail (CWR); plan welds. contents. 213.343 Continuous welded rail (CWR). 213.121 Rail joints. 213.345 Vehicle/track system qualification. 213.122 Torch cut rail. 213.347 Automotive or railroad crossings at 213.123 Tie plates. grade. 213.127 Rail fastening systems. 213.349 Rail end mismatch. 213.133 Turnouts and track crossings gen- 213.351 Rail joints. erally. 213.352 Torch cut rail. 213.135 Switches. 213.353 Turnouts, crossovers, and lift rail as- 213.137 Frogs. semblies or other transition devices on 213.139 Spring rail frogs. moveable bridges. 213.141 Self-guarded frogs. 213.355 Frog guard rails and guard faces; 213.143 Frog guard rails and guard faces; gage. gage. 213.357 Derails. 213.359 Track stiffness. Subpart E—Track Appliances and Track- 213.361 Right of way. Related Devices 213.365 Visual inspections. 213.367 Special inspections. 213.201 Scope. 213.369 Inspection records. 213.205 Derails APPENDIX A TO PART 213—MAXIMUM ALLOW- Subpart F—Inspection ABLE CURVING SPEEDS APPENDIXES B–C TO PART 213 [RESERVED] 213.231 Scope. APPENDIX D TO PART 213—MINIMALLY COMPLI- 213.233 Track inspections. ANT ANALYTICAL TRACK (MCAT) SIMULA- 213.234 Automated inspection of track con- TIONS USED FOR QUALIFYING VEHICLES TO structed with concrete crossties. OPERATE AT HIGH SPEEDS AND AT HIGH 213.235 Inspection of switches, track cross- CANT DEFICIENCIES ings, and lift rail assemblies or other AUTHORITY: 49 U.S.C. 20102–20114 and 20142; transition devices on moveable bridges. Sec. 403, Div. A, Public Law 110–432, 122 Stat. 213.237 Inspection of rail. 4885; 28 U.S.C. 2461, note; and 49 CFR 1.89. 213.238 Qualified operator. 213.239 Special inspections. SOURCE: 63 FR 34029, June 22, 1998, unless 213.241 Inspection records. otherwise noted.

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Subpart A—General than for its own purposes or industrial processes, will not be considered a § 213.1 Scope of part. plant railroad because the performance (a) This part prescribes minimum of such activity makes the operation safety requirements for railroad track part of the general railroad system of that is part of the general railroad sys- transportation. Similarly, this exclu- tem of transportation. In general, the sion does not apply to track over which requirements prescribed in this part a general system railroad operates, apply to specific track conditions ex- even if that track is located within a isting in isolation. Therefore, a com- plant railroad; bination of track conditions, none of (2) Used exclusively for tourist, sce- which individually amounts to a devi- nic, historic, or excursion operations ation from the requirements in this that are not part of the general rail- part, may require remedial action to road system of transportation. As used provide for safe operations over that in this part, tourist, scenic, historic, or track. This part does not restrict a excursion operations that are not part railroad from adopting and enforcing of the general railroad system of trans- additional or more stringent require- portation means a tourist, scenic, his- ments not inconsistent with this part. toric, or excursion operation conducted (b) Subparts A through F apply to only on track used exclusively for that track Classes 1 through 5. Subpart G purpose (i.e., there is no freight, inter- and 213.2, 213.3, and 213.15 apply to city passenger, or commuter passenger track over which trains are operated at railroad operation on the track); or speeds in excess of those permitted (3) Used exclusively for rapid transit over Class 5 track. operations in an urban area that are [63 FR 34029, June 22, 1998, as amended at 78 not connected to the general railroad FR 16100, Mar. 13, 2013] system of transportation.

§ 213.3 Application. [63 FR 34029, June 22, 1998, as amended at 79 FR 4256, Jan. 24, 2014] (a) Except as provided in paragraph (b) of this section, this part applies to § 213.4 Excepted track. all standard gage track in the general A track owner may designate a seg- railroad system of transportation. ment of track as excepted track pro- (b) This part does not apply to track: vided that— (1) Located inside an installation (a) The segment is identified in the that is not part of the general railroad timetable, special instructions, general system of transportation (i.e., a plant order, or other appropriate records railroad). As used in this part, a plant which are available for inspection dur- railroad means a plant or installation that owns or leases a locomotive, uses ing regular business hours; that locomotive to switch cars (b) The identified segment is not lo- throughout the plant or installation, cated within 30 feet of an adjacent and is moving goods solely for use in track which can be subjected to simul- the facility’s own industrial processes. taneous use at speeds in excess of 10 The plant or installation could include miles per hour; track immediately adjacent to the (c) The identified segment is in- plant or installation if the plant rail- spected in accordance with 213.233(c) road leases the track from the general and 213.235 at the frequency specified system railroad and the lease provides for Class 1 track; for (and actual practice entails) the ex- (d) The identified segment of track is clusive use of that track by the plant not located on a bridge including the railroad and the general system rail- track approaching the bridge for 100 road for purposes of moving only cars feet on either side, or located on a pub- shipped to or from the plant. A plant or lic street or highway, if railroad cars installation that operates a locomotive containing commodities required to be to switch or move cars for other enti- placarded by the Hazardous Materials ties, even if solely within the confines Regulations (49 CFR part 172), are of the plant or installation, rather moved over the track; and

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(e) The railroad conducts operations (2) The name and address of the per- on the identified segment under the son to whom responsibility is assigned following conditions: (assignee); (1) No train shall be operated at (3) A statement of the exact relation- speeds in excess of 10 miles per hour; ship between the track owner and the (2) No occupied passenger train shall assignee; be operated; (4) A precise identification of the (3) No freight train shall be operated track; that contains more than five cars re- (5) A statement as to the competence quired to be placarded by the Haz- and ability of the assignee to carry out ardous Materials Regulations (49 CFR the duties of the track owner under part 172); and this part; and (4) The gage on excepted track shall (6) A statement signed by the as- not be more than 4 feet 101⁄4 inches. signee acknowledging the assignment This paragraph (e)(4) is applicable Sep- to him of responsibility for purposes of tember 21, 1999. compliance with this part. (f) A track owner shall advise the ap- (d) The Administrator may hold the propriate FRA Regional Office at least track owner or the assignee or both re- 10 days prior to removal of a segment sponsible for compliance with this part of track from excepted status. and subject to penalties under § 213.15. [63 FR 34029, June 22, 1998] (e) A common carrier by railroad which is directed by the Surface Trans- § 213.5 Responsibility for compliance. portation Board to provide service over (a) Except as provided in paragraph the track of another railroad under 49 (b) of this section, any owner of track U.S.C. 11123 is considered the owner of to which this part applies who knows that track for the purposes of the ap- or has notice that the track does not plication of this part during the period comply with the requirements of this the directed service order remains in part, shall— effect. (1) Bring the track into compliance; (f) When any person, including a con- (2) Halt operations over that track; tractor for a railroad or track owner, or performs any function required by this (3) Operate under authority of a per- part, that person is required to perform son designated under § 213.7(a), who has that function in accordance with this at least one year of supervisory experi- part. ence in railroad track maintenance, subject to conditions set forth in this § 213.7 Designation of qualified per- part. sons to supervise certain renewals (b) If an owner of track to which this and inspect track. part applies designates a segment of (a) Each track owner to which this track as ‘‘excepted track’’ under the part applies shall designate qualified provisions of § 213.4, operations may persons to supervise restorations and continue over that track without com- renewals of track under traffic condi- plying with the provisions of subparts tions. Each person designated shall B, C, D, and E of this part, unless oth- have— erwise expressly stated. (1) At least— (c) If an owner of track to which this (i) 1 year of supervisory experience in part applies assigns responsibility for railroad track maintenance; or the track to another person (by lease (ii) A combination of supervisory ex- or otherwise), written notification of perience in track maintenance and the assignment shall be provided to the training from a course in track mainte- appropriate FRA Regional Office at nance or from a college level edu- least 30 days in advance of the assign- cational program related to track ment. The notification may be made by maintenance; any party to that assignment, but shall (2) Demonstrated to the owner that be in writing and include the fol- he or she— lowing— (i) Knows and understands the re- (1) The name and address of the track quirements of this part that apply to owner; the restoration and renewal of the

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track for which he or she is respon- (3) Demonstrated to the track owner sible; that the individual: (ii) Can detect deviations from those (i) Knows and understands the re- requirements; and quirements of those written CWR pro- (iii) Can prescribe appropriate reme- cedures; dial action to correct or safely com- (ii) Can detect deviations from those pensate for those deviations; and requirements; and (3) Written authorization from the (iii) Can prescribe appropriate reme- track owner to prescribe remedial ac- dial action to correct or safely com- tions to correct or safely compensate pensate for those deviations; and for deviations from the requirements in (4) Written authorization from the this part. track owner to prescribe remedial ac- (b) Each track owner to which this tions to correct or safely compensate part applies shall designate qualified for deviations from the requirements in persons to inspect track for defects. those procedures and successfully com- Each person designated shall have— pleted a recorded examination on those (1) At least— procedures as part of the qualification (i) 1 year of experience in railroad process. track inspection; or (d) Persons not fully qualified to su- (ii) A combination of experience in pervise certain renewals and inspect track inspection and training from a track as required in paragraphs (a) course in track inspection or from a through (c) of this section, but with at college level educational program re- least one year of maintenance-of-way lated to track inspection; or signal experience, may pass trains (2) Demonstrated to the owner that over broken rails and pull aparts pro- he or she— vided that— (i) Knows and understands the re- (1) The track owner determines the quirements of this part that apply to person to be qualified and, as part of the inspection of the track for which doing so, trains, examines, and re-ex- he or she is responsible; amines the person periodically within (ii) Can detect deviations from those two years after each prior examination requirements; and on the following topics as they relate (iii) Can prescribe appropriate reme- to the safe passage of trains over bro- dial action to correct or safely com- ken rails or pull aparts: rail defect pensate for those deviations; and identification, crosstie condition, (3) Written authorization from the track surface and alinement, gage re- track owner to prescribe remedial ac- straint, rail end mismatch, joint bars, tions to correct or safely compensate and maximum distance between rail for deviations from the requirements of ends over which trains may be allowed this part, pending review by a qualified to pass. The sole purpose of the exam- person designated under paragraph (a) ination is to ascertain the person’s of this section. ability to effectively apply these re- (c) Individuals designated under quirements and the examination may paragraphs (a) or (b) of this section not be used to disqualify the person that inspect continuous welded rail from other duties. A minimum of four (CWR) track or supervise the installa- hours training is required for initial tion, adjustment, and maintenance of training; CWR track in accordance with the (2) The person deems it safe and train written procedures of the track owner speeds are limited to a maximum of 10 shall have: m.p.h. over the broken rail or pull (1) Current qualifications under ei- apart; ther paragraph (a) or (b) of this sec- (3) The person shall watch all move- tion; ments over the broken rail or pull (2) Successfully completed a com- apart and be prepared to stop the train prehensive training course specifically if necessary; and developed for the application of writ- (4) Person(s) fully qualified under ten CWR procedures issued by the § 213.7 are notified and dispatched to track owner; the location promptly for the purpose

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of authorizing movements and effect- § 213.11 Restoration or renewal of ing temporary or permanent repairs. track under traffic conditions. (e) With respect to designations If during a period of restoration or under paragraphs (a) through (d) of this renewal, track is under traffic condi- section, each track owner shall main- tions and does not meet all of the retain written records of— quirements prescribed in this part, the (1) Each designation in effect; work on the track shall be under the (2) The basis for each designation; continuous supervision of a person des- and ignated under § 213.7(a) who has at least (3) Track inspections made by each one year of supervisory experience in designated qualified person as required railroad track maintenance, and sub- by § 213.241. These records shall be kept ject to any limiting conditions speci- available for inspection or copying by fied by such person. The term ‘‘contin- the Federal Railroad Administration uous supervision’’ as used in this sec- during regular business hours. tion means the physical presence of that person at a job site. However, [63 FR 34029, June 22, 1998, as amended at 74 since the work may be performed over FR 43002, Aug. 25, 2009; 78 FR 16100, Mar. 13, a large area, it is not necessary that 2013] each phase of the work be done under the visual supervision of that person. § 213.9 Classes of track: operating speed limits. § 213.13 Measuring track not under (a) Except as provided in paragraph load. (b) of this section and §§ 213.57(b), When unloaded track is measured to 213.59(a), 213.113(a), and 213.137(b) and determine compliance with require- (c), the following maximum allowable ments of this part, the amount of rail operating speeds apply— movement, if any, that occurs while [In miles per hour] the track is loaded must be added to the measurements of the unloaded Over track that The maximum al- The maximum al- track. meets all of the re- lowable operating lowable operating quirements pre- speed for freight speed for pas- scribed in this part trains is— senger trains is— § 213.14 Application of requirements to for— curved track. Excepted track ...... 10 N/A Unless otherwise provided in this Class 1 track ...... 10 15 part, requirements specified for curved Class 2 track ...... 25 30 track apply only to track having a cur- Class 3 track ...... 40 60 Class 4 track ...... 60 80 vature greater than 0.25 degree. Class 5 track ...... 80 90 [78 FR 16100, Mar. 13, 2013]

(b) If a segment of track does not § 213.15 Penalties. meet all of the requirements for its in- (a) Any person who violates any re- tended class, it is reclassified to the quirement of this part or causes the next lowest class of track for which it violation of any such requirement is does meet all of the requirements of subject to a civil penalty of at least this part. However, if the segment of $892 and not more than $29,192 per vio- track does not at least meet the relation, except that: Penalties may be quirements for Class 1 track, oper- assessed against individuals only for ations may continue at Class 1 speeds willful violations, and, where a grossly for a period of not more than 30 days negligent violation or a pattern of re- without bringing the track into com- peated violations has created an immi- pliance, under the authority of a per- nent hazard of death or injury to person designated under § 213.7(a), who has sons, or has caused death or injury, a at least one year of supervisory experi- penalty not to exceed $116,766 per viola- ence in railroad track maintenance, tion may be assessed. ‘‘Person’’ means after that person determines that oper- an entity of any type covered under 1 ations may safely continue and subject U.S.C. 1, including but not limited to to any limiting conditions specified by the following: a railroad; a manager, such person. supervisor, official, or other employee

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or agent of a railroad; any owner, man- and are assigned OMB control number ufacturer, lessor, or lessee of railroad 2130–0010. equipment, track, or facilities; any (b) The information collection re- independent contractor providing quirements are found in the following goods or services to a railroad; any em- sections: §§ 213.4, 213.5, 213.7, 213.17, ployee of such owner, manufacturer, 213.57, 213.119, 213.122, 213.233, 213.237, lessor, lessee, or independent con- 213.241, 213.303, 213.305, 213.317, 213.329, tractor; and anyone held by the Fed- 213.333, 213.339, 213.341, 213.343, 213.345, eral Railroad Administrator to be re- 213.353, 213.361, 213.369. sponsible under § 213.5(d) or § 213.303(c). Each day a violation continues shall Subpart B—Roadbed constitute a separate offense. See FRA’s website at www.fra.dot.gov for a § 213.31 Scope. statement of agency civil penalty pol- icy. This subpart prescribes minimum re- (b) Any person who knowingly and quirements for roadbed and areas im- willfully falsifies a record or report re- mediately adjacent to roadbed. quired by this part may be subject to § 213.33 Drainage. criminal penalties under 49 U.S.C. 21311. Each drainage or other water carrying facility under or immediately ad- [63 FR 34029, June 22, 1998, as amended at 69 jacent to the roadbed shall be main- FR 30593, May 28, 2004; 72 FR 51196, Sept. 6, tained and kept free of obstruction, to 2007; 73 FR 79701, Dec. 30, 2008; 77 FR 24419, Apr. 24, 2012; 81 FR 43109, July 1, 2016; 82 FR accommodate expected water flow for 16132, Apr. 3, 2017; 83 FR 60746, Nov. 27, 2018; the area concerned. 84 FR 23734, May 23, 2019; 84 FR 37072, July 31, 2019] § 213.37 Vegetation. Vegetation on railroad property § 213.17 Waivers. which is on or immediately adjacent to (a) Any owner of track to which this roadbed shall be controlled so that it part applies, or other person subject to does not— this part, may petition the Federal (a) Become a fire hazard to track-car- Railroad Administrator for a waiver rying structures; from any or all requirements pre- (b) Obstruct visibility of railroad scribed in this part. The filing of such signs and signals: a petition does not affect that person’s (1) Along the right-of-way, and responsibility for compliance with that (2) At highway-rail crossings; (This requirement while the petition is being paragraph (b)(2) is applicable Sep- considered. tember 21, 1999.) (b) Each petition for a waiver under (c) Interfere with railroad employees this section shall be filed in the man- performing normal trackside duties; ner and contain the information re- (d) Prevent proper functioning of sig- quired by part 211 of this chapter. nal and communication lines; or (c) If the Administrator finds that a (e) Prevent railroad employees from waiver is in the public interest and is visually inspecting moving equipment consistent with railroad safety, the Ad- from their normal duty stations. ministrator may grant the exemption subject to any conditions the Adminis- trator deems necessary. Where a waiv- Subpart C—Track Geometry er is granted, the Administrator pub- lishes a notice containing the reasons § 213.51 Scope. for granting the waiver. This subpart prescribes requirements for the gage, alinement, and surface of § 213.19 Information collection. track, and the elevation of outer rails (a) The information collection re- and speed limitations for curved track. quirements of this part were reviewed by the Office of Management and Budg- § 213.53 Gage. et pursuant to the Paperwork Reduc- (a) Gage is measured between the tion Act of 1995 (44 U.S.C. 3501 et seq.) heads of the rails at right-angles to the

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rails in a plane five-eighths of an inch (b) Gage shall be within the limits below the top of the rail head. prescribed in the following table—

Class of track The gage must be at least— But not more than—

Excepted track ...... N/A ...... 4′101⁄4″. Class 1 track ...... 4′8″ ...... 4′10″. Class 2 and 3 track ...... 4′8″ ...... 4′93⁄4″. Class 4 and 5 track ...... 4′8″ ...... 4′91⁄2″.

§ 213.55 Track alinement. deviate from uniformity more than the (a) Except as provided in paragraph amount prescribed in the following (b) of this section, alinement may not table:

Tangent track Curved track The deviation of the The deviation of the The deviation of the Class of track mid-offset from a mid-ordinate from a mid-ordinate from a 62-foot line 1 may 31-foot chord 2 may 62-foot chord 2 may not be more than— not be more than— not be more than— (inches) (inches) (inches)

Class 1 track ...... 5 3 N/A 5 Class 2 track ...... 3 3 N/A 3 Class 3 track ...... 13⁄4 11⁄4 13⁄4 Class 4 track ...... 11⁄2 1 11⁄2 Class 5 track ...... 3⁄4 1⁄2 5⁄8 1 The ends of the line shall be at points on the gage side of the line rail, five-eighths of an inch below the top of the railhead. Either rail may be used as the line rail; however, the same rail shall be used for the full length of that tangential segment of the track. 2 The ends of the chord shall be at points on the gage side of the outer rail, five-eighths of an inch below the top of the railhead. 3 N/A—Not Applicable

(b) For operations at a qualified cant curve may not deviate from uniformity deficiency, Eu, of more than 5 inches, more than the amount prescribed in the alinement of the outside rail of the the following table:

Curved track The deviation of the The deviation of the Class of track mid-ordinate from a mid-ordinate from a 31-foot chord 1 may 62-foot chord 1 may not be more than— not be more than— (inches) (inches)

Class 1 track 2 ...... 3 N/A 11⁄4 Class 2 track 2 ...... 3 N/A 11⁄4 Class 3 track ...... 3⁄4 11⁄4 Class 4 track ...... 3⁄4 7⁄8 Class 5 track ...... 1⁄2 5⁄8 1 The ends of the chord shall be at points on the gage side of the outer rail, five-eighths of an inch below the top of the railhead. 2 Restraining rails or other systems may be required for derailment prevention. 3 N/A—Not Applicable

[78 FR 16100, Mar. 13, 2013] cific track or operating conditions; the limits in § 213.63 apply in all cases. § 213.57 Curves; elevation and speed limitations. (b) The maximum allowable posted timetable operating speed for each (a) The maximum elevation of the curve is determined by the following outside rail of a curve may not be more formula— than 8 inches on track Classes 1 and 2, and 7 inches on track Classes 3 through 5. The outside rail of a curve may not be lower than the inside rail by design, except when engineered to address spe-

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Where— the horizontal does not exceed 8.6 de-

Vmax = Maximum allowable posted timetable grees; or operating speed (m.p.h.). (2) When operating through a con- Ea = Actual elevation of the outside rail stant radius curve at a constant speed (inches).1 corresponding to the proposed cant de- 2 Eu = Qualified cant deficiency (inches) of ficiency, and a test plan is submitted the vehicle type. to and approved by FRA in accordance D = Degree of curvature (degrees).3 with § 213.345(e) and (f): (c) All vehicles are considered quali- (i) The steady-state (average) load on fied for operating on track with a cant any wheel, throughout the body of the deficiency, Eu, not exceeding 3 inches. curve, is not less than 60 percent of its Table 1 of appendix A to this part is a static value on perfectly level track; table of speeds computed in accordance and with the formula in paragraph (b) of (ii) For passenger cars, the steady- this section, when Eu equals 3 inches, state (average) lateral acceleration for various elevations and degrees of measured on the floor of the carbody curvature. does not exceed 0.15g. (d) Each vehicle type must be ap- (e) The track owner or railroad shall proved by FRA to operate on track transmit the results of the testing specified in paragraph (d) of this sec- with a qualified cant deficiency, Eu, greater than 3 inches. Each vehicle tion to FRA’s Associate Administrator type must demonstrate, in a ready-for- for Railroad Safety/Chief Safety Officer service load condition, compliance (FRA) requesting approval for the vehi- with the requirements of either para- cle type to operate at the desired curv- graph (d)(1) or (2) of this section. ing speeds allowed under the formula (1) When positioned on a track with a in paragraph (b) of this section. The re- uniform superelevation equal to the quest shall be made in writing and con- proposed cant deficiency: tain, at a minimum, the following in- (i) No wheel of the vehicle type un- formation— loads to a value less than 60 percent of (1) A description of the vehicle type its static value on perfectly level involved, including schematic dia- track; and grams of the suspension system(s) and (ii) For passenger cars, the roll angle the estimated location of the center of between the floor of the equipment and gravity above top of rail; (2) The test procedure,4 including the load condition under which the testing 1 Actual elevation, Ea, for each 155-foot was performed, and description of the track segment in the body of the curve is de- instrumentation used to qualify the ve- termined by averaging the elevation for 11 points through the segment at 15.5-foot spac- hicle type, as well as the maximum ing. If the curve length is less than 155 feet, values for wheel unloading and roll an- the points are averaged through the full gles or accelerations that were ob- length of the body of the curve. served during testing; and 2 If the actual elevation, Ea, and degree of (3) For vehicle types not subject to curvature, D, change as a result of track deg- parts 229 or 238 of this chapter, proce- radation, then the actual cant deficiency for dures or standards in effect that relate the maximum allowable posted timetable operating speed, Vmax, may be greater than the 4 qualified cant deficiency, Eu. This actual The test procedure may be conducted cant deficiency for each curve may not ex- whereby all the wheels on one side (right or ceed the qualified cant deficiency, Eu, plus 1 left) of the vehicle are raised to the proposed inch. cant deficiency, the vertical wheel loads 3 Degree of curvature, D, is determined by under each wheel are measured, and a level averaging the degree of curvature over the is used to record the angle through which the same track segment as the elevation. floor of the vehicle has been rotated.

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to the maintenance of all safety-crit- more than 5 inches of cant deficiency, ical components of the suspension sys- the following provisions of subpart G of tem(s) for the particular vehicle type. this part shall apply: §§ 213.333(a) Safety-critical components of the sus- through (g), (j)(1), (k) and (m), 213.345, pension system are those that impact and 213.369(f). or have significant influence on the (j) As used in this section— roll of the carbody and the distribution (1) Vehicle means a locomotive, as de- of weight on the wheels. fined in § 229.5 of this chapter; a freight (f) In approving the request made car, as defined in § 215.5 of this chapter; pursuant to paragraph (e) of this sec- a passenger car, as defined in § 238.5 of tion, FRA may impose conditions nec- this chapter; and any rail rolling equip- essary for safely operating at the high- ment used in a train with either a er curving speeds. Upon FRA approval freight car or a passenger car. of the request, the track owner or rail- (2) Vehicle type means like vehicles road shall notify FRA in writing no with variations in their physical prop- less than 30 calendar days prior to the erties, such as suspension, mass, inte- proposed implementation of the ap- rior arrangements, and dimensions proved higher curving speeds allowed that do not result in significant under the formula in paragraph (b) of changes to their dynamic characteris- this section. The notification shall con- tics. tain, at a minimum, identification of the track segment(s) on which the [78 FR 16101, Mar. 13, 2013] higher curving speeds are to be implemented. § 213.59 Elevation of curved track; (g) The documents required by this runoff. section must be provided to FRA by: (a) If a curve is elevated, the full ele- (1) The track owner; or vation shall be provided throughout (2) A railroad that provides service the curve, unless physical conditions with the same vehicle type over track- do not permit. If elevation runoff oc- age of one or more track owner(s), with curs in a curve, the actual minimum the written consent of each affected elevation shall be used in computing track owner. the maximum allowable posted time- (h)(1) Vehicle types permitted by table operating speed for that curve FRA to operate at cant deficiencies, Eu, under § 213.57(b). greater than 3 inches but not more (b) Elevation runoff shall be at a uni- than 5 inches shall be considered quali- form rate, within the limits of track fied under this section to operate at surface deviation prescribed in § 213.63, those permitted cant deficiencies for and it shall extend at least the full any track segment. The track owner or length of the spirals. If physical condi- railroad shall notify FRA in writing no tions do not permit a spiral long less than 30 calendar days prior to the enough to accommodate the minimum proposed implementation of such curv- length of runoff, part of the runoff may ing speeds in accordance with para- be on tangent track. graph (f) of this section. (2) Vehicle types permitted by FRA [63 FR 34029, June 22, 1998, as amended at 78 FR 16101, Mar. 13, 2013] to operate at cant deficiencies, Eu, greater than 5 inches shall be considered qualified under this section to op- § 213.63 Track surface. erate at those permitted cant defi- (a) Except as provided in paragraph ciencies only for the previously oper- (b) of this section, each track owner ated or identified track segments(s). shall maintain the surface of its track (i) For vehicle types intended to op- within the limits prescribed in the fol- erate at any curving speed producing lowing table:

Class of track Track surface (inches) 1 2 3 4 5

The runoff in any 31 feet of rail at the end of a raise may not be more than ..... 31⁄2 3 2 11⁄2 1 The deviation from uniform profile on either rail at the mid-ordinate of a 62-foot chord may not be more than ...... 3 23⁄4 21⁄4 2 11⁄4

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Class of track Track surface (inches) 1 2 3 4 5

The deviation from zero crosslevel at any point on tangent or reverse crosslevel elevation on curves may not be more than ...... 3 2 13⁄4 11⁄4 1 The difference in crosslevel between any two points less than 62 feet apart may not be more than * 12 ...... 3 21⁄4 2 13⁄4 11⁄2 *Where determined by engineering decision prior to June 22, 1998, due to physical restrictions on spiral length and operating practices and experience, the variation in crosslevel on spirals per 31 feet may not be more than ...... 2 13⁄4 11⁄4 1 3⁄4 1 Except as limited by § 213.57(a), where the elevation at any point in a curve equals or exceeds 6 inches, the difference in crosslevel within 62 feet between that point and a point with greater elevation may not be more than 11⁄2 inches. 2 However, to control harmonics on Class 2 through 5 jointed track with staggered joints, the crosslevel differences shall not exceed 11⁄4 inches in all of six consecutive pairs of joints, as created by seven low joints. Track with joints staggered less than 10 feet apart shall not be considered as having staggered joints. Joints within the seven low joints outside of the regular joint spacing shall not be considered as joints for purposes of this footnote.

(b) For operations at a qualified cant surface of the curve within the limits deficiency, Eu, of more than 5 inches, prescribed in the following table: each track owner shall maintain the

Class of track Track surface (inches) 1 2 3 4 5

The deviation from uniform profile on either rail at the mid-ordinate of a 31-foot chord may not be more than ...... N/A1 N/A1 1 1 1 The deviation from uniform profile on either rail at the mid-ordinate of a 62-foot chord may not be more than ...... 21⁄4 21⁄4 13⁄4 11⁄4 1 The difference in crosslevel between any two points less than 10 feet apart (short warp) shall not be more than ...... 2 2 13⁄4 13⁄4 11⁄2 1 N/A—Not Applicable.

[78 FR 16101, Mar. 13, 2013]

§ 213.65 Combined track alinement inches, the combination of alinement and surface deviations. and surface deviations for the same On any curved track where oper- chord length on the outside rail in the ations are conducted at a qualified curve, as measured by a TGMS, shall cant deficiency, Eu, greater than 5 comply with the following formula:

Where— Sm = measured profile deviation from uni- Am = measured alinement deviation from formity (down is positive, up is nega- uniformity (outward is positive, inward tive). is negative). SL = allowable profile limit as per § 213.63(b) AL = allowable alinement limit as per (always positive) for the class of track. § 213.55(b) (always positive) for the class of track.

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[78 FR 16102, Mar. 13, 2013] Tangent track, turnouts, and curves Subpart D—Track Structure Tangent track FRA track class and curved Turnouts and track less than curved track § 213.101 Scope. or equal to 2 greater than 2 degrees degrees This subpart prescribes minimum requirements for ballast, crossties, track Class 1 ...... 5 6 Class 2 ...... 8 9 assembly fittings, and the physical Class 3 ...... 8 10 conditions of rails. Class 4 and 5 ...... 12 14

§ 213.103 Ballast; general. (c) Crossties, other than concrete, counted to satisfy the requirements set Unless it is otherwise structurally forth in paragraph (b)(4) of this section supported, all track shall be supported shall not be— by material which will— (1) Broken through; (a) Transmit and distribute the load (2) Split or otherwise impaired to the of the track and railroad rolling equip- extent the crosstie will allow the bal- ment to the subgrade; last to work through, or will not hold (b) Restrain the track laterally, lon- spikes or rail fasteners; gitudinally, and vertically under dy- (3) So deteriorated that the crosstie namic loads imposed by railroad roll- plate or base of rail can move laterally ing equipment and thermal stress ex- 1⁄2 inch relative to the crosstie; or erted by the rails; (4) Cut by the crosstie plate through (c) Provide adequate drainage for the more than 40 percent of a crosstie’s track; and thickness. (d) Concrete crossties counted to sat- (d) Maintain proper track crosslevel, isfy the requirements set forth in para- surface, and alinement. graph (b)(4) of this section shall not be— § 213.109 Crossties. (1) Broken through or deteriorated to (a) Crossties shall be made of a mate- the extent that prestressing material is rial to which rail can be securely fas- visible; tened. (2) Deteriorated or broken off in the (b) Each 39-foot segment of track vicinity of the shoulder or insert so shall have at a minimum— that the fastener assembly can either (1) A sufficient number of crossties pull out or move laterally more than 3⁄8 that in combination provide effective inch relative to the crosstie; support that will— (3) Deteriorated such that the base of (i) Hold gage within the limits pre- either rail can move laterally more than 3⁄8 inch relative to the crosstie on scribed in § 213.53(b); curves of 2 degrees or greater; or can (ii) Maintain surface within the lim- move laterally more than 1⁄2 inch rel- its prescribed in § 213.63; and ative to the crosstie on tangent track (iii) Maintain alinement within the or curves of less than 2 degrees; limits prescribed in § 213.55; (4) Deteriorated or abraded at any (2) The minimum number and type of point under the rail seat to a depth of crossties specified in paragraph (b)(4) 1⁄2 inch or more; of this section and described in para- (5) Deteriorated such that the cross- graph (c) or (d), as applicable, of this tie’s fastening or anchoring system, in- section effectively distributed to sup- cluding rail anchors (see § 213.127(b)), is port the entire segment; unable to maintain longitudinal rail (3) At least one non-defective crosstie restraint, or maintain rail hold down, of the type specified in paragraphs (c) or maintain gage due to insufficient and (d) of this section that is located at fastener toeload; or a joint location as specified in para- (6) Configured with less than two fas- graph (e) of this section; and teners on the same rail except as provided in § 213.127(c). (4) The minimum number of crossties (e) Class 1 and 2 track shall have one as indicated in the following table. crosstie whose centerline is within 24

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inches of each rail joint (end) location. these crossties is described in the fol- Class 3, 4, and 5 track shall have either lowing three diagrams: one crosstie whose centerline is within (1) Each rail joint in Class 1 and 2 18 inches of each rail joint location or track shall be supported by at least one two crossties whose centerlines are crosstie specified in paragraphs (c) and within 24 inches either side of each rail (d) of this section whose centerline is joint location. The relative position of within 48 inches as shown in Figure 1.

(2) Each rail joint in Class 3, 4, and 5 graphs (c) and (d) of this section whose track shall be supported by either at centerline is within 36 inches as shown least one crosstie specified in para- in Figure 2, or:

(3) Two crossties, one on each side of within 24 inches of the rail joint loca- the rail joint, whose centerlines are tion as shown in Figure 3.

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(f) For track constructed without to establish compliance with the fol- crossties, such as slab track, track con- lowing minimum design requirements nected directly to bridge structural of a GRMS vehicle: components, track over servicing pits, (2) Gage restraint shall be measured etc., the track structure shall meet the between the heads of rail— requirements of paragraph (b)(1) of this (i) At an interval not exceeding 16 section. inches; (ii) Under an applied vertical load of [76 FR 18084, Apr. 1, 2011] no less than 10 kips per rail; and (iii) Under an applied lateral load § 213.110 Gage restraint measurement systems. that provides for a lateral/vertical load ratio of between 0.5 and 1.25 5, and a (a) A track owner may elect to imple- load severity greater than 3 kips but ment a Gage Restraint Measurement less than 8 kips per rail. System (GRMS), supplemented by the (d) Load severity is defined by the use of a Portable Track Loading Fix- formula: ture (PTLF), to determine compliance S = L¥cV with the crosstie and fastener requirements specified in §§ 213.109 and 213.127 Where— provided that— S = Load severity, defined as the lateral load (1) The track owner notifies the ap- applied to the fastener system (kips). L = Actual lateral load applied (kips). propriate FRA Regional office at least c = Coefficient of friction between rail/tie, 30 days prior to the designation of any which is assigned a nominal value of 0.4. line segment on which GRMS tech- V = Actual vertical load applied (kips), or nology will be implemented; and static vertical wheel load if vertical load (2) The track owner notifies the ap- is not measured. propriate FRA Regional office at least (e) The measured gage values shall be 10 days prior to the removal of any line converted to a Projected Loaded Gage segment from GRMS designation. 24 (PLG24) as follows— (b) Initial notification under para- PLG24 = UTG + A × (LTG¥UTG) graph (a)(1) of this section shall include— Where— (1) Identification of the line seg- UTG = Unloaded track gage measured by the ment(s) by timetable designation, GRMS vehicle at a point no less than 10 feet from any lateral or vertical load ap- milepost limits, class of track, or other plication. identifying criteria; and (2) The most recent record of million 5 GRMS equipment using load combina- gross tons of traffic per year over the tions developing L/V ratios that exceed 0.8 identified segment(s). shall be operated with caution to protect (c)(1) The track owner shall also pro- against the risk of wheel climb by the test vide to FRA sufficient technical data wheelset.

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LTG = Loaded track gage measured by the A = The extrapolation factor used to convert GRMS vehicle at a point no more than 12 the measured loaded gage to expected inches from the lateral load application loaded gage under a 24-kip lateral load point. and a 33-kip vertical load. For all track—

NOTE: The A factor shall not exceed a value (f) The measured gage and load val- of 3.184 under any valid loading configura- ues shall be converted to a Gage Wid- tion. ening Projection (GWP) as follows: L = Actual lateral load applied (kips). V = Actual vertical load applied (kips), or static vertical wheel load if vertical load is not measured.

(g) The GRMS vehicle shall be capa- (2) Maintain each PTLF used for de- ble of producing output reports that termining compliance with the require- provide a trace, on a constant-distance ments of this section such that the scale, of all parameters specified in 4,000-pound reading is accurate to with- paragraph (l) of this section. in five percent of that reading. (h) The GRMS vehicle shall be capa- (k) The track owner shall provide ble of providing an exception report training in GRMS technology to all containing a systematic listing of all persons designated as fully qualified exceptions, by magnitude and location, under § 213.7 and whose territories are to all the parameters specified in para- subject to the requirements of this sec- graph (l) of this section. tion. The training program shall be (i) The exception reports required by made available to the Federal Railroad this section shall be provided to the ap- Administration upon request. At a propriate person designated as fully minimum, the training program shall qualified under § 213.7 prior to the next address— inspection required under § 213.233. (1) Basic GRMS procedures; (j) The track owner shall institute (2) Interpretation and handling of ex- the necessary procedures for maintain- ception reports generated by the GRMS ing the integrity of the data collected vehicle; by the GRMS and PTLF systems. At a (3) Locating and verifying defects in minimum, the track owner shall— the field; (1) Maintain and make available to (4) Remedial action requirements; the Federal Railroad Administration (5) Use and calibration of the PTLF; documented calibration procedures on each GRMS vehicle which, at a min- and imum, shall specify a daily instrument (6) Recordkeeping requirements. verification procedure that will ensure (l) The GRMS record of lateral re- correlation between measurements straint shall identify two exception made on the ground and those recorded levels. At a minimum, the track owner by the instrumentation with respect to shall initiate the required remedial ac- loaded and unloaded gage parameters; tion at each exception level as defined and in the following table—

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GRMS parameters1 If measurement value exceeds Remedial action required

First Level Exception

UTG ...... 58 inches...... (1) Immediately protect the exception location with a 10 m.p.h. speed restriction, then verify location; (2) Restore lateral restraint and maintain in compliance with PTLF criteria as described in paragraph (m) of this section; and (3) Maintain compliance with § 213.53(b) as measured with the PTLF. LTG ...... 58 inches. PLG24 ...... 59 inches. GWP ...... 1 inch.

Second Level Exception

LTG ...... 57 3⁄4 inches on Class 4 and 5 (1) Limit operating speed to no more than the maximum al- track 2. lowable under § 213.9 for Class 3 track, then verify location; (2) Maintain in compliance with PTLF criteria as described in paragraph (m) of this section; and (3) Maintain compliance with § 213.53(b) as measured with the PTLF. PLG24 ...... 58 inches. GWP ...... 0.75 inch. 1 Definitions for the GRMS parameters referenced in this table are found in paragraph (p) of this section. 2 This note recognizes that good track will typically increase in total gage by as much as one-quarter of an inch due to outward rail rotation under GRMS loading conditions. For Class 2 and 3 track, the GRMS LTG values are also increased by one-quarter of inch to a maximum of 58 inches. However, for any class of track, GRMS LTG values in excess of 58 inches are considered First Level exceptions and the appropriate remedial action(s) must be taken by the track owner. This 1/4-inch increase in allowable gage applies only to GRMS LTG. For gage measured by traditional methods, or with the use of the PTLF, the table in § 213.53(b) applies.

(m) Between GRMS inspections, the tional remedial actions for those loca- PTLF may be used as an additional an- tions which comply with the require- alytical tool to assist fully qualified ments of paragraph (m)(1)(i) and (ii) of § 213.7 individuals in determining com- this section. pliance with the crosstie and fastener (4) When a functional PTLF is not requirements of §§ 213.109 and 213.127. available to a fully qualified person When the PTLF is used, whether as an designated under § 213.7, the criteria for additional analytical tool or to fulfill determining crosstie and fastener com- the requirements of paragraph (l), it pliance shall be based solely on the re- shall be used subject to the following quirements specified in §§ 213.109 and criteria— 213.127. (1) At any location along the track (5) If the PTLF becomes non-func- that the PTLF is applied, that location tional or is missing, the track owner will be deemed in compliance with the will replace or repair it before the next crosstie and fastener requirements inspection required under § 213.233. specified in §§ 213.109 and 213.127 provided that— (6) Where vertical loading of the track is necessary for contact with the (i) The total gage widening at that lateral rail restraint components, a location does not exceed 5⁄8 inch when increasing the applied force from 0 to PTLF test will not be considered valid 4,000 pounds; and until contact with these components is (ii) The gage of the track under 4,000 restored under static loading condi- pounds of applied force does not exceed tions. the allowable gage prescribed in (n) The track owner shall maintain a § 213.53(b) for the class of track. record of the two most recent GRMS (2) Gage widening in excess of 5⁄8 inch inspections at locations which meet shall constitute a deviation from Class the requirements specified in 1 standards. § 213.241(b). At a minimum, records (3) A person designated as fully quali- shall indicate the following— fied under § 213.7 retains the discre- (1) Location and nature of each First tionary authority to prescribe addi- Level exception; and

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(2) Nature and date of remedial ac- calculated from actual measured loads tion, if any, for each exception identi- and deflections. PLG 24 means the ex- fied in paragraph (n)(1) of this section. trapolated value for loaded gage under (o) The inspection interval for des- a 24,000 pound lateral load and a 33,000 ignated GRMS line segments shall be pound vertical load. such that— (8) Unloaded Track Gage (UTG) means (1) On line segments where the an- the gage measured by the GRMS vehi- nual tonnage exceeds two million gross cle at a point no less than 10 feet from tons, or where the maximum operating any lateral or vertical load. speeds for passenger trains exceeds 30 mph, GRMS inspections must be per- [66 FR 1899, Jan. 10, 2001; 66 FR 8372, Jan. 31, formed annually at an interval not to 2001, as amended at 78 FR 16102, Mar. 13, 2013] exceed 14 months; or (2) On line segments where the an- § 213.113 Defective rails. nual tonnage is two million gross tons (a) When an owner of track learns or less and the maximum operating that a rail in the track contains any of speed for passenger trains does not ex- the defects listed in the table con- ceed 30 mph, the interval between tained in paragraph (c) of this section, GRMS inspections must not exceed 24 a person designated under § 213.7 shall months. determine whether the track may con- (p) As used in this section— tinue in use. If the designated person (1) Gage Restraint Measurement System determines that the track may con- (GRMS) means a track loading vehicle tinue in use, operation over the defec- meeting the minimum design require- tive rail is not permitted until— ments specified in this section. (1) The rail is replaced or repaired; or (2) Gage Widening Projection (GWP) (2) The remedial action prescribed in means the measured gage widening, the table contained in paragraph (c) of which is the difference between loaded this section is initiated. and unloaded gage, at the applied (b) When an owner of track learns loads, projected to reference loads of 16 that a rail in the track contains an in- kips of lateral force and 33 kips of dication of any of the defects listed in vertical force. the table contained in paragraph (c) of (3) L/V ratio means the numerical this section, the track owner shall ratio of lateral load applied at a point verify the indication. The track owner on the rail to the vertical load applied must verify the indication within four at that same point. GRMS design re- hours, unless the track owner has an quirements specify an L/V ratio of be- indication of the existence of a defect tween 0.5 and 1.25. that requires remedial action A, A2, or (4) Load severity means the amount of B identified in the table contained in lateral load applied to the fastener sys- paragraph (c) of this section, in which tem after friction between rail and tie is overcome by any applied gage-wid- case the track owner must imme- ening lateral load. diately verify the indication. If the in- (5) Loaded Track Gage (LTG) means dication is verified, the track owner the gage measured by the GRMS vehi- must— cle at a point no more than 12 inches (1) Replace or repair the rail; or from the lateral load application point. (2) Initiate the remedial action pre- (6) Portable Track Loading Fixture scribed in the table contained in para- (PTLF) means a portable track loading graph (c) of this section. device capable of applying an increas- (c) A track owner who learns that a ing lateral force from 0 to 4,000 pounds rail contains one of the following de- on the web/base fillet of each rail si- fects shall prescribe the remedial ac- multaneously. tion specified if the rail is not replaced (7) Projected Loaded Gage (PLG) means or repaired, in accordance with this an extrapolated value for loaded gage paragraph’s table:

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(d) As used in this section— drooped or sagged across the width of (1) Bolt hole crack means a crack the rail head to a depth of 3⁄8 inch or across the web, originating from a bolt more below the rest of the rail head hole, and progressing on a path either and 8 inches or more in length. Unlike inclined upward toward the rail head or flattened rail where the depression is inclined downward toward the base. visible on the rail head only, the sag- Fully developed bolt hole cracks may ging or drooping is also visible in the continue horizontally along the head/ head/web fillet area. web or base/web fillet, or they may (5) Damaged rail means any rail bro- progress into and through the head or ken or otherwise damaged by a derail- base to separate a piece of the rail end ment, broken, flat, or unbalanced from the rail. Multiple cracks occur- wheel, wheel slipping, or similar ring in one rail end are considered to causes. be a single defect. However, bolt hole (6) Defective weld means a field or cracks occurring in adjacent rail ends plant weld containing any discontinu- within the same joint must be reported ities or pockets, exceeding 5 percent of as separate defects. the rail head area individually or 10 (2) Broken base means any break in percent in the aggregate, oriented in or the base of the rail. near the transverse plane, due to in- (3) Compound fissure means a progres- complete penetration of the weld metal sive fracture originating from a hori- between the rail ends, lack of fusion zontal split head that turns up or between weld and rail end metal, en- down, or in both directions, in the head trainment of slag or sand, under-bead of the rail. Transverse development or shrinkage cracking, or fatigue normally progresses substantially at a cracking. Weld defects may originate right angle to the length of the rail. in the rail head, web, or base, and in (4) Crushed head means a short length some cases, cracks may progress from of rail, not at a joint, which has the defect into either or both adjoining

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rail ends. If the weld defect progresses (14) Split web means a lengthwise longitudinally through the weld sec- crack along the side of the web and ex- tion, the defect is considered a split tending into or through it. web for purposes of remedial action re- (15) Transverse fissure means a pro- quired by this section. gressive crosswise fracture starting (7) Detail fracture means a progressive from a crystalline center or nucleus in- fracture originating at or near the sur- side the head from which it spreads face of the rail head. These fractures outward as a smooth, bright, or dark should not be confused with transverse round or oval surface substantially at a right angle to the length of the rail. fissures, compound fissures, or other The distinguishing features of a trans- defects which have internal origins. verse fissure from other types of frac- Detail fractures may arise from shelled tures or defects are the crystalline cen- spots, head checks, or flaking. ter or nucleus and the nearly smooth (8) Engine burn fracture means a pro- surface of the development which sur- gressive fracture originating in spots rounds it. where driving wheels have slipped on (16) Vertical split head means a top of the rail head. In developing vertical split through or near the mid- downward these fractures frequently dle of the head, and extending into or resemble the compound or even trans- through it. A crack or rust streak may verse fissures with which they should show under the head close to the web not be confused or classified. or pieces may be split off the side of (9) Flattened rail means a short length the head. of rail, not at a joint, which has flat- [79 FR 4256, Jan. 24, 2014; 79 FR 4633, Jan. 29, tened out across the width of the rail 2014] head to a depth of 3⁄8 inch or more below the rest of the rail and 8 inches § 213.115 Rail end mismatch. or more in length. Flattened rail occur- Any mismatch of rails at joints may rences have no repetitive regularity not be more than that prescribed by and thus do not include corrugations, the following table— and have no apparent localized cause Any mismatch of rails at joints may such as a weld or engine burn. Their in- not be more than the following— dividual length is relatively short, as Class of track On the gage side compared to a condition such as head On the tread of the rail ends (inch) of the rail ends flow on the low rail of curves. (inch)

(10) Head and web separation means a Class 1 track ...... 1⁄4 1⁄4 progressive fracture, longitudinally Class 2 track ...... 1⁄4 3⁄16 separating the head from the web of Class 3 track ...... 3⁄16 3⁄16 Class 4 and 5 track 1⁄8 1⁄8 the rail at the head fillet area. (11) Horizontal split head means a hor- § 213.118 Continuous welded rail izontal progressive defect originating (CWR); plan review and approval. inside of the rail head, usually 1⁄4 inch or more below the running surface and (a) Each track owner with track constructed of CWR shall have in effect progressing horizontally in all direc- and comply with a plan that contains tions, and generally accompanied by a written procedures which address: the flat spot on the running surface. The installation, adjustment, maintenance, defect appears as a crack lengthwise of and inspection of CWR; inspection of the rail when it reaches the side of the CWR joints; and a training program for rail head. the application of those procedures. (12) Ordinary break means a partial or (b) The track owner shall file its complete break in which there is no CWR plan with the FRA Associate Ad- sign of a fissure, and in which none of ministrator for Railroad Safety/Chief the other defects described in this Safety Officer (Associate Adminis- paragraph (d) is found. trator). Within 30 days of receipt of the (13) Piped rail means a vertical split submission, FRA will review the plan in a rail, usually in the web, due to for compliance with this subpart. FRA failure of the shrinkage cavity in the will approve, disapprove or condi- ingot to unite in rolling. tionally approve the submitted plan,

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and will provide written notice of its other locations where possible longitu- determination. dinal rail and crosstie movement asso- (c) The track owner’s existing plan ciated with normally expected train-in- shall remain in effect until the track duced forces, is restricted. owner’s new plan is approved or condi- (c) CWR joint installation and main- tionally approved and is effective pur- tenance procedures which require suant to paragraph (d) of this section. that— (d) The track owner shall, upon re- (1) Each rail shall be bolted with at ceipt of FRA’s approval or conditional least two bolts at each CWR joint; approval, establish the plan’s effective (2) In the case of a bolted joint in- date. The track owner shall advise in stalled during CWR installation after writing FRA and all affected employees October 21, 2009, the track owner shall of the effective date. either, within 60 days— (e) FRA, for cause stated, may, sub- (i) Weld the joint; sequent to plan approval or conditional (ii) Install a joint with six bolts; or approval, require revisions to the plan to bring the plan into conformity with (iii) Anchor every tie 195 feet in both this subpart. Notice of a revision re- directions from the joint; and quirement shall be made in writing and (3) In the case of a bolted joint in specify the basis of FRA’s requirement. CWR experiencing service failure or a The track owner may, within 30 days of failed bar with a rail gap present, the the revision requirement, respond and track owner shall either— provide written submissions in support (i) Weld the joint; of the original plan. FRA renders a (ii) Replace the broken bar(s), replace final decision in writing. Not more the broken bolts, adjust the anchors than 30 days following any final deci- and, within 30 days, weld the joint; sion requiring revisions to a CWR plan, (iii) Replace the broken bar(s), re- the track owner shall amend the plan place the broken bolts, install one ad- in accordance with FRA’s decision and ditional bolt per rail end, and adjust resubmit the conforming plan. The anchors; conforming plan becomes effective (iv) Replace the broken bar(s), re- upon its submission to FRA. place the broken bolts, and anchor [74 FR 43002, Aug. 25, 2009] every tie 195 feet in both directions from the CWR joint; or § 213.119 Continuous welded rail (v) Replace the broken bar(s), replace (CWR); plan contents. the broken bolts, add rail with provi- The track owner shall comply with sions for later adjustment pursuant to the contents of the CWR plan approved paragraph (d)(2) of this section, and re- or conditionally approved under apply the anchors. § 213.118. The plan shall contain the fol- (d) Procedures which specifically ad- lowing elements— dress maintaining a desired rail instal- (a) Procedures for the installation lation temperature range when cutting and adjustment of CWR which in- CWR, including rail repairs, in-track clude— welding, and in conjunction with ad- (1) Designation of a desired rail in- justments made in the area of tight stallation temperature range for the track, a track buckle, or a pull-apart. geographic area in which the CWR is Rail repair practices shall take into located; and consideration existing rail temperature (2) De-stressing procedures/methods so that— which address proper attainment of the (1) When rail is removed, the length desired rail installation temperature installed shall be determined by taking range when adjusting CWR. into consideration the existing rail (b) Rail anchoring or fastening re- temperature and the desired rail instal- quirements that will provide sufficient lation temperature range; and restraint to limit longitudinal rail and (2) Under no circumstances should crosstie movement to the extent prac- rail be added when the rail tempera- tical, and specifically addressing CWR ture is below that designated by para- rail anchoring or fastening patterns on graph (a)(1) of this section, without bridges, bridge approaches, and at provisions for later adjustment.

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(e) Procedures which address the ling-prone or pull-apart prone condi- monitoring of CWR in curved track for tions are found. inward shifts of alinement toward the (h) Procedures which prescribe the center of the curve as a result of dis- scheduling and conduct of inspections turbed track. to detect cracks and other indications (f) Procedures which govern train of potential failures in CWR joints. In speed on CWR track when— formulating the procedures under this (1) Maintenance work, track rehabili- paragraph, the track owner shall— tation, track construction, or any (1) Address the inspection of joints other event occurs which disturbs the and the track structure at joints, in- roadbed or ballast section and reduces cluding, at a minimum, periodic on- the lateral or longitudinal resistance of the track; and foot inspections; (2) The difference between the aver- (2) Identify joint bars with visible or age rail temperature and the average otherwise detectable cracks and con- rail neutral temperature is in a range duct remedial action pursuant to that causes buckling-prone conditions § 213.121; to be present at a specific location; and (3) Specify the conditions of actual or (3) In formulating the procedures potential joint failure for which per- under paragraphs (f)(1) and (f)(2) of this sonnel must inspect, including, at a section, the track owner shall— minimum, the following items: (i) Determine the speed required, and (i) Loose, bent, or missing joint bolts; the duration and subsequent removal (ii) Rail end batter or mismatch that of any speed restriction based on the contributes to instability of the joint; restoration of the ballast, along with and sufficient ballast re-consolidation to (iii) Evidence of excessive longitu- stabilize the track to a level that can dinal rail movement in or near the accommodate expected train-induced joint, including, but not limited to; forces. Ballast re-consolidation can be wide rail gap, defective joint bolts, dis- achieved through either the passage of turbed ballast, surface deviations, gap train tonnage or mechanical stabilization procedures, or both; and between tie plates and rail, or dis- (ii) Take into consideration the type placed rail anchors; of crossties used. (4) Specify the procedures for the in- (g) Procedures which prescribe when spection of CWR joints that are physical track inspections are to be imbedded in highway-rail crossings or performed. in other structures that prevent a com- (1) At a minimum, these procedures plete inspection of the joint, including shall address inspecting track to iden- procedures for the removal from the tify— joint of loose material or other tem- (i) Buckling-prone conditions in CWR porary material; track, including— (5) Specify the appropriate corrective (A) Locations where tight or kinky actions to be taken when personnel rail conditions are likely to occur; and find conditions of actual or potential (B) Locations where track work of joint failure, including on-foot follow- the nature described in paragraph up inspections to monitor conditions of (f)(1)(i) of this section has recently potential joint failure in any period been performed; and prior to completion of repairs; (ii) Pull-apart prone conditions in (6) Specify the timing of periodic in- CWR track, including locations where spections, which shall be based on the pull-apart or stripped-joint rail conditions are likely to occur; and configuration and condition of the (2) In formulating the procedures joint: under paragraph (g)(1) of this section, (i) Except as provided in paragraphs the track owner shall— (h)(6)(ii) through (h)(6)(iv) of this sec- (i) Specify when the inspections will tion, track owners must specify that be conducted; and all CWR joints are inspected, at a min- (ii) Specify the appropriate remedial imum, in accordance with the intervals actions to be taken when either buck- identified in the following table:

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MINIMUM NUMBER OF INSPECTIONS PER CALENDAR YEAR 1

Freight trains operating over track with an annual Passenger trains operating tonnage of: over track with an annual tonnage of: Less than 40 Greater than Greater than mgt 40 to 60 mgt 60 mgt Less than 20 or equal to 20 mgt mgt

Class 5 & above ...... 2 3 2 42 32 32 Class 4 ...... 2 3 2 42 2 3 2 Class 3...... 1 2 2 2 2 Class 2...... 0 0 0 1 1 Class 1...... 0 0 0 0 0 Excepted Track ...... 0 0 0 n/a n/a

4 = Four times per calendar year, with one inspection in each of the following periods: January to March, April to June, July to September, and October to December; and with consecutive inspections separated by at least 60 calendar days. 3 = Three times per calendar year, with one inspection in each of the following periods: January to April, May to August, and September to December; and with consecutive inspections separated by at least 90 calendar days. 2 = Twice per calendar year, with one inspection in each of the following periods: January to June and July to December; and with consecutive inspections separated by at least 120 calendar days. 1 = Once per calendar year, with consecutive inspections separated by at least 180 calendar days. 1 Where a track owner operates both freight and passenger trains over a given segment of track, and there are two different possible inspection interval requirements, the more frequent inspection interval applies. 2 When extreme weather conditions prevent a track owner from conducting an inspection of a particular territory within the required interval, the track owner may extend the interval by up to 30 calendar days from the last day that the extreme weather condition prevented the required inspection.

(ii) Consistent with any limitations consistent with the requirements in applied by the track owner, a passenger § 213.235; and all records of those inspec- train conducting an unscheduled de- tions must be kept in accordance with tour operation may proceed over track the requirements in § 213.241. A track not normally used for passenger oper- owner may include in its § 213.235 in- ations at a speed not to exceed the spections, in lieu of the joint inspec- maximum authorized speed otherwise tions required by paragraph (h)(6)(i) of allowed, even though CWR joints have this section, CWR joints that are lo- not been inspected in accordance with cated in track structure that is adja- the frequency identified in paragraph cent to switches and turnouts, provided (h)(6)(i) of this section, provided that: that the track owner precisely defines (A) All CWR joints have been in- the parameters of that arrangement in spected consistent with requirements the CWR plans. for freight service; and (7) Specify the recordkeeping require- (B) The unscheduled detour operation ments related to joint bars in CWR, in- lasts no more than 14 consecutive cal- cluding the following: endar days. In order to continue operations beyond the 14-day period, the (i) The track owner shall keep a track owner must inspect the CWR record of each periodic and follow-up joints in accordance with the require- inspection required to be performed by ments of paragraph (h)(6)(i) of this sec- the track owner’s CWR plan, except for tion. those inspections conducted pursuant (iii) Tourist, scenic, historic, or ex- to § 213.235 for which track owners must cursion operations, if limited to the maintain records pursuant to § 213.241. maximum authorized speed for pas- The record shall be prepared on the day senger trains over the next lower class the inspection is made and signed by of track, need not be considered in de- the person making the inspection. The termining the frequency of inspections record shall include, at a minimum, under paragraph (h)(6)(i) of this sec- the following items: the boundaries of tion. the territory inspected; the nature and (iv) All CWR joints that are located location of any deviations at the joint in switches, turnouts, track crossings, from the requirements of this part or lift rail assemblies or other transition of the track owner’s CWR plan, with devices on moveable bridges must be the location identified with sufficient inspected on foot at least monthly, precision that personnel could return

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to the joint and identify it without am- make the training program available biguity; the date of the inspection; the for review by FRA upon request. remedial action, corrective action, or (j) The track owner shall prescribe both, that has been taken or will be and comply with recordkeeping re- taken; and the name or identification quirements necessary to provide an number of the person who made the in- adequate history of track constructed spection. with CWR. At a minimum, these (ii) [Reserved] records must include: (8) In lieu of the requirements for the (1) Rail temperature, location, and inspection of rail joints contained in date of CWR installations. Each record paragraphs (h)(1) through (h)(7) of this shall be retained for at least one year; section, a track owner may seek ap- (2) A record of any CWR installation proval from FRA to use alternate pro- or maintenance work that does not cedures. conform to the written procedures. (i) The track owner shall submit the Such record shall include the location proposed alternate procedures and a of the rail and be maintained until the supporting statement of justification CWR is brought into conformance with to the Associate Administrator. such procedures; and (ii) If the Associate Administrator (3) Information on inspection of rail finds that the proposed alternate pro- joints as specified in paragraph (h)(7) of cedures provide an equivalent or higher this section. level of safety than the requirements (k) The track owner shall make read- in paragraphs (h)(1) through (h)(7) of ily available, at every job site where this section, the Associate Adminis- personnel are assigned to install, in- trator will approve the alternate proce- spect or maintain CWR, a copy of the dures by notifying the track owner in track owner’s CWR procedures and all writing. The Associate Administrator revisions, appendices, updates, and ref- will specify in the written notification erenced materials related thereto prior the date on which the procedures will to their effective date. Such CWR pro- become effective, and after that date, cedures shall be issued and maintained the track owner shall comply with the in one CWR standards and procedures procedures. If the Associate Adminis- manual. trator determines that the alternate (l) As used in this section— procedures do not provide an equiva- Adjusting/de-stressing means a proce- lent level of safety, the Associate Ad- dure by which a rail’s neutral tempera- ministrator will disapprove the alter- ture is re-adjusted to the desired value. nate procedures in writing, and the It typically consists of cutting the rail track owner shall continue to comply and removing rail anchoring devices, with the requirements in paragraphs which provides for the necessary ex- (h)(1) through (h)(7) of this section. pansion and contraction, and then re- (iii) While a determination is pending assembling the track. with the Associate Administrator on a Annual re-training means training request submitted pursuant to para- every calendar year. graph (h)(8) of this section, the track Buckling incident means the forma- owner shall continue to comply with tion of a lateral misalignment suffi- the requirements contained in para- cient in magnitude to constitute a de- graphs (h)(1) through (h)(7) of this sec- viation from the Class 1 requirements tion. specified in § 213.55. These normally (i) The track owner shall have in ef- occur when rail temperatures are rel- fect a comprehensive training program atively high and are caused by high for the application of these written longitudinal compressive forces. CWR procedures, with provisions for Buckling-prone condition means a annual re-training, for those individ- track condition that can result in the uals designated under § 213.7(c) as quali- track being laterally displaced due to fied to supervise the installation, ad- high compression forces caused by crit- justment, and maintenance of CWR ical rail temperature combined with track and to perform inspections of insufficient track strength and/or train CWR track. The track owner shall dynamics.

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Continuous welded rail (CWR) means Rail neutral temperature is the tem- rail that has been welded together into perature at which the rail is neither in lengths exceeding 400 feet. Rail in- compression nor tension. stalled as CWR remains CWR, regard- Rail temperature means the tempera- less of whether a joint or plug is in- ture of the rail, measured with a rail stalled into the rail at a later time. thermometer. Corrective actions mean those actions Remedial actions mean those actions which track owners specify in their which track owners are required to CWR plans to address conditions of ac- take as a result of requirements of this tual or potential joint failure, includ- part to address a non-compliant condi- ing, as applicable, repair, restrictions tion. on operations, and additional on-foot Tight/kinky rail means CWR which ex- inspections. hibits minute alinement irregularities CWR joint means any joint directly which indicate that the rail is in a con- connected to CWR. siderable amount of compression. Tourist, scenic, historic, or excursion Desired rail installation temperature operations mean railroad operations range means the rail temperature that carry passengers with the convey- range, within a specific geographical ance of the passengers to a particular area, at which forces in CWR should destination not being the principal pur- not cause a buckling incident in ex- pose. treme heat, or a pull apart during ex- Track lateral resistance means the re- treme cold weather. sistance provided by the rail/crosstie Disturbed track means the disturbance structure against lateral displacement. of the roadbed or ballast section, as a Track longitudinal resistance means result of track maintenance or any the resistance provided by the rail another event, which reduces the lateral chors/rail fasteners and the ballast sec- or longitudinal resistance of the track, tion to the rail/crosstie structure or both. against longitudinal displacement. Mechanical stabilization means a type Train-induced forces means the of procedure used to restore track re- vertical, longitudinal, and lateral dy- sistance to disturbed track following namic forces which are generated dur- certain maintenance operations. This ing train movement and which can con- procedure may incorporate dynamic tribute to the buckling potential of the track stabilizers or ballast rail. consolidators, which are units of work Unscheduled detour operation means a equipment that are used as a sub- short-term, unscheduled operation stitute for the stabilization action pro- where a track owner has no more than vided by the passage of tonnage trains. 14 calendar days’ notice that the oper- Pull apart or stripped joint means a ation is going to occur. condition when no bolts are mounted [74 FR 43002, Aug. 25, 2009, as amended at 74 through a joint on the rail end, rending FR 53889, Oct. 21, 2009; 75 FR 4705, Jan. 29, the joint bar ineffective due to exces- 2010; 79 FR 4258, Jan. 24, 2014] sive expansive or contractive forces. Pull-apart prone condition means a § 213.121 Rail joints. condition when the actual rail tem- (a) Each rail joint, insulated joint, perature is below the rail neutral tem- and compromise joint shall be of a perature at or near a joint where longi- structurally sound design and dimen- tudinal tensile forces may affect the sions for the rail on which it is applied. fastenings at the joint. (b) If a joint bar on Classes 3 through Rail anchors mean those devices 5 track is cracked, broken, or because which are attached to the rail and bear of wear allows excessive vertical move- against the side of the crosstie to con- ment of either rail when all bolts are trol longitudinal rail movement. Cer- tight, it shall be replaced. tain types of rail fasteners also act as (c) If a joint bar is cracked or broken rail anchors and control longitudinal between the middle two bolt holes it rail movement by exerting a downward shall be replaced. clamping force on the upper surface of (d) In the case of conventional joint- the rail base. ed track, each rail shall be bolted with

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at least two bolts at each joint in passenger trains operate, shall be re- Classes 2 through 5 track, and with at moved within 30 days of discovery. least one bolt in Class 1 track. Train speed over that rail end shall not (e) In the case of continuous welded exceed the maximum allowable for rail track, each rail shall be bolted Class 2 track until removed. with at least two bolts at each joint. (f) Each joint bar shall be held in po- § 213.123 Tie plates. sition by track bolts tightened to allow (a) In Classes 3 through 5 track where the joint bar to firmly support the timber crossties are in use there shall abutting rail ends and to allow longitu- be tie plates under the running rails on dinal movement of the rail in the joint at least eight of any 10 consecutive to accommodate expansion and con- ties. traction due to temperature variations. (b) In Classes 3 through 5 track no When no-slip, joint-to-rail contact ex- metal object which causes a con- ists by design, the requirements of this centrated load by solely supporting a paragraph do not apply. Those loca- rail shall be allowed between the base tions when over 400 feet in length, are of the rail and the bearing surface of considered to be continuous welded rail the tie plate. This paragraph (b) is ap- track and shall meet all the requirements for continuous welded rail track plicable September 21, 1999.) prescribed in this part. § 213.127 Rail fastening systems. (g) No rail shall have a bolt hole which is torch cut or burned in Classes (a) Track shall be fastened by a sys- 2 through 5 track. For Class 2 track, tem of components that effectively this paragraph (g) is applicable Sep- maintains gage within the limits pre- tember 21, 1999. scribed in § 213.53(b). Each component (h) No joint bar shall be reconfigured of each such system shall be evaluated by torch cutting in Classes 3 through 5 to determine whether gage is effec- track. tively being maintained. (b) If rail anchors are applied to con- § 213.122 Torch cut rail. crete crossties, the combination of the (a) Except as a temporary repair in crossties, fasteners, and rail anchors emergency situations no rail having a must provide effective longitudinal re- torch cut end shall be used in Classes 3 straint. through 5 track. When a rail end is (c) Where fastener placement im- torch cut in emergency situations, pedes insulated joints from performing train speed over that rail end shall not as intended, the fastener may be modi- exceed the maximum allowable for fied or removed, provided that the Class 2 track. For existing torch cut crosstie supports the rail. rail ends in Classes 3 through 5 track the following shall apply— [76 FR 18086, Apr. 1, 2011] (1) Within one year of September 21, 1998, all torch cut rail ends in Class 5 § 213.133 Turnouts and track crossings generally. track shall be removed; (2) Within two years of September 21, (a) In turnouts and track crossings, 1998, all torch cut rail ends in Class 4 the fastenings shall be intact and track shall be removed; and maintained so as to keep the compo- (3) Within one year of September 21, nents securely in place. Also, each 1998, all torch cut rail ends in Class 3 switch, frog, and guard rail shall be track over which regularly scheduled kept free of obstructions that may passenger trains operate, shall be interfere with the passage of wheels. inventoried by the track owner. (b) Classes 3 through 5 track shall be (b) Following the expiration of the equipped with rail anchoring through time limits specified in paragraphs and on each side of track crossings and (a)(1), (2), and (3) of this section, any turnouts, to restrain rail movement af- torch cut rail end not removed from fecting the position of switch points Classes 4 and 5 track, or any torch cut and frogs. For Class 3 track, this para- rail end not inventoried in Class 3 graph (b) is applicable September 21, track over which regularly scheduled 1999.)

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(c) Each flangeway at turnouts and § 213.137 Frogs. track crossings shall be at least 11⁄2 (a) The flangeway depth measured inches wide. from a plane across the wheel-bearing § 213.135 Switches. area of a frog on Class 1 track shall not be less than 13⁄8 inches, or less than 11⁄2 (a) Each stock rail must be securely inches on Classes 2 through 5 track. seated in switch plates, but care shall (b) If a frog point is chipped, broken, be used to avoid canting the rail by or worn more than five-eighths inch overtightening the rail braces. down and 6 inches back, operating (b) Each switch point shall fit its speed over the frog shall not be more stock rail properly, with the switch than 10 m.p.h. stand in either of its closed positions (c) If the tread portion of a frog cast- to allow wheels to pass the switch ing is worn down more than three- point. Lateral and vertical movement eighths inch below the original con- of a stock rail in the switch plates or of tour, operating speed over that frog a switch plate on a tie shall not ad- shall not be more than 10 m.p.h. versely affect the fit of the switch (d) Where frogs are designed as point to the stock rail. Broken or flange-bearing, flangeway depth may cracked switch point rails will be sub- be less than that shown for Class 1 if ject to the requirements of § 213.113, ex- operated at Class 1 speeds. cept that where remedial actions C, D, or E require the use of joint bars, and § 213.139 Spring rail frogs. joint bars cannot be placed due to the (a) The outer edge of a wheel tread physical configuration of the switch, shall not contact the gage side of a remedial action B will govern, taking spring wing rail. into account any added safety provided (b) The toe of each wing rail shall be by the presence of reinforcing bars on solidly tamped and fully and tightly the switch points. bolted. (c) Each switch shall be maintained (c) Each frog with a bolt hole defect so that the outer edge of the wheel or head-web separation shall be re- tread cannot contact the gage side of placed. the stock rail. (d) Each spring shall have compres- (d) The heel of each switch rail shall sion sufficient to hold the wing rail be secure and the bolts in each heel against the point rail. shall be kept tight. (e) The clearance between the (e) Each switch stand and connecting holddown housing and the horn shall rod shall be securely fastened and oper- not be more than one-fourth of an inch. able without excessive lost motion. (f) Each throw lever shall be main- § 213.141 Self-guarded frogs. tained so that it cannot be operated (a) The raised guard on a self-guarded with the lock or keeper in place. frog shall not be worn more than three- (g) Each switch position indicator eighths of an inch. shall be clearly visible at all times. (b) If repairs are made to a self- (h) Unusually chipped or worn switch guarded frog without removing it from points shall be repaired or replaced. service, the guarding face shall be re- Metal flow shall be removed to insure stored before rebuilding the point. proper closure. (i) Tongue & Plain Mate switches, § 213.143 Frog guard rails and guard which by design exceed Class 1 and ex- faces; gage. cepted track maximum gage limits, are The guard check and guard face permitted in Class 1 and excepted gages in frogs shall be within the lim- track. its prescribed in the following table—

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

Class 1 track ...... 4′61⁄8″ ...... 4′ 51⁄4″ Class 2 track ...... 4′61⁄4″ ...... 4′ 51⁄8″ Class 3 and 4 track ...... 4′ 63⁄8″ ...... 4′51⁄8″ Class 5 track ...... 4′61⁄2″ ...... 4′ 5″ 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 gage line. 2 A line 5⁄8 inch 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.

Subpart E—Track Appliances and (d) Each derail shall be properly in- Track-Related Devices stalled for the rail to which it is applied. (This paragraph (d) is applicable § 213.201 Scope. September 21, 1999.) This subpart prescribes minimum requirements for certain track appli- Subpart F—Inspection ances and track-related devices. § 213.231 Scope. § 213.205 Derails. This subpart prescribes requirements (a) Each derail shall be clearly visi- for the frequency and manner of in- ble. specting track to detect deviations (b) When in a locked position, a de- from the standards prescribed in this rail shall be free of lost motion which part. would prevent it from performing its intended function. § 213.233 Track inspections. (c) Each derail shall be maintained to (a) All track shall be inspected in ac- function as intended. cordance with the schedule prescribed

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in paragraph (c) of this section by a (2) Two inspectors in one vehicle may person designated under § 213.7. inspect up to four tracks at a time pro- (b) Each inspection shall be made on vided that the inspectors’ visibility re- foot or by riding over the track in a ve- mains unobstructed by any cause and hicle at a speed that allows the person that each track being inspected is cen- making the inspection to visually in- tered within 39 feet from the track spect the track structure for compli- upon which the inspectors are riding; ance with this part. However, mechan- (3) Each main track is actually tra- ical, electrical, and other track inspec- versed by the vehicle or inspected on tion devices may be used to supplement visual inspection. If a vehicle is used foot at least once every two weeks, and for visual inspection, the speed of the each siding is actually traversed by the vehicle may not be more than 5 miles vehicle or inspected on foot at least per hour when passing over track once every month. On high density crossings and turnouts, otherwise, the commuter railroad lines where track inspection vehicle speed shall be at the time does not permit an on track vehi- sole discretion of the inspector, based cle inspection, and where track centers on track conditions and inspection re- are 15 foot or less, the requirements of quirements. When riding over the track this paragraph (b)(3) will not apply; in a vehicle, the inspection will be sub- and ject to the following conditions— (4) Track inspection records shall in- (1) One inspector in a vehicle may indicate which track(s) are traversed by spect up to two tracks at one time pro- the vehicle or inspected on foot as out- vided that the inspector’s visibility re- lined in paragraph (b)(3) of this section. mains unobstructed by any cause and (c) Each track inspection shall be that the second track is not centered made in accordance with the following more than 30 feet from the track upon schedule— which the inspector is riding;

Class of track Type of track Required frequency

Excepted track and Class 1, 2, and 3 Main track and sidings ...... Weekly with at least 3 calendar days in- track. terval between inspections, or before use, if the track is used less than once a week, or twice weekly with at least 1 calendar day interval between inspections, if the track carries passenger trains or more than 10 million gross tons of traffic during the preceding calendar year. Excepted track and Class 1, 2, and 3 Other than main track and sidings ...... Monthly with at least 20 calendar days track. interval between inspections. Class 4 and 5 track ...... Twice weekly with at least 1 calendar day interval between inspections.

(d) If the person making the inspec- cable on and after July 1, 2012. In addition finds a deviation from the require- tion to the track inspection required ments of this part, the inspector shall under § 213.233, for Class 3 main track immediately initiate remedial action. constructed with concrete crossties over which regularly scheduled pas- NOTE TO § 213.233: Except as provided in paragraph (b) of this section, no part of this senger service trains operate, and for section will in any way be construed to limit Class 4 and 5 main track constructed the inspector’s discretion as it involves in- with concrete crossties, automated inspection speed and sight distance. spection technology shall be used as indicated in paragraph (b) of this section, § 213.234 Automated inspection of as a supplement to visual inspection, track constructed with concrete by Class I railroads (including Am- crossties. trak), Class II railroads, other inter- (a) General. Except for track de- city passenger railroads, and commuter scribed in paragraph (c) of this section, railroads or small governmental juris- the provisions in this section are appli- dictions that serve populations greater

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than 50,000. Automated inspection shall accurately represent rail seat deterio- identify and report exceptions to condi- ration. tions described in § 213.109(d)(4). (e) Exception reports to be produced by (b) Frequency of automated inspections. system; duty to field-verify exceptions. Automated inspections shall be con- The automated inspection measure- ducted at the following frequencies: ment system shall produce an excep- (1) If annual tonnage on Class 4 and 5 tion report containing a systematic main track and Class 3 main track listing of all exceptions to with regularly scheduled passenger § 213.109(d)(4), identified so that an ap- service, exceeds 40 million gross tons propriate person(s) designated as fully (mgt) annually, at least twice each cal- qualified under § 213.7 can field-verify endar year, with no less than 160 days each exception. between inspections. (1) Exception reports must be pro- (2) If annual tonnage on Class 4 and 5 vided to or be made available to all main track and Class 3 main track persons designated as fully qualified with regularly scheduled passenger under § 213.7 and whose territories are service is equal to or less than 40 mgt subject to the requirements of § 213.234. annually, at least once each calendar (2) Each exception must be located year. and field-verified no later than 48 hours (3) On Class 3, 4, and 5 main track after the automated inspection. with exclusively passenger service, ei- (3) All field-verified exceptions are ther an automated inspection or walk- subject to all the requirements of this ing inspection must be conducted once part. per calendar year. (4) Exception reports must note areas (4) Track not inspected in accordance identified between 3⁄8 of an inch and 1⁄2 with paragraph (b)(1) or (b)(2) of this of an inch as an ‘‘alert.’’ section because of train operation (f) Recordkeeping requirements. The interruption shall be reinspected with- track owner shall maintain and make in 45 days of the resumption of train available to FRA a record of the in- operations by a walking or automated spection data and the exception record inspection. If this inspection is con- for the track inspected in accordance ducted as a walking inspection, the with this paragraph for a minimum of next inspection shall be an automated two years. The exception reports must inspection as prescribed in this para- include the following: graph. (1) Date and location of limits of the (c) Nonapplication. Sections of tan- inspection; gent track 600 feet or less constructed (2) Type and location of each excep- of concrete crossties, including, but tion; not limited to, isolated track seg- (3) Results of field verification; and ments, experimental or test track seg- (4) Remedial action if required. ments, highway-rail crossings, and (g) Procedures for integrity of data. The wayside detectors, are excluded from track owner shall institute the nec- the requirements of this section. essary procedures for maintaining the (d) Performance standard for automated integrity of the data collected by the inspection measurement system. The measurement system. At a minimum, automated inspection measurement the track owner shall do the following: system must be capable of indicating (1) Maintain and make available to and processing rail seat deterioration FRA documented calibration proce- requirements that specify the fol- dures of the measurement system that, lowing: at a minimum, specify an instrument (1) An accuracy, to within 1⁄8 of an verification procedure that ensures inch; correlation between measurements (2) A distance-based sampling inter- made on the ground and those recorded val, which shall not exceed five feet; by the instrumentation; and and (2) Maintain each instrument used (3) Calibration procedures and param- for determining compliance with this eters assigned to the system, which as- section such that it accurately pro- sure that indicated and recorded values vides an indication of the depth of rail

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seat deterioration in accordance with considered relayed rail. The service paragraph (d)(1) of this section. failure rates shall not exceed— (h) Training. The track owner shall (1) 0.1 service failure per year per provide annual training in handling mile of track for all Class 4 and 5 rail seat deterioration exceptions to all track; persons designated as fully qualified (2) 0.09 service failure per year per under § 213.7 and whose territories are mile of track for all Class 3, 4, and 5 subject to the requirements of § 213.234. track that carries regularly-scheduled At a minimum, the training shall ad- passenger trains or is a hazardous ma- dress the following: terials route; and (1) Interpretation and handling of the (3) 0.08 service failure per year per exception reports generated by the mile of track for all Class 3, 4, and 5 automated inspection measurement track that carries regularly-scheduled system; passenger trains and is a hazardous (2) Locating and verifying exceptions materials route. in the field and required remedial ac- (b) Each rail inspection segment tion; and shall be designated by the track owner (3) Recordkeeping requirements. no later than March 25, 2014 for track [76 FR 18086, Apr. 1, 2011, as amended at 76 that is Class 4 or 5 track, or Class 3 FR 55825, Sept. 9, 2011] track that carries regularly-scheduled passenger trains or is a hazardous ma- § 213.235 Inspection of switches, track terials route and is used to determine crossings, and lift rail assemblies or the milepost limits for the individual other transition devices on move- rail inspection frequency. able bridges. (1) To change the designation of a (a) Except as provided in paragraph rail inspection segment or to establish (c) of this section, each switch, turn- a new segment pursuant to this sec- out, track crossing, and moveable tion, a track owner must submit a de- bridge lift rail assembly or other tran- tailed request to the FRA Associate sition device shall be inspected on foot Administrator for Railroad Safety/ at least monthly. Chief Safety Officer (Associate Admin- (b) Each switch in Classes 3 through istrator). Within 30 days of receipt of 5 track that is held in position only by the submission, FRA will review the the operating mechanism and one con- request. FRA will approve, disapprove, necting rod shall be operated to all of or conditionally approve the submitted its positions during one inspection in request, and will provide written notice every 3 month period. of its determination. (c) In the case of track that is used (2) The track owner’s existing des- less than once a month, each switch, ignation shall remain in effect until turnout, track crossing, and moveable the track owner’s new designation is bridge lift rail assembly or other tran- approved or conditionally approved by sition device shall be inspected on foot FRA. before it is used. (3) The track owner shall, upon receipt of FRA’s approval or conditional § 213.237 Inspection of rail. approval, establish the designation’s (a) In addition to the inspections re- effective date. The track owner shall quired by § 213.233, each track owner advise in writing FRA and all affected shall conduct internal rail inspections railroad employees of the effective sufficient to maintain service failure date. rates per rail inspection segment in ac- (c) Internal rail inspections on Class cordance with this paragraph (a) for a 4 and 5 track, or Class 3 track with reg- 12-month period, as determined by the ularly-scheduled passenger trains or track owner and calculated within 45 that is a hazardous materials route, days of the end of the period. These shall not exceed a time interval of 370 rates shall not include service failures days between inspections or a tonnage that occur in rail that has been re- interval of 30 million gross tons (mgt) placed through rail relay since the between inspections, whichever is time of the service failure. Rail used to shorter. Internal rail inspections on repair a service failure defect is not Class 3 track that is without regularly-

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scheduled passenger trains and not a (e) Each defective rail shall be hazardous materials route must be in- marked with a highly visible marking spected at least once each calendar on both sides of the web and base ex- year, with no more than 18 months be- cept that, where a side or sides of the tween inspections, or at least once web and base are inaccessible because every 30 mgt, whichever interval is of permanent features, the highly visi- longer, but in no case may inspections ble marking may be placed on or next be more than 5 years apart. to the head of the rail. (1) Any rail used as a replacement (f) Inspection equipment shall be ca- plug rail in track that is required to be pable of detecting defects between tested in accordance with this section joint bars, in the area enclosed by joint must have been tested for internal rail bars. flaws. (g) If the person assigned to operate (2) The track owner must verify that the rail defect detection equipment any plug rail installed after March 25, (i.e., the qualified operator) determines 2014 has not accumulated more than a that a valid search for internal defects total of 30 mgt in previous and new lo- could not be made over a particular cations since its last internal rail flaw length of track, that particular length test, before the next test on the rail re- of track may not be considered as in- quired by this section is performed. ternally inspected under paragraphs (a) (3) If plug rail not in compliance with and (c) of this section. this paragraph (c) is in use after March 25, 2014, trains over that rail must not (h) If a valid search for internal de- exceed Class 2 speeds until the rail is fects could not be conducted, the track tested in accordance with this section. owner shall, before expiration of the (d) If the service failure rate target time or tonnage limits in paragraph (a) identified in paragraph (a) of this sec- or (c) of this section— tion is not achieved, the track owner (1) Conduct a valid search for inter- must inform FRA of this fact within 45 nal defects; days of the end of the defined 12-month (2) Reduce operating speed to a max- period in which the performance target imum of 25 m.p.h. until such time as a is exceeded. In addition, the track valid search can be made; or owner may provide to FRA an expla- (3) Replace the rail that had not been nation as to why the performance tar- inspected. get was not achieved and provide a re- (i) The person assigned to operate the medial action plan. rail defect detection equipment must (1) If the performance target rate is be a qualified operator as defined in not met for two consecutive years, § 213.238 and have demonstrated pro- then for the area where the greatest ficiency in the rail flaw detection proc- number of service failures is occurring, ess for each type of equipment the op- either: erator is assigned. (i) The inspection tonnage interval (j) As used in this section— between tests must be reduced to 10 (1) Hazardous materials route means mgt; or track over which a minimum of 10,000 (ii) The class of track must be re- car loads or intermodal portable tank duced to Class 2 until the target serv- car loads of hazardous materials as de- ice failure rate is achieved. fined in 49 CFR 171.8 travel over a pe- (2) In cases where a single service riod of one calendar year; or track over failure would cause the rate to exceed which a minimum of 4,000 car loads or the applicable service failure rate as intermodal portable tank car loads of designated in paragraph (a) of this section, the service failure rate will be the hazardous materials specified in 49 considered to comply with paragraph CFR 172.820 travel, in a period of one (a) of this section unless a second such calendar year. failure occurs within a designated 12- (2) Plug rail means a length of rail month period. For the purposes of this that has been removed from one track paragraph (d)(2), a period begins no ear- location and stored for future use as a lier than January 24, 2014. replacement rail at another location.

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(3) Service failure means a broken rail qualification and authorization by the occurrence, the cause of which is deter- employer for each type of equipment. mined to be a compound fissure, trans- (d) Each employer shall reevaluate verse fissure, detail fracture, or the qualifications of, and administer vertical split head. any necessary recurrent training for, (4) Valid search means a continuous the operator as determined by and in inspection for internal rail defects accordance with the employer’s docu- where the equipment performs as in- mented program. The reevaluation tended and equipment responses are in- process shall require that the employee terpreted by a qualified operator as de- successfully complete a recorded exam- fined in § 213.238. ination and demonstrate proficiency to the employer on the specific equipment [79 FR 4258, Jan. 24, 2014] type(s) to be operated. Proficiency may be determined by a periodic review of § 213.238 Qualified operator. test data submitted by the operator. (a) Each provider of rail flaw detec- (e) Each employer of a qualified oper- tion shall have a documented training ator shall maintain written or elec- program in place and shall identify the tronic records of each qualification in types of rail flaw detection equipment effect. Each record shall include the for which each equipment operator it name of the employee, the equipment employs has received training and is to which the qualification applies, date qualified. A provider of rail flaw detec- of qualification, and date of the most tion may be the track owner. A track recent reevaluation, if any. owner shall not utilize a provider of (f) Any employee who has dem- rail flaw detection that fails to comply onstrated proficiency in the operation with the requirements of this para- of rail flaw detection equipment prior graph. to January 24, 2014, is deemed a quali- (b) A qualified operator shall be fied operator, regardless of the pre- trained and have written authorization vious training program under which from his or her employer to: the employee was qualified. Such an (1) Conduct a valid search for inter- operator shall be subject to paragraph nal rail defects utilizing the specific (d) of this section. type(s) of equipment for which he or (g) Records concerning the qualifica- she is authorized and qualified to oper- tion of operators, including copies of ate; equipment-specific training programs (2) Determine that such equipment is and materials, recorded examinations, performing as intended; demonstrated proficiency records, and (3) Interpret equipment responses and authorization records, shall be kept at institute appropriate action in accord- a location designated by the employer ance with the employer’s procedures and available for inspection and copy- and instructions; and ing by FRA during regular business hours. (4) Determine that each valid search for an internal rail defect is continuous [79 FR 4259, Jan. 24, 2014] throughout the area inspected and has not been compromised due to environ- § 213.239 Special inspections. mental contamination, rail conditions, In the event of fire, flood, severe or equipment malfunction. storm, or other occurrence which (c) To be qualified, the operator must might have damaged track structure, a have received training in accordance special inspection shall be made of the with the documented training program track involved as soon as possible after and a minimum of 160 hours of rail flaw the occurrence and, if possible, before detection experience under direct su- the operation of any train over that pervision of a qualified operator or rail track. flaw detection equipment manufacturer’s representative, or some combina- § 213.241 Inspection records. tion of both. The operator must dem- (a) Each owner of track to which this onstrate proficiency in the rail defect part applies shall keep a record of each detection process, including the equip- inspection required to be performed on ment to be utilized, prior to initial that track under this subpart.

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(b) Each record of an inspection mission, storage, and retrieval pro- under §§ 213.4, 213.119, 213.233, and 213.235 vided that— shall be prepared on the day the inspec- (1) The electronic system is designed tion is made and signed by the person so that the integrity of each record is making the inspection. Records shall maintained through appropriate levels specify the track inspected, date of in- of security such as recognition of an spection, location and nature of any electronic signature, or another means, deviation from the requirements of this which uniquely identifies the initiating part, and the remedial action taken by person as the author of that record. No the person making the inspection. The two persons shall have the same elec- owner shall designate the location(s) tronic identity; where each original record shall be maintained for at least one year after (2) The electronic storage of each the inspection covered by the record. record shall be initiated by the person The owner shall also designate one lo- making the inspection within 24 hours cation, within 100 miles of each state in following the completion of that in- which they conduct operations, where spection; copies of records which apply to those (3) The electronic system shall en- operations are either maintained or sure that each record cannot be modi- can be viewed following 10 days notice fied in any way, or replaced, once the by the Federal Railroad Administra- record is transmitted and stored; tion. (4) Any amendment to a record shall (c) Records of internal rail inspec- be electronically stored apart from the tions required by § 213.237 shall specify record which it amends. Each amend- the— ment to a record shall be uniquely (1) Date of inspection; identified as to the person making the (2) Track inspected, including begin- amendment; ning and end points; (5) The electronic system shall pro- (3) Location and type of defects found vide for the maintenance of inspection under § 213.113; records as originally submitted with- (4) Size of defects found under out corruption or loss of data; § 213.113, if not removed prior to the next train movement; (6) Paper copies of electronic records (5) Initial remedial action taken and and amendments to those records that the date thereof; and may be necessary to document compli- (6) Location of any track not tested ance with this part shall be made avail- pursuant to § 213.237(g). able for inspection and copying by FRA (d) The track owner shall retain a at the locations specified in paragraph rail inspection record under paragraph (b) of this section; and (c) of this section for at least two years (7) Track inspection records shall be after the inspection and for one year kept available to persons who per- after initial remedial action is taken. formed the inspections and to persons (e) The track owner shall maintain performing subsequent inspections. records sufficient to demonstrate the means by which it computes the serv- [63 FR 34029, June 22, 1998, as amended at 70 ice failure rate on all track segments FR 66298, Nov. 2, 2005; 79 FR 4259, Jan. 24, 2014] subject to the requirements of § 213.237(a) for the purpose of determining compliance with the applicable Subpart G—Train Operations at service failure rate target. Track Classes 6 and Higher (f) Each track owner required to keep inspection records under this section § 213.301 Scope of subpart. shall make those records available for This subpart applies to all track used inspection and copying by FRA upon for the operation of trains at a speed request. greater than 90 m.p.h. for passenger (g) For purposes of complying with equipment and greater than 80 m.p.h. the requirements of this section, a for freight equipment. track owner may maintain and transfer records through electronic trans-

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§ 213.303 Responsibility for compli- employee of a contractor who is not a ance. railroad employee, designated to: (a) Any owner of track to which this (a) Supervise restorations and renew- subpart applies who knows or has no- als of track shall meet the following tice that the track does not comply minimum requirements: with the requirements of this subpart, (1) At least; shall— (i) Five years of responsible super- (1) Bring the track into compliance; visory experience in railroad track or maintenance in track Class 4 or higher (2) Halt operations over that track. and the successful completion of a (b) If an owner of track to which this course offered by the employer or by a subpart applies assigns responsibility college level engineering program, sup- for the track to another person (by plemented by special on the job train- lease or otherwise), notification of the ing emphasizing the techniques to be assignment shall be provided to the ap- employed in the supervision, restora- propriate FRA Regional Office at least tion, and renewal of high speed track; 30 days in advance of the assignment. or The notification may be made by any (ii) A combination of at least one party to that assignment, but shall be year of responsible supervisory experi- in writing and include the following— ence in track maintenance in Class 4 or (1) The name and address of the track higher and the successful completion of owner; a minimum of 80 hours of specialized (2) The name and address of the per- training in the maintenance of high son to whom responsibility is assigned speed track provided by the employer (assignee); or by a college level engineering pro- (3) A statement of the exact relation- gram, supplemented by special on the ship between the track owner and the job training provided by the employer assignee; with emphasis on the maintenance of (4) A precise identification of the high speed track; or track; (iii) A combination of at least two (5) A statement as to the competence years of experience in track mainte- and ability of the assignee to carry out nance in track Class 4 or higher and the duties of the track owner under the successful completion of a min- this subpart; imum of 120 hours of specialized train- (6) A statement signed by the as- ing in the maintenance of high speed signee acknowledging the assignment track provided by the employer or by a to that person of responsibility for pur- college level engineering program sup- poses of compliance with this subpart. plemented by special on the job train- (c) The Administrator may hold the ing provided by the employer with em- track owner or the assignee or both re- phasis on the maintenance of high sponsible for compliance with this sub- speed track. part and subject to the penalties under § 213.15. (2) Demonstrate to the track owner (d) When any person, including a con- that the individual: tractor for a railroad or track owner, (i) Knows and understands the re- performs any function required by this quirements of this subpart that apply part, that person is required to perform to the restoration and renewal of the that function in accordance with this track for which he or she is respon- part. sible; (ii) Can detect deviations from those § 213.305 Designation of qualified indi- requirements; and viduals; general qualifications. (iii) Can prescribe appropriate reme- Each track owner to which this sub- dial action to correct or safely com- part applies shall designate qualified pensate for those deviations; and individuals responsible for the mainte- (3) Be authorized in writing by the nance and inspection of track in com- track owner to prescribe remedial ac- pliance with the safety requirements tions to correct or safely compensate prescribed in this subpart. Each indi- for deviations from the requirements of vidual, including a contractor or an this subpart and successful completion

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of a recorded examination on this sub- that inspect continuous welded rail part as part of the qualification proc- (CWR) track or supervise the installa- ess. tion, adjustment, and maintenance of (b) Inspect track for defects shall CWR in accordance with the written meet the following minimum qualifica- procedures established by the track tions: owner shall have: (1) At least: (1) Current qualifications under ei- (i) Five years of responsible experi- ther paragraph (a) or (b) of this sec- ence inspecting track in Class 4 or tion; above and the successful completion of (2) Successfully completed a training a course offered by the employer or by course of at least eight hours duration a college level engineering program, specifically developed for the applica- supplemented by special on the job tion of written CWR procedures issued training emphasizing the techniques to by the track owner; and be employed in the inspection of high (3) Demonstrated to the track owner speed track; or that the individual: (ii) A combination of at least one (i) Knows and understands the re- year of responsible experience in track quirements of those written CWR pro- inspection in Class 4 or above and the cedures; successful completion of a minimum of 80 hours of specialized training in the (ii) Can detect deviations from those inspection of high speed track provided requirements; and by the employer or by a college level (iii) Can prescribe appropriate reme- engineering program, supplemented by dial action to correct or safely com- special on the job training provided by pensate for those deviations; and the employer with emphasis on the in- (4) Written authorization from the spection of high speed track; or track owner to prescribe remedial ac- (iii) A combination of at least two tions to correct or safely compensate years of experience in track mainte- for deviations from the requirements in nance in Class 4 or above and the suc- those procedures and successful com- cessful completion of a minimum of 120 pletion of a recorded examination on hours of specialized training in the in- those procedures as part of the quali- spection of high speed track provided fication process. The recorded exam- by the employer or from a college level ination may be written, or it may be a engineering program, supplemented by computer file with the results of an special on the job training provided by interactive training course. the employer with emphasis on the in- (d) Persons not fully qualified to su- spection of high speed track. pervise certain renewals and inspect (2) Demonstrate to the track owner track as outlined in paragraphs (a), (b) that the individual: and (c) of this section, but with at least (i) Knows and understands the re- one year of maintenance of way or sig- quirements of this subpart that apply nal experience, may pass trains over to the inspection of the track for which broken rails and pull aparts provided he or she is responsible. that— (ii) Can detect deviations from those (1) The track owner determines the requirements; and person to be qualified and, as part of (iii) Can prescribe appropriate reme- doing so, trains, examines, and re-ex- dial action to correct or safely com- amines the person periodically within pensate for those deviations; and two years after each prior examination (3) Be authorized in writing by the on the following topics as they relate track owner to prescribe remedial ac- to the safe passage of trains over bro- tions to correct or safely compensate ken rails or pull aparts: rail defect for deviations from the requirements in identification, crosstie condition, this subpart and successful completion track surface and alinement, gage re- of a recorded examination on this sub- straint, rail end mismatch, joint bars, part as part of the qualification proc- and maximum distance between rail ess. ends over which trains may be allowed (c) Individuals designated under to pass. The sole purpose of the exam- paragraphs (a) or (b) of this section ination is to ascertain the person’s

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ability to effectively apply these re- The maximum al- quirements and the examination may lowable Over track that meets all of the require- operating not be used to disqualify the person ments prescribed in this subpart for— speed for from other duties. A minimum of four trains is 1 hours training is adequate for initial Class 9 track ...... 220 m.p.h.2 training; 1 Freight may be transported at passenger train speeds if (2) The person deems it safe, and the following conditions are met: (1) The vehicles utilized to carry such freight are of equal train speeds are limited to a maximum dynamic performance and have been qualified in accordance of 10 m.p.h. over the broken rail or pull with § 213.329 and § 213.345. (2) The load distribution and securement in the freight vehi- apart; cle will not adversely affect the dynamic performance of the (3) The person shall watch all move- vehicle. The axle loading pattern is uniform and does not exceed the passenger locomotive axle loadings utilized in pas- ments over the broken rail or pull senger service, if any, operating at the same maximum apart and be prepared to stop the train speed. (3) No carrier may accept or transport a hazardous mate- if necessary; and rial, as defined at 49 CFR 171.8, except as provided in Col- umn 9A of the Hazardous Materials Table (49 CFR 172.101) (4) Person(s) fully qualified under for movement in the same train as a passenger-carrying vehi- § 213.305 of this subpart are notified and cle or in Column 9B of the Table for movement in a train with no passenger-carrying vehicles. dispatched to the location as soon as 2 Operating speeds in excess of 125 m.p.h. are authorized practicable for the purpose of author- by this part only in conjunction with FRA regulatory approval addressing other safety issues presented by the railroad sys- izing movements and effectuating tem- tem. For operations on a dedicated right-of-way, FRA’s regu- porary or permanent repairs. latory approval may allow for the use of inspection and maintenance criteria and procedures in the alternative to those (e) With respect to designations contained in this subpart, based upon a showing that at least under paragraphs (a), (b), (c) and (d) of an equivalent level of safety is provided. this section, each track owner shall (b) If a segment of track does not maintain written records of: meet all of the requirements for its in- (1) Each designation in effect; tended class, it is to be reclassified to (2) The basis for each designation, in- the next lower class of track for which cluding but not limited to: it does meet all of the requirements of (i) The exact nature of any training this subpart. If a segment does not courses attended and the dates thereof; meet all of the requirements for Class (ii) The manner in which the track 6, the requirements for Classes 1 owner has determined a successful through 5 apply. completion of that training course, in- [63 FR 34029, June 22, 1998, as amended at 78 cluding test scores or other qualifying FR 16104, Mar. 13, 2013] results; (3) Track inspections made by each § 213.309 Restoration or renewal of individual as required by § 213.369. track under traffic conditions. These records shall be made available (a) Restoration or renewal of track for inspection and copying by the Fed- under traffic conditions is limited to eral Railroad Administration during the replacement of worn, broken, or regular business hours. missing components or fastenings that [63 FR 34029, June 22, 1998; 63 FR 45959, Aug. do not affect the safe passage of trains. 28, 1998, as amended at 78 FR 16103, Mar. 13, (b) The following activities are ex- 2013] pressly prohibited under traffic conditions: § 213.307 Classes of track: operating (1) Any work that interrupts rail con- speed limits. tinuity, e.g., as in joint bar replace- (a) Except as provided in paragraph ment or rail replacement; (b) of this section and as otherwise pro- (2) Any work that adversely affects vided in this subpart G, the following the lateral or vertical stability of the maximum allowable speeds apply: track with the exception of spot tamp- ing an isolated condition where not The maximum al- more than 15 lineal feet of track are in- Over track that meets all of the require- lowable volved at any one time and the ambi- operating ments prescribed in this subpart for— speed for ent air temperature is not above 95 de- trains is 1 grees Fahrenheit; and Class 6 track ...... 110 m.p.h. (3) Removal and replacement of the Class 7 track ...... 125 m.p.h. rail fastenings on more than one tie at Class 8 track ...... 160 m.p.h.2 a time within 15 feet.

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§ 213.311 Measuring track not under lishes a notice containing the reasons load. for granting the waiver. When unloaded track is measured to § 213.319 Drainage. determine compliance with requirements of this subpart, evidence of rail Each drainage or other water car- movement, if any, that occurs while rying facility under or immediately ad- the track is loaded shall be added to jacent to the roadbed shall be main- the measurements of the unloaded tained and kept free of obstruction, to track. accommodate expected water flow for the area concerned. § 213.313 Application of requirements to curved track. § 213.321 Vegetation. Unless otherwise provided in this Vegetation on railroad property part, requirements specified for curved which is on or immediately adjacent to track apply only to track having a cur- roadbed shall be controlled so that it vature greater than 0.25 degree. does not— (a) Become a fire hazard to track-car- [78 FR 16104, Mar. 13, 2013] rying structures; (b) Obstruct visibility of railroad § 213.317 Waivers. signs and signals: (a) Any owner of track to which this (1) Along the right of way, and subpart applies may petition the Fed- (2) At highway-rail crossings; eral Railroad Administrator for a waiv- (c) Interfere with railroad employees er from any or all requirements pre- performing normal trackside duties; scribed in this subpart. (d) Prevent proper functioning of sig- (b) Each petition for a waiver under nal and communication lines; or this section shall be filed in the man- (e) Prevent railroad employees from ner and contain the information re- visually inspecting moving equipment quired by §§ 211.7 and 211.9 of this chap- from their normal duty stations. ter. (c) If the Administrator finds that a § 213.323 Track gage. waiver is in the public interest and is (a) Gage is measured between the consistent with railroad safety, the Ad- heads of the rails at right-angles to the ministrator may grant the waiver sub- rails in a plane five-eighths of an inch ject to any conditions the Adminis- below the top of the rail head. trator deems necessary. Where a waiv- (b) Gage shall be within the limits er is granted, the Administrator pub- prescribed in the following table:

The change of The gage gage within 31 Class of track must be at But not more feet must not least— than— be greater than—

Class 6 track ...... 4′8″ 4′91⁄4″ 3⁄4″ Class 7 track ...... 4′8″ 4′91⁄4″ 1⁄2″ Class 8 track ...... 4′8″ 4′91⁄4″ 1⁄2″ Class 9 track ...... 4′81⁄4″ 4′91⁄4″ 1⁄2″

[63 FR 34029, June 22, 1998, as amended at 78 Chord length Spacing FR 16104, Mar. 13, 2013] 31′ ...... 7′9″ § 213.327 Track alinement. 62′ ...... 15′6″ 124′ ...... 31′0″ (a) Uniformity at any point along the track is established by averaging the (b) Except as provided in paragraph measured mid-chord offset values for (c) of this section, a single alinement nine consecutive points that are cen- deviation from uniformity may not be tered around that point and spaced ac- more than the amount prescribed in cording to the following table: the following table:

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The deviation The deviation The deviation from uniformity of from uniformity of from uniformity of the mid-chord the mid-chord the mid-chord Class of track Tangent/ offset for a 31- offset for a 62- offset for a 124- Curved track foot chord may foot chord may foot chord may not be more not be more not be more than—(inches) than—(inches) than—(inches)

Class 6 track ...... Tangent ...... 1⁄2 3⁄4 11⁄2 Curved ...... 1⁄2 5⁄8 11⁄2 Class 7 track ...... Tangent ...... 1⁄2 3⁄4 11⁄4 Curved ...... 1⁄2 1⁄2 11⁄4 Class 8 track ...... Tangent ...... 1⁄2 3⁄4 1 Curved ...... 1⁄2 1⁄2 3⁄4 Class 9 track ...... Tangent ...... 1⁄2 1⁄2 3⁄4 Curved ...... 1⁄2 1⁄2 3⁄4

(c) For operations at a qualified cant formity of the outside rail of the curve deficiency, Eu, of more than 5 inches, a may not be more than the amount pre- single alinement deviation from uni- scribed in the following table:

The deviation The deviation The deviation from uniformity of from uniformity of from uniformity of the mid-chord the mid-chord the mid-chord Class of track Track type offset for a 31- offset for a 62- offset for a 124- foot chord may foot chord may foot chord may not be more not be more not be more than—(inches) than—(inches) than—(inches)

Class 6 track ...... Curved ...... 1⁄2 5⁄8 11⁄4 Class 7 track ...... Curved ...... 1⁄2 1⁄2 1 Class 8 track ...... Curved ...... 1⁄2 1⁄2 3⁄4 Class 9 track ...... Curved ...... 1⁄2 1⁄2 3⁄4

(d) For three or more non-overlap- limits in the following table, each ping deviations from uniformity in track owner shall maintain the aline- track alinement occurring within a dis- ment of the track within the limits tance equal to five times the specified prescribed for each deviation: chord length, each of which exceeds the

The deviation The deviation The deviation from uniformity of from uniformity of from uniformity of the mid-chord the mid-chord the mid-chord Class of track offset for a offset for a 62- offset for a 124- 31-foot chord foot chord may foot chord may may not be more not be more not be more than—(inches) than—(inches) than— (inches)

Class 6 track ...... 3⁄8 1⁄2 1 Class 7 track ...... 3⁄8 3⁄8 7⁄8 Class 8 track ...... 3⁄8 3⁄8 1⁄2 Class 9 track ...... 3⁄8 3⁄8 1⁄2

(e) For purposes of complying with § 213.329 Curves; elevation and speed this section, the ends of the chord shall limitations. be at points on the gage side of the (a) The maximum elevation of the rail, five-eighths of an inch below the outside rail of a curve may not be more top of the railhead. On tangent track, than 7 inches. The outside rail of a either rail may be used as the line rail; curve may not be lower than the inside however, the same rail shall be used for rail by design, except when engineered the full length of that tangential seg- to address specific track or operating ment of the track. On curved track, the conditions; the limits in § 213.331 apply line rail is the outside rail of the curve. in all cases. [78 FR 16104, Mar. 13, 2013] (b) The maximum allowable posted timetable operating speed for each

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curve is determined by the following formula:

Where— its static value on perfectly level

Vmax = Maximum allowable posted timetable track; and operating speed (m.p.h.). (ii) For passenger cars, the roll angle Ea = Actual elevation of the outside rail between the floor of the equipment and (inches).6 the horizontal does not exceed 8.6 de- 7 Eu = Qualified cant deficiency (inches) of grees; or the vehicle type. (2) When operating through a con- 8 D = Degree of curvature (degrees). stant radius curve at a constant speed (c) All vehicles are considered quali- corresponding to the proposed cant de- fied for operating on track with a cant ficiency, and a test plan is submitted and approved by FRA in accordance deficiency, Eu, not exceeding 3 inches. Table 1 of appendix A to this part is a with § 213.345(e) and (f): table of speeds computed in accordance (i) The steady-state (average) load on with the formula in paragraph (b) of any wheel, throughout the body of the this section, when Eu equals 3 inches, curve, is not less than 60 percent of its for various elevations and degrees of static value on perfectly level track; curvature. and (d) Each vehicle type must be ap- (ii) For passenger cars, the steady- proved by FRA to operate on track state (average) lateral acceleration measured on the floor of the carbody with a qualified cant deficiency, Eu, greater than 3 inches. Each vehicle does not exceed 0.15g. type must demonstrate, in a ready-for- (e) The track owner or railroad shall service load condition, compliance transmit the results of the testing with the requirements of either para- specified in paragraph (d) of this sec- graph (d)(1) or (2) of this section. tion to FRA’s Associate Administrator (1) When positioned on a track with a for Railroad Safety/Chief Safety Officer uniform superelevation equal to the (FRA) requesting approval for the vehi- proposed cant deficiency: cle type to operate at the desired curv- (i) No wheel of the vehicle type un- ing speeds allowed under the formula loads to a value less than 60 percent of in paragraph (b) of this section. The request shall be made in writing and contain, at a minimum, the following in- 6 Actual elevation, Ea, for each 155-foot formation— track segment in the body of the curve is de- (1) A description of the vehicle type termined by averaging the elevation for 11 points through the segment at 15.5-foot spac- involved, including schematic dia- ing. If the curve length is less than 155 feet, grams of the suspension system(s) and the points are averaged through the full the estimated location of the center of length of the body of the curve. gravity above top of rail; 7 If the actual elevation, Ea, and degree of (2) The test procedure,9 including the curvature, D, change as a result of track deg- load condition under which the testing radation, then the actual cant deficiency for was performed, and description of the the maximum allowable posted timetable operating speed, Vmax, may be greater than the 9 qualified cant deficiency, Eu. This actual The test procedure may be conducted cant deficiency for each curve may not ex- whereby all the wheels on one side (right or ceed the qualified cant deficiency, Eu, plus left) of the vehicle are raised to the proposed one-half inch. cant deficiency, the vertical wheel loads 8 Degree of curvature, D, is determined by under each wheel are measured, and a level averaging the degree of curvature over the is used to record the angle through which the same track segment as the elevation. floor of the vehicle has been rotated.

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instrumentation used to qualify the ve- any Class 6 track segment. The track hicle type, as well as the maximum owner or railroad shall notify FRA in values for wheel unloading and roll an- writing no less than 30 calendar days gles or accelerations that were ob- prior to the proposed implementation served during testing; and of such curving speeds in accordance (3) For vehicle types not subject to with paragraph (f) of this section. part 238 or part 229 of this chapter, pro- (2) Vehicle types permitted by FRA cedures or standards in effect that re- to operate at cant deficiencies, Eu, late to the maintenance of all safety- greater than 5 inches on Class 6 track, critical components of the suspension or greater than 3 inches on Class 7 system(s) for the particular vehicle through 9 track, shall be considered type. Safety-critical components of the qualified under this section to operate suspension system are those that im- at those permitted cant deficiencies pact or have significant influence on only for the previously operated or the roll of the carbody and the dis- identified track segments(s). Operation tribution of weight on the wheels. of these vehicle types at such cant defi- (f) In approving the request made ciencies and track class on any other pursuant to paragraph (e) of this sec- track segment is permitted only in action, FRA may impose conditions nec- cordance with the qualification re- essary for safely operating at the high- quirements in this subpart. er curving speeds. Upon FRA approval of the request, the track owner or rail- (i) As used in this section and in road shall notify FRA in writing no §§ 213.333 and 213.345— less than 30 calendar days prior to the (1) Vehicle means a locomotive, as de- proposed implementation of the ap- fined in § 229.5 of this chapter; a freight proved higher curving speeds allowed car, as defined in § 215.5 of this chapter; under the formula in paragraph (b) of a passenger car, as defined in § 238.5 of this section. The notification shall con- this chapter; and any rail rolling equip- tain, at a minimum, identification of ment used in a train with either a the track segment(s) on which the freight car or a passenger car. higher curving speeds are to be imple- (2) Vehicle type means like vehicles mented. with variations in their physical prop- (g) The documents required by this erties, such as suspension, mass, inte- section must be provided to FRA by: rior arrangements, and dimensions (1) The track owner; or that do not result in significant (2) A railroad that provides service changes to their dynamic characteris- with the same vehicle type over track- tics. age of one or more track owner(s), with the written consent of each affected [78 FR 16105, Mar. 13, 2013] track owner. (h) (1) Vehicle types permitted by § 213.331 Track surface. FRA to operate at cant deficiencies, Eu, (a) For a single deviation in track greater than 3 inches but not more surface, each track owner shall main- than 5 inches shall be considered quali- tain the surface of its track within the fied under this section to operate at limits prescribed in the following those permitted cant deficiencies for table:

Class of track Track surface (inches) 6 7 8 9

The deviation from uniform 1 profile on either rail at the mid-ordinate of a 31-foot chord may not be more than ...... 1 1 3⁄4 1⁄2 The deviation from uniform profile on either rail at the mid-ordinate of a 62-foot chord may not be more than ...... 1 1 1 3⁄4 Except as provided in paragraph (b) of this section, the deviation from uniform profile on either rail at the mid-ordinate of a 124-foot chord may not be more than ...... 13⁄4 11⁄2 11⁄4 1 The deviation from zero crosslevel at any point on tangent track may not be more than 2 1 1 1 1 Reverse elevation on curves may not be more than ...... 1⁄2 1⁄2 1⁄2 1⁄2 The difference in crosslevel between any two points less than 62 feet apart may not be more than 3 ...... 11⁄2 11⁄2 11⁄4 1

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Class of track Track surface (inches) 6 7 8 9

On curved track, the difference in crosslevel between any two points less than 10 feet apart (short warp) may not be more than ...... 11⁄4 11⁄8 1 3⁄4 1 Uniformity for profile is established by placing the midpoint of the specified chord at the point of maximum measurement. 2 If physical conditions do not permit a spiral long enough to accommodate the minimum length of runoff, part of the runoff may be on tangent track. 3 However, to control harmonics on jointed track with staggered joints, the crosslevel differences shall not exceed 1 inch in all of six consecutive pairs of joints, as created by seven low joints. Track with joints staggered less than 10 feet apart shall not be considered as having staggered joints. Joints within the seven low joints outside of the regular joint spacing shall not be considered as joints for purposes of this footnote.

(b) For operations at a qualified cant be within the limits prescribed in the deficiency, Eu, of more than 5 inches, a following table: single deviation in track surface shall

Class of track Track surface (inches) 6 7 8 9

The difference in crosslevel between any two points less than 10 feet apart (short warp) may not be more than ...... 11⁄4 1 11 3⁄4 The deviation from uniform profile on either rail at the mid-ordinate of a 124-foot chord may not be more than ...... 11⁄2 11⁄4 11⁄4 1

1 For curves with a qualified cant deficiency, Eu, of more than 7 inches, the difference in crosslevel between any two points less than 10 feet apart (short warp) may not be more than three-quarters of an inch.

(c) For three or more non-overlap- lowing table, each track owner shall ping deviations in track surface occur- maintain the surface of the track with- ring within a distance equal to five in the limits prescribed for each devi- times the specified chord length, each ation: of which exceeds the limits in the fol-

Class of track Track surface (inches) 6 7 8 9

The deviation from uniform profile on either rail at the mid-ordinate of a 31-foot chord may not be more than ...... 3⁄4 3⁄4 1⁄2 3⁄8 The deviation from uniform profile on either rail at the mid-ordinate of a 62-foot chord may not be more than ...... 3⁄4 3⁄4 3⁄4 1⁄2 The deviation from uniform profile on either rail at the mid-ordinate of a 124-foot chord may not be more than ...... 11⁄4 1 7⁄8 5⁄8

[78 FR 16106, Mar. 13, 2013] (b) For the conditions defined in paragraph (a) of this section, the com- § 213.332 Combined track alinement bination of alinement and surface devi- and surface deviations. ations for the same chord length on the (a) This section applies to any curved outside rail in a curve and on any of track where operations are conducted the two rails of a tangent section, as at a qualified cant deficiency, Eu, measured by a TGMS, shall comply greater than 5 inches, and to all Class with the following formula: 9 track, either curved or tangent.

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Where— Sm = measured profile deviation from uni-

Am = measured alinement deviation from formity (down is positive, up is nega- uniformity (outward is positive, inward tive). is negative). SL = allowable profile limit as per § 213.331(a) AL = allowable alinement limit as per and § 213.331(b) (always positive) for the § 213.327(c) (always positive) for the class class of track. of track.

[78 FR 16107, Mar. 13, 2013] tions. Track geometry measurements recorded by the system shall not differ § 213.333 Automated vehicle-based in- on repeated runs at the same site at spection systems. the same speed more than 1⁄8 inch. (a) A qualifying Track Geometry (c) A qualifying TGMS shall be capa- Measurement System (TGMS) shall be ble of measuring and processing the operated at the following frequency: necessary track geometry parameters (1) For operations at a qualified cant to determine compliance with— deficiency, Eu, of more than 5 inches on (1) For operations at a qualified cant track Classes 1 through 5, at least deficiency, Eu, of more than 5 inches on twice per calendar year with not less track Classes 1 through 5: § 213.53, than 120 days between inspections. Track gage; § 213.55(b), Track aline- (2) For track Class 6, at least once ment; § 213.57, Curves; elevation and per calendar year with not less than 170 speed limitations; § 213.63, Track sur- days between inspections. For oper- face; and § 213.65, Combined track aline- ations at a qualified cant deficiency, ment and surface deviations. E , of more than 5 inches on track u (2) For track Classes 6 through 9: Class 6, at least twice per calendar year § 213.323, Track gage; § 213.327, Track with not less than 120 days between in- alinement; § 213.329, Curves; elevation spections. and speed limitations; § 213.331, Track (3) For track Class 7, at least twice within any 120-day period with not less surface; and for operations at a cant than 25 days between inspections. deficiency of more than 5 inches (4) For track Classes 8 and 9, at least § 213.332, Combined track alinement and twice within any 60-day period with surface deviations. not less than 12 days between inspec- (d) A qualifying TGMS shall be capa- tions. ble of producing, within 24 hours of the (b) A qualifying TGMS shall meet or inspection, output reports that— exceed minimum design requirements (1) Provide a continuous plot, on a which specify that— constant-distance axis, of all measured (1) Track geometry measurements track geometry parameters required in shall be taken no more than 3 feet paragraph (c) of this section; away from the contact point of wheels (2) Provide an exception report con- carrying a vertical load of no less than taining a systematic listing of all 10 kips per wheel, unless otherwise ap- track geometry conditions which con- proved by FRA; stitute an exception to the class of (2) Track geometry measurements track over the segment surveyed. shall be taken and recorded on a dis- (e) The output reports required under tance-based sampling interval pref- paragraph (c) of this section shall con- erably at 1 foot not exceeding 2 feet; tain sufficient location identification and information which enable field forces (3) Calibration procedures and param- to easily locate indicated exceptions. eters are assigned to the system which (f) Following a track inspection per- assure that measured and recorded val- formed by a qualifying TGMS, the ues accurately represent track condi- track owner shall, within two days

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after the inspection, field verify and in- (1) Gage restraint shall be measured stitute remedial action for all excep- between the heads of the rail: tions to the class of track. (i) At an interval not exceeding 16 (g) The track owner or railroad shall inches; maintain for a period of one year fol- (ii) Under an applied vertical load of lowing an inspection performed by a no less than 10 kips per rail; and qualifying TGMS, a copy of the plot (iii) Under an applied lateral load and the exception report for the track that provides a lateral/vertical load segment involved, and additional 10 records which: ratio of between 0.5 and 1.25, and a (1) Specify the date the inspection load severity greater than 3 kips but was made and the track segment in- less than 8 kips per rail. Load severity volved; and is defined by the formula: (2) Specify the location, remedial ac- S = L¥cV tion taken, and the date thereof, for all Where— listed exceptions to the class. (h) For track Classes 8 and 9, a quali- S = Load severity, defined as the lateral load fying Gage Restraint Measurement applied to the fastener system (kips). System (GRMS) shall be operated at L = Actual lateral load applied (kips). least once per calendar year with at c = Coefficient of friction between rail/tie, least 170 days between inspections. The which is assigned a nominal value of 0.4. V = Actual vertical load applied (kips), or lateral capacity of the track structure static vertical wheel load if vertical load shall not permit a Gage Widening Pro- is not measured. jection (GWP) greater than 0.5 inch. (i) A GRMS shall meet or exceed (2) The measured gage and load val- minimum design requirements speci- ues shall be converted to a GWP as fol- fying that— lows:

Where— a vehicle having dynamic response UTG = Unloaded track gage measured by the characteristics that are representative GRMS vehicle at a point no less than 10 of other vehicles assigned to the serv- feet from any lateral or vertical load ap- ice shall be operated over the route at plication. LTG = Loaded track gage measured by the the revenue speed profile. The vehicle GRMS vehicle at a point no more than 12 shall either be instrumented or inches from the lateral load application. equipped with a portable device that L = Actual lateral load applied (kips). monitors onboard instrumentation on V = Actual vertical load applied (kips), or trains. Track personnel shall be noti- static vertical wheel load if vertical load is not measured. fied when onboard accelerometers indi- GWP = Gage Widening Projection, which cate a possible track-related problem. means the measured gage widening, Testing shall be conducted at the fre- which is the difference between loaded quencies specified in paragraphs (j)(1) and unloaded gage, at the applied loads, through (3) of this section, unless oth- projected to reference loads of 16 kips of erwise determined by FRA after re- lateral force and 33 kips of vertical force. viewing the test data required by this (j) As further specified for the com- subpart. bination of track class, cant defi- (1) For operations at a qualified cant ciencies, and vehicles subject to para- deficiency, Eu, of more than 5 inches on graphs (j)(1) through (3) of this section,

10 GRMS equipment using load combina- against the risk of wheel climb by the test tions developing L/V ratios that exceed 0.8 wheelset. shall be operated with caution to protect

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track Classes 1 through 6, carbody ac- for trucks containing more than 2 celeration shall be monitored at least axles), or, if approved by FRA, at an al- once each calendar quarter with not ternate location. After monitoring this less than 25 days between inspections data for 2 years, or 1 million miles, on at least one passenger car of each whichever occurs first, the track owner type that is assigned to the service; or railroad may petition FRA for ex- and emption from this requirement. (2) For operations at track Class 7 (3) If any of the carbody lateral, speeds, carbody and truck accelera- carbody vertical, or truck frame lat- tions shall be monitored at least twice eral acceleration safety limits in this within any 60-day period with not less section’s table of vehicle/track inter- than 12 days between inspections on at action safety limits is exceeded, cor- least one passenger car of each type rective action shall be taken as nec- that is assigned to the service; and essary. Track personnel shall be noti- (3) For operations at track Class 8 or fied when the accelerometers indicate 9 speeds, carbody acceleration shall be a possible track-related problem. monitored at least four times within (l) For track Classes 8 and 9, the any 7-day period with not more than 3 track owner or railroad shall submit a days between inspections on at least report to FRA, once each calendar one non-passenger and one passenger year, which provides an analysis of the carrying vehicle of each type that is monitoring data collected in accord- assigned to the service, as appropriate. ance with paragraphs (j) and (k) of this Truck acceleration shall be monitored section. Based on a review of the re- at least twice within any 60-day period port, FRA may require that an instru- with not less than 12 days between in- mented vehicle having dynamic re- spections on at least one passenger car- sponse characteristics that are rep- rying vehicle of each type that is as- resentative of other vehicles assigned signed to the service, as appropriate. to the service be operated over the (k)(1) The instrumented vehicle or track at the revenue speed profile. The the portable device, as required in instrumented vehicle shall be equipped paragraph (j) of this section, shall mon- to measure wheel/rail forces. If any of itor lateral and vertical accelerations the wheel/rail force limits in this sec- of the carbody. The accelerometers tion’s table of vehicle/track interaction shall be attached to the carbody on or safety limits is exceeded, appropriate under the floor of the vehicle, as near speed restrictions shall be applied until the center of a truck as practicable. corrective action is taken. (2) In addition, a device for meas- (m) The track owner or railroad shall uring lateral accelerations shall be maintain a copy of the most recent ex- mounted on a truck frame at a longitu- ception records for the inspections re- dinal location as close as practicable to quired under paragraphs (j), (k), and (l) an axle’s centerline (either outside axle of this section, as appropriate.

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[63 FR 34029, June 22, 1998; 63 FR 46102, Aug. 28, 1998, as amended at 78 FR 16107, Mar. 13, 2013]

§ 213.334 Ballast; general. (c) For non-concrete tie construction, Unless it is otherwise structurally each 39 foot segment of Class 6 track supported, all track shall be supported shall have fourteen crossties; Classes 7, by material which will— 8 and 9 shall have 18 crossties which (a) Transmit and distribute the load are not— of the track and railroad rolling equip- (1) Broken through; ment to the subgrade; (2) Split or otherwise impaired to the (b) Restrain the track laterally, lon- extent the crossties will allow the bal- gitudinally, and vertically under dy- last to work through, or will not hold namic loads imposed by railroad roll- spikes or rail fasteners; ing equipment and thermal stress ex- (3) So deteriorated that the tie plate erted by the rails; or base of rail can move laterally 3⁄8 (c) Provide adequate drainage for the inch relative to the crossties; track; and (4) Cut by the tie plate through more (d) Maintain proper track crosslevel, than 40 percent of a crosstie’s thick- surface, and alinement. ness; (5) Configured with less than 2 rail § 213.335 Crossties. holding spikes or fasteners per tie (a) Crossties shall be made of a mate- plate; or rial to which rail can be securely fas- (6) So unable, due to insufficient fastened. tener toeload, to maintain longitudinal (b) Each 39 foot segment of track restraint and maintain rail hold down shall have— and gage. (1) A sufficient number of crossties (d) For concrete tie construction, which in combination provide effective each 39 foot segment of Class 6 track support that will— (i) Hold gage within the limits pre- shall have fourteen crossties, Classes 7, scribed in § 213.323(b); 8 and 9 shall have 16 crossties which (ii) Maintain surface within the lim- are not— its prescribed in § 213.331; and (1) So deteriorated that the prestress (iii) Maintain alinement within the strands are ineffective or withdrawn limits prescribed in § 213.327. into the tie at one end and the tie ex- (2) The minimum number and type of hibits structural cracks in the rail seat crossties specified in paragraph (c) of or in the gage of track; this section effectively distributed to (2) Configured with less than 2 fas- support the entire segment; and teners on the same rail; (3) Crossties of the type specified in (3) So deteriorated in the vicinity of paragraph (c) of this section that the rail fastener such that the fastener are(is) located at a joint location as assembly may pull out or move lat- specified in paragraph (e) of this sec- erally more than 3⁄8 inch relative to the tion. crosstie;

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(4) So deteriorated that the fastener (g) In Classes 7, 8 and 9 there shall be base plate or base of rail can move lat- at least three non-defective ties each erally more than 3⁄8 inch relative to the side of a defective tie. crossties; (h) Where timber crossties are in use (5) So deteriorated that rail seat ab- there shall be tie plates under the run- rasion is sufficiently deep so as to ning rails on at least nine of 10 con- cause loss of rail fastener toeload; secutive ties. (6) Completely broken through; or (i) No metal object which causes a concentrated load by solely supporting (7) So unable, due to insufficient fas- a rail shall be allowed between the base tener toeload, to maintain longitudinal of the rail and the bearing surface of restraint and maintain rail hold down the tie plate. and gage. (e) Class 6 track shall have one non- § 213.337 Defective rails. defective crosstie whose centerline is (a) When an owner of track to which within 18 inches of the rail joint loca- this part applies learns, through in- tion or two crossties whose center lines spection or otherwise, that a rail in are within 24 inches either side of the that track contains any of the defects rail joint location. Class 7, 8, and 9 listed in the following table, a person track shall have two non-defective ties designated under § 213.305 shall deter- within 24 inches each side of the rail mine whether or not the track may joint. continue in use. If the person deter- (f) For track constructed without mines that the track may continue in crossties, such as slab track and track use, operation over the defective rail is connected directly to bridge structural not permitted until— components, the track structure shall (1) The rail is replaced; or meet the requirements of paragraphs (2) The remedial action prescribed in (b)(1)(i), (ii), and (iii) of this section. the table is initiated—

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NOTES: A. Assign person designated under A2. Assign person designated under § 213.305 § 213.305 to visually supervise each operation to make visual inspection. That person may over defective rail. authorize operation to continue without visual supervision at a maximum of 10 m.p.h.

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for up to 24 hours prior to another such vis- horizontal split head from which they ual inspection or replacement or repair of originate. the rail. (3) Horizontal split head means a hori- B. Limit operating speed over defective rail to that as authorized by a person des- zontal progressive defect originating ignated under § 213.305(a)(1)(i) or (ii). The op- inside of the rail head, usually one- erating speed cannot be over 30 m.p.h. quarter inch or more below the running C. Apply joint bars bolted only through the surface and progressing horizontally in outermost holes to defect within 20 days all directions, and generally accom- after it is determined to continue the track panied by a flat spot on the running in use. Limit operating speed over defective rail to 30 m.p.h. until joint bars are applied; surface. The defect appears as a crack thereafter, limit speed to 50 m.p.h. When a lengthwise of the rail when it reaches search for internal rail defects is conducted the side of the rail head. under § 213.339 and defects are discovered (4) Vertical split head means a vertical which require remedial action C, the oper- split through or near the middle of the ating speed shall be limited to 50 m.p.h., for head, and extending into or through it. a period not to exceed 4 days. If the defective rail has not been removed from the track or A crack or rust streak may show under a permanent repair made within 4 days of the head close to the web or pieces may the discovery, limit operating speed over the be split off the side of the head. defective rail to 30 m.p.h. until joint bars are (5) Split web means a lengthwise applied; thereafter, limit speed to 50 m.p.h. crack along the side of the web and ex- D. Apply joint bars bolted only through the tending into or through it. outermost holes to defect within 10 days after it is determined to continue the track (6) Piped rail means a vertical split in in use. Limit operating speed over the defec- a rail, usually in the web, due to fail- tive rail to 30 m.p.h. or less as authorized by ure of the shrinkage cavity in the ingot a person designated under § 213.305(a)(1)(i) or to unite in rolling. (ii) until joint bars are applied; thereafter, (7) Broken base means any break in limit speed to 50 m.p.h. the base of the rail. E. Apply joint bars to defect and bolt in accordance with § 213.351(d) and (e). (8) Detail fracture means a progressive F. Inspect rail 90 days after it is deter- fracture originating at or near the sur- mined to continue the track in use. face of the rail head. These fractures G. Inspect rail 30 days after it is deter- should not be confused with transverse mined to continue the track in use. fissures, compound fissures, or other H. Limit operating speed over defective defects which have internal origins. rail to 50 m.p.h. Detail fractures may arise from shelly I. Limit operating speed over defective rail to 30 m.p.h. spots, head checks, or flaking. (9) Engine burn fracture means a pro- (b) As used in this section— gressive fracture originating in spots (1) Transverse fissure means a progres- where driving wheels have slipped on sive crosswise fracture starting from a top of the rail head. In developing crystalline center or nucleus inside the downward they frequently resemble the head from which it spreads outward as compound or even transverse fissures a smooth, bright, or dark, round or with which they should not be confused oval surface substantially at a right or classified. angle to the length of the rail. The distinguishing features of a transverse fis- (10) Ordinary break means a partial or sure from other types of fractures or complete break in which there is no defects are the crystalline center or sign of a fissure, and in which none of nucleus and the nearly smooth surface the other defects described in this of the development which surrounds it. paragraph (b) are found. (2) Compound fissure means a progres- (11) Damaged rail means any rail bro- sive fracture originating in a hori- ken or injured by wrecks, broken, flat, zontal split head which turns up or or unbalanced wheels, slipping, or simi- down in the head of the rail as a lar causes. smooth, bright, or dark surface pro- (12) Flattened rail means a short gressing until substantially at a right length of rail, not a joint, which has angle to the length of the rail. Com- flattened out across the width of the pound fissures require examination of rail head to a depth of 3⁄8 inch or more both faces of the fracture to locate the below the rest of the rail. Flattened

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rail occurrences have no repetitive reg- (d) If the person assigned to operate ularity and thus do not include cor- the rail defect detection equipment rugations, and have no apparent local- being used determines that, due to rail ized cause such as a weld or engine surface conditions, a valid search for burn. Their individual length is rel- internal defects could not be made over atively short, as compared to a condi- a particular length of track, the test tion such as head flow on the low rail on that particular length of track can- of curves. not be considered as a search for inter- (13) Bolt hole crack means a crack nal defects under § 213.337(a). across the web, originating from a bolt (e) If a valid search for internal de- hole, and progressing on a path either fects cannot be conducted for reasons inclined upward toward the rail head or described in paragraph (d) of this sec- inclined downward toward the base. tion, the track owner shall, before the Fully developed bolt hole cracks may expiration of time limits— continue horizontally along the head/ (1) Conduct a valid search for inter- web or base/web fillet, or they may nal defects; progress into and through the head or base to separate a piece of the rail end (2) Reduce operating speed to a max- from the rail. Multiple cracks occur- imum of 25 miles per hour until such ring in one rail end are considered to time as a valid search for internal de- be a single defect. However, bolt hole fects can be made; or cracks occurring in adjacent rail ends (3) Remove the rail from service. within the same joint shall be reported as separate defects. § 213.341 Initial inspection of new rail (14) Defective weld means a field or and welds. plant weld containing any discontinu- The track owner shall provide for the ities or pockets, exceeding 5 percent of initial inspection of newly manufac- the rail head area individually or 10 tured rail, and for initial inspection of percent in the aggregate, oriented in or new welds made in either new or used near the transverse plane, due to in- rail. A track owner may demonstrate complete penetration of the weld metal compliance with this section by pro- between the rail ends, lack of fusion viding for: between weld and rail end metal, en- (a) In-service inspection. A scheduled trainment of slag or sand, under-bead periodic inspection of rail and welds or other shrinkage cracking, or fatigue that have been placed in service, if con- cracking. Weld defects may originate ducted in accordance with the provi- in the rail head, web, or base, and in sions of § 213.339, and if conducted not some cases, cracks may progress from later than 90 days after installation, the defect into either or both adjoining shall constitute compliance with para- rail ends. graphs (b) and (c) of this section; (15) Head and web separation means a (b) Mill inspection. A continuous in- progressive fracture, longitudinally spection at the rail manufacturer’s separating the head from the web of mill shall constitute compliance with the rail at the head fillet area. the requirement for initial inspection [63 FR 34029, June 22, 1998; 63 FR 51638, Sept. of new rail, provided that the inspec- 28, 1998] tion equipment meets the applicable requirements specified in § 213.339. The § 213.339 Inspection of rail in service. track owner shall obtain a copy of the (a) A continuous search for internal manufacturer’s report of inspection defects shall be made of all rail in and retain it as a record until the rail track at least twice annually with not receives its first scheduled inspection less than 120 days between inspections. under § 213.339; (b) Inspection equipment shall be ca- (c) Welding plant inspection. A contin- pable of detecting defects between uous inspection at a welding plant, if joint bars, in the area enclosed by joint conducted in accordance with the pro- bars. visions of paragraph (b) of this section, (c) Each defective rail shall be and accompanied by a plant operator’s marked with a highly visible marking report of inspection which is retained on both sides of the web and base. as a record by the track owner, shall

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constitute compliance with the re- (c) Procedures which specifically ad- quirements for initial inspection of dress maintaining a desired rail instal- new rail and plant welds, or of new lation temperature range when cutting plant welds made in used rail; and CWR including rail repairs, in-track (d) Inspection of field welds. An initial welding, and in conjunction with ad- inspection of field welds, either those justments made in the area of tight joining the ends of CWR strings or track, a track buckle, or a pull-apart. those made for isolated repairs, shall Rail repair practices shall take into be conducted not less than one day and consideration existing rail temperature not more than 30 days after the welds so that— have been made. The initial inspection (1) When rail is removed, the length may be conducted by means of portable installed shall be determined by taking test equipment. The track owner shall into consideration the existing rail retain a record of such inspections temperature and the desired rail instal- until the welds receive their first lation temperature range; and scheduled inspection under § 213.339. (2) Under no circumstances should (e) Each defective rail found during rail be added when the rail tempera- inspections conducted under paragraph ture is below that designated by para- (a) or (d) of this section shall be graph (a)(1) of this section, without marked with highly visible markings provisions for later adjustment. on both sides of the web and base and (d) Procedures which address the the remedial action as appropriate monitoring of CWR in curved track for under § 213.337 will apply. inward shifts of alinement toward the center of the curve as a result of dis- § 213.343 Continuous welded rail turbed track. (CWR). (e) Procedures which control train Each track owner with track con- speed on CWR track when— structed of CWR shall have in effect (1) Maintenance work, track rehabili- and comply with written procedures tation, track construction, or any which address the installation, adjust- other event occurs which disturbs the ment, maintenance and inspection of roadbed or ballast section and reduces CWR, and a training program for the the lateral and/or longitudinal resist- application of those procedures, which ance of the track; and shall be submitted to the Federal Rail- (2) In formulating the procedures road Administration by March 21, 1999. under this paragraph (e), the track FRA reviews each plan for compliance owner shall— with the following— (i) Determine the speed required, and (a) Procedures for the installation the duration and subsequent removal and adjustment of CWR which in- of any speed restriction based on the clude— restoration of the ballast, along with (1) Designation of a desired rail insufficient ballast re-consolidation to stallation temperature range for the stabilize the track to a level that can geographic area in which the CWR is accommodate expected train-induced located; and forces. Ballast re-consolidation can be (2) De-stressing procedures/methods achieved through either the passage of which address proper attainment of the train tonnage or mechanical stabiliza- desired rail installation temperature tion procedures, or both; and range when adjusting CWR. (ii) Take into consideration the type (b) Rail anchoring or fastening re- of crossties used. quirements that will provide sufficient (f) Procedures which prescribe when restraint to limit longitudinal rail and physical track inspections are to be crosstie movement to the extent prac- performed to detect buckling prone tical, and specifically addressing CWR conditions in CWR track. At a min- rail anchoring or fastening patterns on imum, these procedures shall address bridges, bridge approaches, and at inspecting track to identify— other locations where possible longitu- (1) Locations where tight or kinky dinal rail and crosstie movement asso- rail conditions are likely to occur; ciated with normally expected train-in- (2) Locations where track work of the duced forces, is restricted. nature described in paragraph (e)(1) of

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this section have recently been per- area, at which forces in CWR should formed; and not cause a buckling incident in ex- (3) In formulating the procedures treme heat, or a pull-apart during ex- under this paragraph (f), the track treme cold weather. owner shall— (5) Disturbed track means the disturb- (i) Specify the timing of the inspec- ance of the roadbed or ballast section, tion; and as a result of track maintenance or any (ii) Specify the appropriate remedial other event, which reduces the lateral actions to be taken when buckling or longitudinal resistance of the track, prone conditions are found. or both. (g) The track owner shall have in ef- (6) Mechanical stabilization means a fect a comprehensive training program type of procedure used to restore track for the application of these written resistance to disturbed track following CWR procedures, with provisions for certain maintenance operations. This periodic re-training, for those individ- procedure may incorporate dynamic uals designated under § 213.305(c) of this track stabilizers or ballast part as qualified to supervise the in- consolidators, which are units of work stallation, adjustment, and mainte- equipment that are used as a sub- nance of CWR track and to perform institute for the stabilization action pro- spections of CWR track. vided by the passage of tonnage trains. (h) The track owner shall prescribe recordkeeping requirements necessary (7) Rail anchors means those devices to provide an adequate history of track which are attached to the rail and bear constructed with CWR. At a minimum, against the side of the crosstie to con- these records shall include: trol longitudinal rail movement. Cer- (1) Rail temperature, location and tain types of rail fasteners also act as date of CWR installations. This record rail anchors and control longitudinal shall be retained for at least one year; rail movement by exerting a downward and clamping force on the upper surface of (2) A record of any CWR installation the rail base. or maintenance work that does not (8) Rail temperature means the tem- conform with the written procedures. perature of the rail, measured with a Such record shall include the location rail thermometer. of the rail and be maintained until the (9) Tight/kinky rail means CWR which CWR is brought into conformance with exhibits minute alinement irregular- such procedures. ities which indicate that the rail is in (i) As used in this section— a considerable amount of compression. (1) Adjusting/de-stressing means the (10) Train-induced forces means the procedure by which a rail’s tempera- vertical, longitudinal, and lateral dy- ture is re-adjusted to the desired value. namic forces which are generated dur- It typically consists of cutting the rail ing train movement and which can con- and removing rail anchoring devices, tribute to the buckling potential. which provides for the necessary ex- (11) Track lateral resistance means the pansion and contraction, and then re- resistance provided to the rail/crosstie assembling the track. structure against lateral displacement. (2) Buckling incident means the for- (12) Track longitudinal resistance mation of a lateral mis-alinement suf- means the resistance provided by the ficient in magnitude to constitute a derail anchors/rail fasteners and the bal- viation of 5 inches measured with a 62- last section to the rail/crosstie struc- foot chord. These normally occur when ture against longitudinal displace- rail temperatures are relatively high ment. and are caused by high longitudinal compressive forces. (j) Track owners shall revise their (3) Continuous welded rail (CWR) CWR plans to include provisions for the means rail that has been welded to- inspection of joint bars in accordance gether into lengths exceeding 400 feet. with §§ 213.119(g) and (i)(3). (4) Desired rail installation temperature [63 FR 34029, June 22, 1998; 63 FR 45959, Aug. range means the rail temperature 28, 1998, as amended at 70 FR 66298, Nov. 2, range, within a specific geographical 2005]

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§ 213.345 Vehicle/track system quali- (2) Simulations. For vehicle types in- fication. tended to operate at track Class 7 (a) General. All vehicle types in- speeds or above, or at any curving tended to operate at track Class 6 speed producing more than 6 inches of speeds or above, or at any curving cant deficiency, analysis of vehicle/ speed producing more than 5 inches of track performance (computer simula- cant deficiency, shall be qualified for tions) shall be conducted using an in- operation for their intended track dustry recognized methodology on: classes in accordance with this sub- (i) An analytically defined track seg- part. A qualification program shall be ment representative of minimally com- used to demonstrate that the vehicle/ pliant track conditions (MCAT—Mini- track system will not exceed the wheel/ mally Compliant Analytical Track) for rail force safety limits and the carbody the respective track class(es) as speci- and truck acceleration criteria specified in appendix D to this part; and fied in § 213.333— (ii) A track segment representative (1) At any speed up to and including of the full route on which the vehicle 5 m.p.h. above the proposed maximum type is intended to operate. Both sim- operating speed; and ulations and physical examinations of (2) On track meeting the require- the route’s track geometry shall be ments for the class of track associated used to determine a track segment rep- with the proposed maximum operating resentative of the route. speed. For purposes of qualification (3) Carbody acceleration. For vehicle testing, speeds may exceed the max- types intended to operate at track imum allowable operating speed for the Class 6 speeds or above, or at any curv- class of track in accordance with the ing speed producing more than 5 inches test plan approved by FRA. of cant deficiency, qualification testing (b) Existing vehicle type qualification. conducted over a representative seg- Vehicle types previously qualified or ment of the route shall demonstrate permitted to operate at track Class 6 that the vehicle type will not exceed speeds or above or at any curving the carbody lateral and vertical accel- speeds producing more than 5 inches of eration safety limits specified in cant deficiency prior to March 13, 2013, § 213.333. shall be considered as being success- (4) Truck lateral acceleration. For vehi- fully qualified under the requirements cle types intended to operate at track of this section for operation at the pre- Class 6 speeds or above, qualification viously operated speeds and cant defi- testing conducted over a representative ciencies over the previously operated segment of the route shall demonstrate track segment(s). that the vehicle type will not exceed (c) New vehicle type qualification. Ve- the truck lateral acceleration safety hicle types not previously qualified limit specified in § 213.333. under this subpart shall be qualified in (5) Measurement of wheel/rail forces. accordance with the requirements of For vehicle types intended to operate this paragraph (c). at track Class 7 speeds or above, or at (1) Simulations or measurement of any curving speed producing more than wheel/rail forces. For vehicle types in- 6 inches of cant deficiency, qualifica- tended to operate at track Class 6 tion testing conducted over a rep- speeds, simulations or measurement of resentative segment of the route shall wheel/rail forces during qualification demonstrate that the vehicle type will testing shall demonstrate that the ve- not exceed the wheel/rail force safety hicle type will not exceed the wheel/ limits specified in § 213.333. rail force safety limits specified in (d) Previously qualified vehicle types. § 213.333. Simulations, if conducted, Vehicle types previously qualified shall be in accordance with paragraph under this subpart for a track class and (c)(2) of this section. Measurement of cant deficiency on one route may be wheel/rail forces, if conducted, shall be qualified for operation at the same performed over a representative seg- class and cant deficiency on another ment of the full route on which the ve- route through analysis or testing, or hicle type is intended to operate. both, to demonstrate compliance with

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paragraph (a) of this section in accord- (1) Identification of the representa- ance with the following: tive segment of the route for qualifica- (1) Simulations or measurement of tion testing; wheel/rail forces. For vehicle types in- (2) Consideration of the operating en- tended to operate at any curving speed vironment during qualification testing, producing more than 6 inches of cant including operating practices and con- deficiency, or at curving speeds that ditions, the signal system, highway- both correspond to track Class 7 speeds rail grade crossings, and trains on adja- or above and produce more than 5 cent tracks; inches of cant deficiency, simulations (3) The maximum angle found on the or measurement of wheel/rail forces gage face of the designed (newly- during qualification testing shall dem- profiled) wheel flange referenced with onstrate that the vehicle type will not respect to the axis of the wheelset that exceed the wheel/rail force safety lim- will be used for the determination of its specified in § 213.333. Simulations, if the Single Wheel L/V Ratio safety conducted, shall be in accordance with limit specified in § 213.333; paragraph (c)(2) of this section. Meas- (4) A target maximum testing speed urement of wheel/rail forces, if con- in accordance with paragraph (a) of ducted, shall be performed over a rep- this section and the maximum testing resentative segment of the new route. cant deficiency; (2) Carbody acceleration. For vehicle (5) An analysis and description of the types intended to operate at any curv- signal system and operating practices ing speed producing more than 5 inches to govern operations in track Classes 7 of cant deficiency, or at track Class 7 through 9, which shall include a state- speeds and above, qualification testing ment of sufficiency in these areas for conducted over a representative seg- the class of operation; and ment of the new route shall dem- (6) The results of vehicle/track per- onstrate that the vehicle type will not formance simulations that are required exceed the carbody lateral and vertical by this section. acceleration safety limits specified in (f) Qualification testing. Upon FRA ap- § 213.333. proval of the qualification testing plan, (3) Truck lateral acceleration. For vehi- qualification testing shall be con- cle types intended to operate at track ducted in two sequential stages as re- Class 7 speeds or above, measurement quired in this subpart. of truck lateral acceleration during (1) Stage-one testing shall include qualification testing shall demonstrate demonstration of acceptable vehicle that the vehicle type will not exceed dynamic response of the subject vehi- the truck lateral acceleration safety cle as speeds are incrementally in- limits specified in § 213.333. Measure- creased— ment of truck lateral acceleration, if (i) On a segment of tangent track, conducted, shall be performed over a from acceptable track Class 5 speeds to representative segment of the new the target maximum test speed (when route. the target speed corresponds to track (e) Qualification testing plan. To ob- Class 6 and above operations); and tain the data required to support the (ii) On a segment of curved track, qualification program outlined in para- from the speeds corresponding to 3 graphs (c) and (d) of this section, the inches of cant deficiency to the max- track owner or railroad shall submit a imum testing cant deficiency. qualification testing plan to FRA’s As- (2) When stage-one testing has suc- sociate Administrator for Railroad cessfully demonstrated a maximum Safety/Chief Safety Officer (FRA) at safe operating speed and cant defi- least 60 days prior to testing, request- ciency, stage-two testing shall com- ing approval to conduct the testing at mence with the subject equipment over the desired speeds and cant defi- a representative segment of the route ciencies. This test plan shall provide as identified in paragraph (e)(1) of this for a test program sufficient to evalu- section. ate the operating limits of the track (i) A test run shall be conducted over and vehicle type and shall include: the route segment at the speed the

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railroad will request FRA to approve age of one or more track owner(s), with for such service. the written consent of each affected (ii) An additional test run shall be track owner. conducted at 5 m.p.h. above this speed. [78 FR 16111, Mar. 13, 2013] (3) When conducting stage-one and stage-two testing, if any of the mon- § 213.347 Automotive or railroad cross- itored safety limits is exceeded on any ings at grade. segment of track intended for oper- (a) There shall be no at-grade (level) ation at track Class 6 speeds or great- highway crossings, public or private, or er, or on any segment of track intended rail-to-rail crossings at-grade on Class for operation at more than 5 inches of 8 and 9 track. cant deficiency, testing may continue (b) If train operation is projected at provided that the track location(s) Class 7 speed for a track segment that where any of the limits is exceeded be will include rail-highway grade cross- identified and test speeds be limited at ings, the track owner shall submit for the track location(s) until corrective FRA’s approval a complete description action is taken. Corrective action may of the proposed warning/barrier system include making an adjustment in the to address the protection of highway track, in the vehicle, or both of these traffic and high speed trains. Trains system components. Measurements shall not operate at Class 7 speeds over taken on track segments intended for any track segment having highway-rail operations below track Class 6 speeds grade crossings unless: and at 5 inches of cant deficiency, or (1) An FRA-approved warning/barrier less, are not required to be reported. system exists on that track segment; (4) Prior to the start of the qualifica- and tion testing program, a qualifying (2) All elements of that warning/bar- TGMS specified in § 213.333 shall be op- rier system are functioning. erated over the intended route within 30 calendar days prior to the start of § 213.349 Rail end mismatch. the qualification testing program. Any mismatch of rails at joints may (g) Qualification testing results. The not be more than that prescribed by track owner or railroad shall submit a the following table— report to FRA detailing all the results of the qualification program. When Any mismatch of rails at joints may not be more than the following— simulations are required as part of ve- Class of track hicle qualification, this report shall in- On the tread of On the gage side the rail ends of the rail ends clude a comparison of simulation pre- (inch) (inch) dictions to the actual wheel/rail force 1 1 or acceleration data, or both, recorded Class 6, 7, 8 and 9 .... ⁄8 ⁄8 during full-scale testing. The report shall be submitted at least 60 days § 213.351 Rail joints. prior to the intended operation of the (a) Each rail joint, insulated joint, equipment in revenue service over the and compromise joint shall be of a route. structurally sound design and dimen- (h) Based on the test results and all sions for the rail on which it is applied. other required submissions, FRA will (b) If a joint bar is cracked, broken, approve a maximum train speed and or because of wear allows excessive value of cant deficiency for revenue vertical movement of either rail when service, normally within 45 days of re- all bolts are tight, it shall be replaced. ceipt of all the required information. (c) If a joint bar is cracked or broken FRA may impose conditions necessary between the middle two bolt holes it for safely operating at the maximum shall be replaced. approved train speed and cant defi- (d) Each rail shall be bolted with at ciency. least two bolts at each joint. (i) The documents required by this (e) Each joint bar shall be held in po- section must be provided to FRA by: sition by track bolts tightened to allow (1) The track owner; or the joint bar to firmly support the (2) A railroad that provides service abutting rail ends and to allow longitu- with the same vehicle type over track- dinal movement of the rail in the joint

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to accommodate expansion and con- nents securely in place. Also, each traction due to temperature variations. switch, frog, and guard rail shall be When no-slip, joint-to-rail contact ex- kept free of obstructions that may ists by design, the requirements of this interfere with the passage of wheels. section do not apply. Those locations, Use of rigid rail crossings at grade is when over 400 feet long, are considered limited per § 213.347. to be continuous welded rail track and (b) Track shall be equipped with rail shall meet all the requirements for anchoring through and on each side of continuous welded rail track prescribed track crossings and turnouts, to re- in this subpart. strain rail movement affecting the po- (f) No rail shall have a bolt hole sition of switch points and frogs. Elas- which is torch cut or burned. tic fasteners designed to restrict longi- (g) No joint bar shall be reconfigured tudinal rail movement are considered by torch cutting. rail anchoring. (c) Each flangeway at turnouts and § 213.352 Torch cut rail. track crossings shall be at least 11⁄2 (a) Except as a temporary repair in inches wide. emergency situations no rail having a (d) For all turnouts and crossovers, torch cut end shall be used. When a rail and lift rail assemblies or other transi- end with a torch cut is used in emer- tion devices on moveable bridges, the gency situations, train speed over that track owner shall prepare an inspec- rail shall not exceed the maximum al- tion and maintenance Guidebook for lowable for Class 2 track. All torch cut use by railroad employees which shall rail ends in Class 6 shall be removed be submitted to the Federal Railroad within six months of September 21, Administration. The Guidebook shall 1998. contain at a minimum— (b) Following the expiration of the (1) Inspection frequency and method- time limits specified in paragraph (a) ology including limiting measurement of this section, any torch cut rail end values for all components subject to not removed shall be removed within 30 wear or requiring adjustment. days of discovery. Train speed over (2) Maintenance techniques. that rail shall not exceed the max- (e) Each hand operated switch shall imum allowable for Class 2 track until be equipped with a redundant operating removed. mechanism for maintaining the security of switch point position. § 213.353 Turnouts, crossovers, and lift rail assemblies or other transition § 213.355 Frog guard rails and guard devices on moveable bridges. faces; gage. (a) In turnouts and track crossings, The guard check and guard face the fastenings must be intact and gages in frogs shall be within the lim- maintained so as to keep the compo- its prescribed in the following table—

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

Class 6, 7, 8 and 9 track ...... 4′61⁄2″ 4′5″ 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 gage line. 2 A line five-eighths of an inch 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.

[78 FR 16112, Mar. 13, 2013] or 9 main track shall be equipped with a functioning derail of the correct size § 213.357 Derails. and type, unless railroad equipment on (a) Each track, other than a main track, which connects with a Class 7, 8

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the track, because of grade characteris- ‘‘right-of-way plan,’’ to the Federal tics cannot move to foul the main Railroad Administration for approval. track. At a minimum, the plan will contain (b) For the purposes of this section, a provisions in areas of demonstrated derail is a device which will physically need for the prevention of— stop or divert movement of railroad (a) Vandalism; rolling stock or other railroad on-track (b) Launching of objects from over- equipment past the location of the de- head bridges or structures into the vice. path of trains; and (c) Each derail shall be clearly visi- (c) Intrusion of vehicles from adja- ble. When in a locked position, a derail cent rights of way. shall be free of any lost motion which would prevent it from performing its § 213.365 Visual inspections. intended function. (d) Each derail shall be maintained (a) All track shall be visually in- to function as intended. spected in accordance with the sched- (e) Each derail shall be properly in- ule prescribed in paragraph (c) of this stalled for the rail to which it is ap- section by a person designated under plied. § 213.305. (f) If a track protected by a derail is (b) Each inspection shall be made on occupied by standing railroad rolling foot or by riding over the track in a ve- stock, the derail shall be in derailing hicle at a speed that allows the person position. making the inspection to visually in- (g) Each derail on a track which is spect the track structure for compli- connected to a Class 7, 8 or 9 main ance with this part. However, mechan- track shall be interconnected with the ical, electrical, and other track inspec- signal system. tion devices may be used to supplement visual inspection. If a vehicle is used § 213.359 Track stiffness. for visual inspection, the speed of the (a) Track shall have a sufficient vehicle may not be more than 5 miles vertical strength to withstand the per hour when passing over track maximum vehicle loads generated at crossings and turnouts, otherwise, the maximum permissible train speeds, inspection vehicle speed shall be at the cant deficiencies and surface defects. sole discretion of the inspector, based For purposes of this section, vertical on track conditions and inspection re- track strength is defined as the track quirements. When riding over the track capacity to constrain vertical deforma- in a vehicle, the inspection will be sub- tions so that the track shall return fol- ject to the following conditions— lowing maximum load to a configura- (1) One inspector in a vehicle may in- tion in compliance with the vehicle/ spect up to two tracks at one time pro- track interaction safety limits and ge- vided that the inspector’s visibility re- ometry requirements of this subpart. mains unobstructed by any cause and (b) Track shall have sufficient lateral that the second track is not centered strength to withstand the maximum more than 30 feet from the track upon thermal and vehicle loads generated at which the inspector is riding; maximum permissible train speeds, (2) Two inspectors in one vehicle may cant deficiencies and lateral alinement inspect up to four tracks at a time pro- defects. For purposes of this section vided that the inspector’s visibility re- lateral track strength is defined as the mains unobstructed by any cause and track capacity to constrain lateral de- that each track being inspected is cen- formations so that track shall return tered within 39 feet from the track following maximum load to a configu- upon which the inspectors are riding; ration in compliance with the vehicle/ (3) Each main track is actually tra- track interaction safety limits and ge- versed by the vehicle or inspected on ometry requirements of this subpart. foot at least once every two weeks, and each siding is actually traversed by the § 213.361 Right of way. vehicle or inspected on foot at least The track owner in Class 8 and 9 once every month. On high density shall submit a barrier plan, termed a commuter railroad lines where track

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time does not permit an on track vehi- the inspection. Records shall specify cle inspection, and where track centers the track inspected, date of inspection, are 15 foot or less, the requirements of location and nature of any deviation this paragraph (b)(3) will not apply; from the requirements of this part, and and the remedial action taken by the per- (4) Track inspection records shall in- son making the inspection. The owner dicate which track(s) are traversed by shall designate the location(s) where the vehicle or inspected on foot as out- each original record shall be main- lined in paragraph (b)(3) of this section. tained for at least one year after the (c) Each track inspection shall be inspection covered by the record. The made in accordance with the following owner shall also designate one loca- schedule— tion, within 100 miles of each state in which they conduct operations, where Class of track Required frequency copies of record which apply to those operations are either maintained or 6, 7, and 8 Twice weekly with at least 2 calendar-day’s in- can be viewed following 10 days notice terval between inspections. by the Federal Railroad Administra- 9 ...... Three times per week. tion. (d) If the person making the inspec- (c) Rail inspection records shall tion finds a deviation from the require- specify the date of inspection, the loca- ments of this part, the person shall im- tion and nature of any internal defects mediately initiate remedial action. found, the remedial action taken and (e) Each switch, turnout, track cross- the date thereof, and the location of ing, and lift rail assemblies on move- any intervals of track not tested per able bridges shall be inspected on foot § 213.339(d). The owner shall retain a at least weekly. The inspection shall be rail inspection record for at least two accomplished in accordance with the years after the inspection and for one Guidebook required under § 213.353. year after remedial action is taken. (f) In track Classes 8 and 9, if no train (d) Each owner required to keep in- traffic operates for a period of eight spection records under this section hours, a train shall be operated at a shall make those records available for speed not to exceed 100 miles per hour inspection and copying by the Federal over the track before the resumption of Railroad Administrator. operations at the maximum authorized (e) For purposes of compliance with speed. the requirements of this section, an owner of track may maintain and [63 FR 34029, June 22, 1998; 63 FR 45959, Aug. transfer records through electronic 28, 1998] transmission, storage, and retrieval provided that— § 213.367 Special inspections. (1) The electronic system be designed In the event of fire, flood, severe such that the integrity of each record storm, temperature extremes or other maintained through appropriate levels occurrence which might have damaged of security such as recognition of an track structure, a special inspection electronic signature, or other means, shall be made of the track involved as which uniquely identify the initiating soon as possible after the occurrence person as the author of that record. No and, if possible, before the operation of two persons shall have the same elec- any train over that track. tronic identity; (2) The electronic storage of each § 213.369 Inspection records. record shall be initiated by the person (a) Each owner of track to which this making the inspection within 24 hours part applies shall keep a record of each following the completion of that in- inspection required to be performed on spection; that track under this subpart. (3) The electronic system shall en- (b) Except as provided in paragraph sure that each record cannot be modi- (e) of this section, each record of an in- fied in any way, or replaced, once the spection under § 213.365 shall be pre- record is transmitted and stored; pared on the day the inspection is (4) Any amendment to a record shall made and signed by the person making be electronically stored apart from the

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record which it amends. Each amend- (7) Track inspection records shall be ment to a record shall be uniquely kept available to persons who per- identified as to the person making the formed the inspection and to persons amendment; performing subsequent inspections. (5) The electronic system shall pro- (f) Each vehicle/track interaction vide for the maintenance of inspection safety record required under § 213.333 records as originally submitted with- (g), and (m) shall be made available for out corruption or loss of data; and inspection and copying by the FRA at the locations specified in paragraph (b) (6) Paper copies of electronic records of this section. and amendments to those records, that may be necessary to document compliance with this part, shall be made available for inspection and copying by APPENDIX A TO PART 213—MAXIMUM the FRA and track inspectors respon- ALLOWABLE CURVING SPEEDS sible under § 213.305. Such paper copies shall be made available to the track in- This appendix contains four tables identi- spectors and at the locations specified fying maximum allowing curving speeds based on 3, 4, 5, and 6 inches of unbalance in paragraph (b) of this section. (cant deficiency), respectively.

TABLE 1—THREE INCHES UNBALANCE

Elevation of outer rail (inches)

0 1⁄2 1 11⁄2 2 21⁄2 3 31⁄2 4 41⁄2 5 51⁄2 6

Degree of Maximum allowable operating speed (m.p.h.) curvature

0°30′ ...... 93 100 107 113 120 125 131 136 141 146 151 156 160 0°40′ ...... 80 87 93 98 104 109 113 118 122 127 131 135 139 0°50′ ...... 72 77 83 88 93 97 101 106 110 113 117 121 124 1°00′ ...... 65 71 76 80 85 89 93 96 100 104 107 110 113 1°15′ ...... 59 63 68 72 76 79 83 86 89 93 96 99 101 1°30′ ...... 53 58 62 65 69 72 76 79 82 85 87 90 93 1°45′ ...... 49 53 57 61 64 67 70 73 76 78 81 83 86 2°00′ ...... 46 50 53 57 60 63 65 68 71 73 76 78 80 2°15′ ...... 44 47 50 53 56 59 62 64 67 69 71 73 76 2°30′ ...... 41 45 48 51 53 56 59 61 63 65 68 70 72 2°45′ ...... 39 43 46 48 51 53 56 58 60 62 64 66 68 3°00′ ...... 38 41 44 46 49 51 53 56 58 60 62 64 65 3°15′ ...... 36 39 42 44 47 49 51 53 55 57 59 61 63 3°30′ ...... 35 38 40 43 45 47 49 52 53 55 57 59 61 3°45′ ...... 34 37 39 41 44 46 48 50 52 53 55 57 59 4°00′ ...... 33 35 38 40 42 44 46 48 50 52 53 55 57 4°30′ ...... 31 33 36 38 40 42 44 45 47 49 50 52 53 5°00′ ...... 29 32 34 36 38 40 41 43 45 46 48 49 51 5°30′ ...... 28 30 32 34 36 38 39 41 43 44 46 47 48 6°00′ ...... 27 29 31 33 35 36 38 39 41 42 44 45 46 6°30′ ...... 26 28 30 31 33 35 36 38 39 41 42 43 44 7°00′ ...... 25 27 29 30 32 34 35 36 38 39 40 42 43 8°00′ ...... 23 25 27 28 30 31 33 34 35 37 38 39 40 9°00′ ...... 22 24 25 27 28 30 31 32 33 35 36 37 38 10°00′ ...... 21 22 24 25 27 28 29 30 32 33 34 35 36 11°00′ ...... 20 21 23 24 25 27 28 29 30 31 32 33 34 12°00′ ...... 19 20 22 23 24 26 27 28 29 30 31 32 33

TABLE 2—FOUR INCHES UNBALANCE

Elevation of outer rail (inches)

0 1⁄2 1 11⁄2 2 21⁄2 3 31⁄2 4 41⁄2 5 51⁄2 6

Degree of Maximum allowable operating speed (m.p.h.) curvature

0°30′ ...... 107 113 120 125 131 136 141 146 151 156 160 165 169 0°40′ ...... 93 98 104 109 113 118 122 127 131 135 139 143 146 0°50′ ...... 83 88 93 97 101 106 110 113 117 121 124 128 131 1°00′ ...... 76 80 85 89 93 96 100 104 107 110 113 116 120 1°15′ ...... 68 72 76 79 83 86 89 93 96 99 101 104 107

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TABLE 2—FOUR INCHES UNBALANCE—Continued

Elevation of outer rail (inches)

0 1⁄2 1 11⁄2 2 21⁄2 3 31⁄2 4 41⁄2 5 51⁄2 6

Degree of Maximum allowable operating speed (m.p.h.) curvature

1°30′ ...... 62 65 69 72 76 79 82 85 87 90 93 95 98 1°45′ ...... 57 61 64 67 70 73 76 78 81 83 86 88 90 2°00′ ...... 53 57 60 63 65 68 71 73 76 78 80 82 85 2°15′ ...... 50 53 56 59 62 64 67 69 71 73 76 78 80 2°30′ ...... 48 51 53 56 59 61 63 65 68 70 72 74 76 2°45′ ...... 46 48 51 53 56 58 60 62 64 66 68 70 72 3°00′ ...... 44 46 49 51 53 56 58 60 62 64 65 67 69 3°15′ ...... 42 44 47 49 51 53 55 57 59 61 63 65 66 3°30′ ...... 40 43 45 47 49 52 53 55 57 59 61 62 64 3°45′ ...... 39 41 44 46 48 50 52 53 55 57 59 60 62 4°00′ ...... 38 40 42 44 46 48 50 52 53 55 57 58 60 4°30′ ...... 36 38 40 42 44 45 47 49 50 52 53 55 56 5°00′ ...... 34 36 38 40 41 43 45 46 48 49 51 52 53 5°30′ ...... 32 34 36 38 39 41 43 44 46 47 48 50 51 6°00′ ...... 31 33 35 36 38 39 41 42 44 45 46 48 49 6°30′ ...... 30 31 33 35 36 38 39 41 42 43 44 46 47 7°00′ ...... 29 30 32 34 35 36 38 39 40 42 43 44 45 8°00′ ...... 27 28 30 31 33 34 35 37 38 39 40 41 42 9°00′ ...... 25 27 28 30 31 32 33 35 36 37 38 39 40 10°00′ ...... 24 25 27 28 29 30 32 33 34 35 36 37 38 11°00′ ...... 23 24 25 27 28 29 30 31 32 33 34 35 36 12°00′ ...... 22 23 24 26 27 28 29 30 31 32 33 34 35

TABLE 3—FIVE INCHES UNBALANCE

Elevation of outer rail (inches)

0 1⁄2 1 11⁄2 2 21⁄2 3 31⁄2 4 41⁄2 5 51⁄2 6

Degree of Maximum allowable operating speed (m.p.h.) curvature

0°30′ ...... 120 125 131 136 141 146 151 156 160 165 169 173 177 0°40′ ...... 104 109 113 118 122 127 131 135 139 143 146 150 150 0°50′ ...... 93 97 101 106 110 113 117 121 124 128 131 134 137 1°00′ ...... 85 89 93 96 100 104 107 110 113 116 120 122 125 1°15′ ...... 76 79 83 86 89 93 96 99 101 104 107 110 112 1°30′ ...... 69 72 76 79 82 85 87 90 93 95 98 100 102 1°45′ ...... 64 67 70 73 76 78 81 83 86 88 90 93 95 2°00′ ...... 60 63 65 68 71 73 76 78 80 82 85 87 89 2°15′ ...... 56 59 62 64 67 69 71 73 76 78 80 82 84 2°30′ ...... 53 56 59 61 63 65 68 70 72 74 76 77 79 2°45′ ...... 51 53 56 58 60 62 64 66 68 70 72 74 76 3°00′ ...... 49 51 53 56 58 60 62 64 65 67 69 71 72 3°15′ ...... 47 49 51 53 55 57 59 61 63 65 66 68 70 3°30′ ...... 45 47 49 52 53 55 57 59 61 62 64 65 67 3°45′ ...... 44 46 48 50 52 53 55 57 59 60 62 63 65 4°00′ ...... 42 44 46 48 50 52 53 55 57 58 60 61 63 4°30′ ...... 40 42 44 45 47 49 50 52 53 55 56 58 59 5°00′ ...... 38 40 41 43 45 46 48 49 51 52 53 55 56 5°30′ ...... 36 38 39 41 43 44 46 47 48 50 51 52 53 6°00′ ...... 35 36 38 39 41 42 44 45 46 48 49 50 51 6°30′ ...... 33 35 36 38 39 41 42 43 44 46 47 48 49 7°00′ ...... 32 34 35 36 38 39 40 42 43 44 45 46 47 8°00′ ...... 30 31 33 34 35 37 38 39 40 41 42 43 44 9°00′ ...... 28 30 31 32 33 35 36 37 38 39 40 41 42 10°00′ ...... 27 28 29 30 32 33 34 35 36 37 38 39 40 11°00′ ...... 25 27 28 29 30 31 32 33 34 35 36 37 38 12°00′ ...... 24 26 27 28 29 30 31 32 33 34 35 35 36

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TABLE 4—SIX INCHES UNBALANCE

Elevation of outer rail (inches)

0 1⁄2 1 11⁄2 2 21⁄2 3 31⁄2 4 41⁄2 5 51⁄2 6

Degree of Maximum allowable operating speed (m.p.h.) curvature

0°30′ ...... 131 136 141 146 151 156 160 165 169 173 177 181 185 0°40′ ...... 113 118 122 127 131 135 139 143 146 150 154 157 160 0°50′ ...... 101 106 110 113 117 121 124 128 131 134 137 140 143 1°00′ ...... 93 96 100 104 107 110 113 116 120 122 125 128 131 1°15′ ...... 83 86 89 93 96 99 101 104 107 110 112 115 117 1°30′ ...... 76 79 82 85 87 90 93 95 98 100 102 105 107 1°45′ ...... 70 73 76 78 81 83 86 88 90 93 95 97 99 2°00′ ...... 65 68 71 73 76 78 80 82 85 87 89 91 93 2°15′ ...... 62 64 67 69 71 73 76 78 80 82 84 85 87 2°30′ ...... 59 61 63 65 68 70 72 74 76 77 79 81 83 2°45′ ...... 56 58 60 62 64 66 68 70 72 74 76 77 79 3°00′ ...... 53 56 58 60 62 64 65 67 69 71 72 74 76 3°15′ ...... 51 53 55 57 59 61 63 65 66 68 70 71 73 3°30′ ...... 49 52 53 55 57 59 61 62 64 65 67 69 70 3°45′ ...... 48 50 52 53 55 57 59 60 62 63 65 66 68 4°00′ ...... 46 48 50 52 53 55 57 58 60 61 63 64 65 4°30′ ...... 44 45 47 49 50 52 53 55 56 58 59 60 62 5°00′ ...... 41 43 45 46 48 49 51 52 53 55 56 57 59 5°30′ ...... 39 41 43 44 46 47 48 50 51 52 53 55 56 6°00′ ...... 38 39 41 42 44 45 46 48 49 50 51 52 53 6°30′ ...... 36 38 39 41 42 43 44 46 47 48 49 50 51 7°00′ ...... 35 36 38 39 40 42 43 44 45 46 47 48 49 8°00′ ...... 33 34 35 37 38 39 40 41 42 43 44 45 46 9°00′ ...... 31 32 33 35 36 37 38 39 40 41 42 43 44 10°00′ ...... 29 30 32 33 34 35 36 37 38 39 40 41 41 11°00′ ...... 28 29 30 31 32 33 34 35 36 37 38 39 39 12°00′ ...... 27 28 29 30 31 32 33 34 35 35 36 37 38

[78 FR 16113, Mar. 13, 2013] speeds or above, or at any curving speed producing more than 6 inches of cant deficiency. APPENDIXES B–C TO PART 213 MCAT may also be used for the qualification [RESERVED] of new vehicle types intended to operate at speeds corresponding to Class 6 track, as APPENDIX D TO PART 213—MINIMALLY specified in § 213.345(c)(1). In addition, as COMPLIANT ANALYTICAL TRACK specified in § 213.345(d)(1), MCAT may be used (MCAT) SIMULATIONS USED FOR to qualify on new routes vehicle types that have previously been qualified on other QUALIFYING VEHICLES TO OPERATE routes and are intended to operate at any AT HIGH SPEEDS AND AT HIGH CANT curving speed producing more than 6 inches DEFICIENCIES of cant deficiency, or at curving speeds that 1. This appendix contains requirements for both correspond to track Class 7 speeds or using computer simulations to comply with above and produce more than 5 inches of the vehicle/track system qualification test- cant deficiency. ing requirements specified in subpart G of (a) Validation. To validate the vehicle this part. These simulations shall be per- model used for simulations under this part, formed using a track model containing de- the track owner or railroad shall obtain ve- fined geometry perturbations at the limits hicle simulation predictions using measured that are permitted for a specific class of track geometry data, chosen from the same track and level of cant deficiency. This track track section over which testing shall be per- model is known as MCAT, Minimally Com- formed as specified in § 213.345(c)(2)(ii). These pliant Analytical Track. These simulations predictions shall be submitted to FRA in shall be used to identify vehicle dynamic support of the request for approval of the performance issues prior to service or, as ap- qualification testing plan. Full validation of propriate, a change in service, and dem- the vehicle model used for simulations under onstrate that a vehicle type is suitable for this part shall be determined when the re- operation on the track over which it is in- sults of the simulations demonstrate that tended to operate. they replicate all key responses observed 2. As specified in § 213.345(c)(2), MCAT shall during qualification testing. be used for the qualification of new vehicle (b) MCAT layout. MCAT consists of nine types intended to operate at track Class 7 segments, each designed to test a vehicle’s

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performance in response to a specific type of in this appendix. The bars at the top of fig- track perturbation. The basic layout of ure 1 show which segments are required de- MCAT is shown in figure 1 of this appendix, pending on the speed and degree of cur- by type of track (curving or tangent), class vature. For example, the hunting perturba- of track, and cant deficiency (CD). The val- tion section is not required for simulation of λ ues for wavelength, , amplitude of perturba- curves greater than or equal to 1 degree. tion, a, and segment length, d, are specified

(1) MCAT segments. MCAT’s nine segments (iv) Repeated surface (a9): This segment con- contain different types of track deviations in tains three consecutive maximum permis- which the shape of each deviation is a sible profile variations on each rail.

versine having wavelength and amplitude (v) Repeated alinement (a4): This segment varied for each simulation speed as further contains two consecutive maximum permis- specified. The nine MCAT segments are de- sible alinement variations on each rail.

fined as follows: (vi) Single surface (a10, a11): This segment (i) Hunting perturbation (a1): This segment contains a maximum permissible profile var- contains an alinement deviation having a iation on one rail. If the maximum permis- wavelength, λ, of 10 feet and amplitude of sible profile variation alone produces a con- 0.25 inch on both rails to test vehicle sta- dition which exceeds the maximum allowed bility on tangent track and on track that is warp condition, a second profile variation is curved less than 1 degree. also placed on the opposite rail to limit the

(ii) Gage narrowing (a2): This segment con- warp to the maximum permissible value. tains an alinement deviation on one rail to (vii) Single alinement (a5, a6): This segment reduce the gage from the nominal value to contains a maximum permissible alinement the minimum permissible gage or maximum variation on one rail. If the maximum per- alinement (whichever comes first). missible alinement variation alone produces

(iii) Gage widening (a3): This segment con- a condition which exceeds the maximum al- tains an alinement deviation on one rail to lowed gage condition, a second alinement increase the gage from the nominal value to variation is also placed on the opposite rail the maximum permissible gage or maximum to limit the gage to the maximum permis- alinement (whichever comes first). sible value.

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(viii) Short warp (a12): This segment con- graphs (b)(1)(vi) and (vii) of this appendix. tains a pair of profile deviations to produce This segment is to be used for all simula- a maximum permissible 10-foot warp pertur- tions on Class 9 track, and only for curved bation. The first is on the outside rail, and track simulations at speeds producing more the second follows 10 feet farther on the in- than 5 inches of cant deficiency on track λ side rail. Each deviation has a wavelength, , Classes 6 through 8, and at speeds producing of 20 feet and variable amplitude for each more than 6 inches of cant deficiency on simulation speed as described below. This track Classes 1 through 5. segment is to be used only on curved track (2) Each MCAT segment simulations. Segment lengths: shall be long enough to allow the vehicle’s (ix) Combined perturbation (a7, a8, a13): This segment contains a maximum permissible response to the track deviation(s) to damp down and out combined geometry condition out. Each segment shall also have a min- on the outside rail in the body of the curve. imum length as specified in table 1 of this If the maximum permissible variations appendix, which references the distances in produce a condition which exceeds the max- figure 1 of this appendix. For curved track imum allowed gage condition, a second vari- segments, the perturbations shall be placed ation is also placed on the opposite rail as far enough in the body of the curve to allow for the MCAT segments described in para- for any spiral effects to damp out.

TABLE 1 OF APPENDIX D TO PART 213 MINIMUM LENGTHS OF MCAT SEGMENTS

Distances (ft)

d1 d2 d3 d4 d5 d6 d7 d8 d9

1000 ...... 1000 1000 1500 1000 1000 1000 1000 1000

(3) Degree of curvature. level of cant deficiency, Eu, for a given speed, (i) For each simulation involving assess- V, shall be calculated using the following ment of curving performance, the degree of equation, which assumes a curve with 6 curvature, D, which generates a particular inches of superelevation:

Where— vature for use in MCAT simulations of equipment performance on Class 1 track is not de- D = Degree of curvature (degrees). picted; it would be based on the same equa- V = Simulation speed (m.p.h.). tion using an appropriate superelevation. E = Cant deficiency (inches). u The degree of curvature for use in MCAT (ii) Table 2 of this appendix depicts the de- simulations of freight equipment perform- gree of curvature for use in MCAT simula- ance on Class 6 (freight) track is shown in tions of both passenger and freight equip- italics for cant deficiencies not exceeding 6 ment performance on Class 2 through 9 inches, to emphasize that the values apply to track, based on the equation in paragraph freight equipment only. (b)(3)(i) of this appendix. The degree of cur-

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(c) Required simulations. on tangent or curved track, or both, depend- (1) To develop a comprehensive assessment ing on the level of cant deficiency and speed of vehicle performance, simulations shall be (track class) as summarized in table 3 of this performed for a variety of scenarios using appendix. MCAT. These simulations shall be performed

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TABLE 3 OF APPENDIX D TO PART 213 SUMMARY OF REQUIRED VEHICLE PERFORMANCE ASSESSMENT USING SIMULATIONS

New vehicle types Previously qualified vehicle types

Curved track: cant deficiency Curving performance simulation: not required Curving performance simulation: not required ≤6 inches. for track Classes 1 through 5; optional for for track Classes 1 through 6; optional for track Class 6; required for track Classes 7 track Classes 7 through 9 for cant deficiency through 9. >5 inches. Curved track: cant deficiency Curving performance simulation required for all Curving performance simulation optional for all >6 inches. track classes. track classes. Tangent track ...... Tangent performance simulation: not required Tangent performance simulation not required for track Classes 1 through 5; optional for for any track class. track Class 6; required for track Classes 7 through 9.

(i) All simulations shall be performed higher, the MCAT segments described in using the design wheel profile and a nominal paragraphs (b)(1)(i) through (vii) of this ap- track gage of 56.5 inches, using tables 4, 5, 6, pendix shall be used to assess vehicle per- or 7 of this appendix, as appropriate. In addi- formance on tangent track. For track Class tion, all simulations involving the assess- 9, simulations must also include the com- ment of curving performance shall be re- bined perturbation segment described in peated using a nominal track gage of 57.0 paragraph (b)(1)(ix) of this appendix. A para- inches, using tables 5, 6, or 7 of this appen- metric matrix of MCAT simulations shall be dix, as appropriate. performed using the following range of con- (ii) If the wheel profile is different than ditions: American Public Transportation Adminis- (i) Vehicle speed. Simulations shall dem- tration (APTA) wheel profiles 320 or 340, then onstrate that at up to 5 m.p.h. above the pro- for tangent track segments all simulations posed maximum operating speed, the vehicle shall be repeated using either APTA wheel type shall not exceed the wheel/rail force and profile 320 or 340, depending on the estab- acceleration criteria defined in the Vehicle/ lished conicity that is common for the oper- Track Interaction Safety Limits table in ation, as specified in APTA SS–M–015–06, § 213.333. Simulations shall also demonstrate Standard for Wheel Flange Angle of Pas- acceptable vehicle dynamic response by in- senger Equipment (2007). This APTA stand- crementally increasing speed from 95 m.p.h. ard is incorporated by reference into this ap- (115 m.p.h. if a previously qualified vehicle pendix with the approval of the Director of type on an untested route) to 5 m.p.h. above the Federal Register under 5 U.S.C. 552(a) the proposed maximum operating speed (in 5 and 1 CFR part 51. To enforce any edition other than that specified in this appendix, m.p.h. increments). FRA must publish notice of change in the (ii) Perturbation wavelength. For each FEDERAL REGISTER and the material must be speed, a set of three separate MCAT simula- made available to the public. All approved tions shall be performed. In each MCAT sim- material is available for inspection at the ulation for the perturbation segments de- Federal Railroad Administration, Docket scribed in paragraphs (b)(1)(ii) through (vii) Clerk, 1200 New Jersey Avenue SE., Wash- and (b)(1)(ix) of this appendix, every pertur- ington, DC 20590 (telephone 202–493–6030), and bation shall have the same wavelength. The is available from the American Public Trans- following three wavelengths, λ, shall be used: portation Association, 1666 K Street NW., 31, 62, and 124 feet. The hunting perturbation Suite 1100, Washington, DC 20006 (telephone segment described in paragraph (b)(1)(i) of 202–496–4800; www.apta.com). It is also avail- this appendix has a fixed wavelength, λ, of 10 able for inspection at the National Archives feet. and Records Administration (NARA). For in- (iii) Amplitude parameters. Table 4 of this formation on the availability of this mate- appendix provides the amplitude values for rial at NARA, call 202–741–6030 or go to http:// the MCAT segments described in paragraphs www.archives.gov/federallregister/ (b)(1)(i) through (vii) and (b)(1)(ix) of this ap- codeloflfederallregulations/ pendix for each speed of the required para- ibrllocations.html. An alternative worn metric MCAT simulations. The last set of wheel profile may be used in lieu of either simulations shall be performed at 5 m.p.h. APTA wheel profile, if approved by FRA. above the proposed maximum operating (iii) All simulations shall be performed speed using the amplitude values in table 4 using a wheel/rail coefficient of friction of that correspond to the proposed maximum 0.5. operating speed. For qualification of vehicle (2) Vehicle performance on tangent track types at speeds greater than track Class 6 Classes 6 through 9. For maximum vehicle speeds, the following additional simulations speeds corresponding to track Class 6 and shall be performed:

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(A) For vehicle types being qualified for values in table 4 (i.e., a 5 m.p.h. overspeed on track Class 7 speeds, one additional set of Class 7 track). simulations shall be performed at 115 m.p.h. (C) For vehicle types being qualified for using the track Class 6 amplitude values in track Class 9 speeds, three additional sets of table 4 (i.e., a 5 m.p.h. overspeed on Class 6 simulations shall be performed. The first set track). at 115 m.p.h. using the track Class 6 ampli- (B) For vehicle types being qualified for tude values in table 4 (i.e., a 5 m.p.h. over- track Class 8 speeds, two additional sets of speed on Class 6 track), a second set at 130 simulations shall be performed. The first set m.p.h. using the track Class 7 amplitude values in table 4 (i.e., a 5 m.p.h. overspeed on at 115 m.p.h. using the track Class 6 ampli- Class 7 track), and a third set at 165 m.p.h. tude values in table 4 (i.e., a 5 m.p.h. over- using the track Class 8 amplitude values in speed on Class 6 track), and a second set at table 4 (i.e., a 5 m.p.h. overspeed on Class 8 130 m.p.h. using the track Class 7 amplitude track).

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(3) Vehicle performance on curved track paragraphs (b)(1)(ii) through (viii) of this ap- Classes 6 through 9. For maximum vehicle pendix shall be used to assess vehicle per- speeds corresponding to track Class 6 and formance on curved track. For curves less higher, the MCAT segments described in than 1 degree, simulations must also include

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the hunting perturbation segment described posed maximum operating speed using the in paragraph (b)(1)(i) of this appendix. For amplitude values in table 5 or 6 of this ap- track Class 9 and for cant deficiencies great- pendix, as appropriate, that correspond to er than 5 inches, simulations must also in- the proposed maximum operating speed and clude the combined perturbation segment de- cant deficiency. For these simulations, the scribed in paragraph (b)(1)(ix) of this appen- value of curvature, D, shall correspond to dix. A parametric matrix of MCAT simula- the proposed maximum operating speed and tions shall be performed using the following cant deficiency. For qualification of vehicle range of conditions: types at speeds greater than track Class 6 (i) Vehicle speed. Simulations shall dem- speeds, the following additional simulations onstrate that at up to 5 m.p.h. above the pro- shall be performed: posed maximum operating speed, the vehicle (A) For vehicle types being qualified for type shall not exceed the wheel/rail force and track Class 7 speeds, one additional set of acceleration criteria defined in the Vehicle/ simulations shall be performed at 115 m.p.h. Track Interaction Safety Limits table in using the track Class 6 amplitude values in § 213.333. Simulations shall also demonstrate table 5 or 6 of this appendix, as appropriate acceptable vehicle dynamic response by in- (i.e., a 5 m.p.h. overspeed on Class 6 track) crementally increasing speed from 95 m.p.h. and a value of curvature, D, that corresponds (115 m.p.h. if a previously qualified vehicle to 110 m.p.h. and the proposed maximum type on an untested route) to 5 m.p.h. above cant deficiency. the proposed maximum operating speed (in 5 m.p.h. increments). (B) For vehicle types being qualified for (ii) Perturbation wavelength. For each track Class 8 speeds, two additional set of speed, a set of three separate MCAT simula- simulations shall be performed. The first set tions shall be performed. In each MCAT sim- of simulations shall be performed at 115 ulation for the perturbation segments de- m.p.h. using the track Class 6 amplitude val- scribed in paragraphs (b)(1)(ii) through (vii) ues in table 5 or 6 of this appendix, as appro- and paragraph (b)(1)(ix) of this appendix, priate (i.e., a 5 m.p.h. overspeed on Class 6 every perturbation shall have the same track) and a value of curvature, D, that cor- wavelength. The following three wave- responds to 110 m.p.h. and the proposed max- lengths, λ, shall be used: 31, 62, and 124 feet. imum cant deficiency. The second set of sim- The hunting perturbation segment described ulations shall be performed at 130 m.p.h. in paragraph (b)(1)(i) of this appendix has a using the track Class 7 amplitude values in fixed wavelength, λ, of 10 feet, and the short table 5 or 6, as appropriate (i.e., a 5 m.p.h. warp perturbation segment described in overspeed on Class 7 track) and a value of paragraph (b)(1)(viii) of this appendix has a curvature, D, that corresponds to 125 m.p.h. fixed wavelength, λ, of 20 feet. and the proposed maximum cant deficiency. (iii) Track curvature. For each speed, a (C) For vehicle types being qualified for range of curvatures shall be used to produce track Class 9 speeds, three additional sets of cant deficiency conditions ranging from simulations shall be performed. The first set greater than 3 inches up to the maximum in- of simulations shall be performed at 115 tended for qualification (in 1 inch incre- m.p.h. using the track Class 6 amplitude val- ments). The value of curvature, D, shall be ues in table 5 or 6 of this appendix, as appro- determined using the equation defined in priate (i.e., a 5 m.p.h. overspeed on Class 6 paragraph (b)(3) of this appendix. Each curve track) and a value of curvature, D, that cor- shall include representations of the MCAT responds to 110 m.p.h. and the proposed max- segments described in paragraphs (b)(1)(i) imum cant deficiency. The second set of sim- through (ix) of this appendix, as appropriate, ulations shall be performed at 130 m.p.h. and have a fixed superelevation of 6 inches. using the track Class 7 amplitude values in (iv) Amplitude parameters. Table 5 of this table 5 or 6, as appropriate (i.e., a 5 m.p.h. appendix provides the amplitude values for overspeed on Class 7 track) and a value of each speed of the required parametric MCAT curvature, D, that corresponds to 125 m.p.h. simulations for cant deficiencies greater and the proposed maximum cant deficiency. than 3 inches and not more than 5 inches. The third set of simulations shall be per- Table 6 of this appendix provides the ampli- formed at 165 m.p.h. using the track Class 8 tude values for each speed of the required amplitude values in table 5 or 6, as appro- parametric MCAT simulations for cant defi- priate (i.e., a 5 m.p.h. overspeed on Class 8 ciencies greater than 5 inches. The last set of track) and a value of curvature, D, that cor- simulations at the maximum cant deficiency responds to 160 m.p.h. and the proposed max- shall be performed at 5 m.p.h. above the pro- imum cant deficiency.

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(4) Vehicle performance on curved track if the proposed maximum cant deficiency is Classes 1 through 5 at high cant deficiency. For greater than 6 inches. A parametric matrix maximum vehicle speeds corresponding to of MCAT simulations shall be performed track Classes 1 through 5, the MCAT seg- using the following range of conditions: ments described in paragraphs (b)(1)(ii) (i) Vehicle speed. Simulations shall dem- through (ix) of this appendix shall be used to onstrate that at up to 5 m.p.h. above the pro- assess vehicle performance on curved track posed maximum operating speed, the vehicle

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shall not exceed the wheel/rail force and ac- (iii) Track curvature. For a speed cor- celeration criteria defined in the Vehicle/ responding to 5 m.p.h. above the proposed Track Interaction Safety Limits table in maximum operating speed, a range of cur- § 213.333. Simulations shall also demonstrate vatures shall be used to produce cant defi- acceptable vehicle dynamic response at 5 ciency conditions ranging from 6 inches up m.p.h. above the proposed maximum oper- to the maximum intended for qualification ating speed. (in 1 inch increments). The value of cur- (ii) Perturbation wavelength. For each vature, D, shall be determined using the speed, a set of two separate MCAT simula- equation in paragraph (b)(3) of this appendix. tions shall be performed. In each MCAT sim- Each curve shall contain the MCAT seg- ulation for the perturbation segments de- ments described in paragraphs (b)(1)(ii) scribed in paragraphs (b)(1)(ii) through (vii) through (ix) of this appendix and have a fixed and paragraph (b)(1)(ix) of this appendix, superelevation of 6 inches. every perturbation shall have the same (iv) Amplitude parameters. Table 7 of this wavelength. The following two wavelengths, appendix provides the amplitude values for λ, shall be used: 31 and 62 feet. The short the MCAT segments described in paragraphs warp perturbation segment described in (b)(1)(ii) through (ix) of this appendix for paragraph (b)(1)(viii) of this appendix has a each speed of the required parametric MCAT fixed wavelength, λ, of 20 feet. simulations.

[78 FR 16116, Mar. 13, 2013]

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