U.S. Department of 

Transportation

Federal Railroad 

Administration

Comparison of FRA Regulations to International 

High-Speed Rail Standards

Office of Research

and Development

Washington, DC 20590

DOT/FRA/ORD-13/30 Final Report

May 2013
NOTICE

This document is disseminated under the sponsorship of the 

Department of Transportation in the interest of information 

exchange. The United States Government assumes no liability for 

its contents or use thereof. Any opinions, findings and 

conclusions, or recommendations expressed in this material do not 

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NOTICE

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manufacturers. Trade or manufacturers’ names appear herein 

solely because they are considered essential to the objective of this 

report.
i

REPORT DOCUMENTATION PAGE Form Approved

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Public reporting burden for this collection of information is estimated to average 1 hour per response, including the time for reviewing instructions, searching existing data sources, gathering and maintaining the data needed, and completing and reviewing the collection of information. Send comments regarding this burden estimate or any other aspect of this collection of information, including suggestions for reducing this burden, to Washington Headquarters Services, Directorate for Information Operations and Reports, 1215 Jefferson Davis Highway, Suite 1204, Arlington, VA 22202-4302, and to the Office of Management and Budget, Paperwork Reduction Project (0704-0188), Washington, DC 20503.

1. AGENCY USE ONLY (Leave blank) 2. REPORT DATE

May 2013

3. REPORT TYPE AND DATES COVERED

4. TITLE AND SUBTITLE

Comparison of FRA Regulations to International High-Speed Rail Standards

5. FUNDING NUMBERS

DTFR53-00-C-00012

Task Order 258

6. AUTHOR(S)

Matthew Witte, Nicholas Wilson, Robert Fries, and Huimin Wu

7. PERFORMING ORGANIZATION NAME(S) AND ADDRESS(ES)

Transportation Technology Center, Inc., a subsidiary of Association of American Railroads

55500 DOT Rd.

Pueblo, Colorado 81001

8. PERFORMING ORGANIZATION 

REPORT NUMBER

9. SPONSORING/MONITORING AGENCY NAME(S) AND ADDRESS(ES)

U.S. Department of Transportation 

Federal Railroad Administration

Office of Research and Development

Office of Railroad Policy and Development

Washington, DC 20590

10. SPONSORING/MONITORING

AGENCY REPORT NUMBER

DOT/FRA/ORD-13/30

11. SUPPLEMENTARY NOTES

Program Manager: Luis Maal

12a. DISTRIBUTION/AVAILABILITY STATEMENT

This document is available to the public through the FRA Web site at http://www.fra.dot.gov.

12b. DISTRIBUTION CODE

13. ABSTRACT (Maximum 200 words)

This report compares international standards with selected parts of Federal Railroad Administration (FRA) Code of Federal 

Regulation Title 49 CFR Transportation. The parts were preselected by FRA and are meant to reflect those areas of the 

regulations that most influence operational safety. The comparisons in this paper identify gaps and open points relative to 

European standards. Notable differences were found in the areas of vehicle track interaction, noise, safety glazing, locomotive 

safety, locomotive crashworthiness, aerodynamics, and emergency exit requirements. The report also reviews the more accessible 

Far East standards from China, Taiwan, and Japan. Transportation Technology Center, Inc., recommends formal translation and 

study of the Korean standards at a later time, possibly in conjunction with a study of railroad regulations in India, Central Asia, 

and Australia.

14. SUBJECT TERMS

49CFR Transportation, international high speed rail standards

15. NUMBER OF PAGES

158

16. PRICE CODE

17. SECURITY CLASSIFICATION

OF REPORT

Unclassified

18. SECURITY CLASSIFICATION

OF THIS PAGE

Unclassified

19. SECURITY CLASSIFICATION

OF ABSTRACT

Unclassified

20. LIMITATION OF ABSTRACT

NSN 7540-01-280-5500 Standard Form 298 (Rev. 2-89)

Prescribed by ANSI Std. 239-18

298-102
ii

METRIC/ENGLISH CONVERSION FACTORS

ENGLISH TO METRIC METRIC TO ENGLISH

LENGTH (APPROXIMATE) LENGTH (APPROXIMATE)

1 inch (in) = 2.5 centimeters (cm) 1 millimeter (mm) = 0.04 inch (in)

1 foot (ft) = 30 centimeters (cm) 1 centimeter (cm) = 0.4 inch (in)

1 yard (yd) = 0.9 meter (m) 1 meter (m) = 3.3 feet (ft)

1 mile (mi) = 1.6 kilometers (km) 1 meter (m) = 1.1 yards (yd)

1 kilometer (km) = 0.6 mile (mi)

AREA (APPROXIMATE) AREA (APPROXIMATE)

1 square inch (sq in, in2) = 6.5 square centimeters (cm2) 1 square centimeter (cm2) = 0.16 square inch (sq in, in2)

1 square foot (sq ft, ft2) = 0.09 square meter (m2) 1 square meter (m2) = 1.2 square yards (sq yd, yd2)

1 square yard (sq yd, yd2) = 0.8 square meter (m2) 1 square kilometer (km2) = 0.4 square mile (sq mi, mi2)

1 square mile (sq mi, mi2) = 2.6 square kilometers (km2) 10,000 square meters (m2) = 1 hectare (ha) = 2.5 acres

1 acre = 0.4 hectare (he) = 4,000 square meters (m2)

MASS - WEIGHT (APPROXIMATE) MASS - WEIGHT (APPROXIMATE)

1 ounce (oz) = 28 grams (gm) 1 gram (gm) = 0.036 ounce (oz)

1 pound (lb) = 0.45 kilogram (kg) 1 kilogram (kg) = 2.2 pounds (lb)

1 short ton = 2,000 pounds 

(lb)

= 0.9 tonne (t) 1 tonne (t) =

=

1,000 kilograms (kg)

1.1 short tons

VOLUME (APPROXIMATE) VOLUME (APPROXIMATE)

1 teaspoon (tsp) = 5 milliliters (ml) 1 milliliter (ml) = 0.03 fluid ounce (fl oz)

1 tablespoon (tbsp) = 15 milliliters (ml) 1 liter (l) = 2.1 pints (pt)

1 fluid ounce (fl oz) = 30 milliliters (ml) 1 liter (l) = 1.06 quarts (qt)

1 cup (c) = 0.24 liter (l) 1 liter (l) = 0.26 gallon (gal)

1 pint (pt) = 0.47 liter (l)

1 quart (qt) = 0.96 liter (l)

1 gallon (gal) = 3.8 liters (l)

1 cubic foot (cu ft, ft3) = 0.03 cubic meter (m3) 1 cubic meter (m3) = 36 cubic feet (cu ft, ft3)

1 cubic yard (cu yd, yd3) = 0.76 cubic meter (m3) 1 cubic meter (m3) = 1.3 cubic yards (cu yd, yd3)

TEMPERATURE (EXACT) TEMPERATURE (EXACT)

[(x-32)(5/9)] °F = y °C [(9/5) y + 32] °C = x °F

QUICK INCH - CENTIMETER LENGTH CONVERSION

0 1 2 3 4 5

Inches

Centimeters 0 1 2 3 4 5 6 7 8 9 10 11 12 13

QUICK FAHRENHEIT - CELSIUS TEMPERATURE CONVERSIO

 -40° -22° -4° 14° 32° 50° 68° 86° 104° 122° 140° 158° 176° 194° 212°

 

°F

 °C -40° -30° -20° -10° 0° 10° 20° 30° 40° 50° 60° 70° 80° 90° 100°

For more exact and or other conversion factors, see NIST Miscellaneous Publication 286, Units of Weights and 

Measures. Price $2.50 SD Catalog No. C13 10286 Updated 6/17/98
iii

Contents

Executive Summary........................................................................................................................ 1

1 Introduction ........................................................................................................................... 2

1.1 Background...................................................................................................................... 2

1.2 Objectives ........................................................................................................................ 2

1.3 Overall Approach............................................................................................................. 2

1.4 Scope................................................................................................................................ 2

1.5 Organization of the Report............................................................................................... 3

1.6 Summary of Substantial Findings.................................................................................... 3

2 FRA Standards ...................................................................................................................... 4

3 European Standards............................................................................................................... 5

3.1 Background...................................................................................................................... 5

3.2 Infrastructure.................................................................................................................... 9

3.3 Rolling Stock ................................................................................................................. 10

4 Section by Section Comparison to European Standards..................................................... 11

4.1 Disclaimers .................................................................................................................... 11

4.2 49 CFR Part 200 – Informal Rules of Practice for Passenger Service .......................... 11

4.3 49 CFR Part 210 – Railroad Noise Emission Compliance Regulations........................ 12

4.4 49 CFR Part 213 – Track Safety Standards................................................................... 13

4.4.1 Analysis of Track Safety Standards...................................................................... 15

4.5 49 CFR Part 221 – Rear End Marking Device – Passenger, Commuter 

and Freight Trains.................................................................................................... 18

4.6 49 CFR Part 223 – Safety Glazing Standards – Locomotives, Passenger Cars, 

and Cabooses ........................................................................................................... 18

4.7 49 CFR Part 229 – Railroad Locomotive Safety Standards.......................................... 19

4.7.1 Analysis of Railroad Locomotive Safety Standards............................................. 20

4.8 49 CFR Part 231 – Railroad Safety Appliance Standards............................................. 22

4.9 49 CFR Part 238 – Passenger Equipment Safety Standards.......................................... 22

4.9.1 Analysis of Passenger Equipment Safety Standards............................................. 24

4.9.2 49 CFR Part 238 Subpart E – Specific Requirements for Tier II 

Passenger Equipment............................................................................................ 25

4.10 49 CFR Part 239 – Passenger Train Emergency Preparedness...................................... 26

5 Far East Standards............................................................................................................... 27

5.1 China HSR Standards .................................................................................................... 27

5.1.1 Correspondence between 49 CFR and the China Code ........................................ 28

5.1.2 HSR Rolling Stock................................................................................................ 29

5.1.3 Other HSR-Related Codes and Standards............................................................. 29

5.1.4 Summary............................................................................................................... 29

5.2 Taiwan HSR Standards.................................................................................................. 30

5.3 Japan .............................................................................................................................. 32

5.4 Korea.............................................................................................................................. 39
iv

6 Conclusion........................................................................................................................... 43

7 References........................................................................................................................... 44

8 Appendix A. Spreadsheets Comparing FRA Regulations with European Standards ........ 46

9 Appendix B. Spreadsheet Comparing FRA Regulations with China Code ..................... 117

Abbreviations and Acronyms ..................................................................................................... 148

Index ........................................................................................................................................... 149
v

Illustrations

Figure 1. HSR Network in China, Red – 300 – 350 km/h, 

Yellow – 250 – 300 km/h, Orange – 200 – 250 km/h ................................................27

Figure 2. HSR Network in Taiwan, up to 300 km/h ..................................................................30
vi

Tables

Table 1. Relevant EN Standards for Railway Applications.......................................................7

Table 2. TSI References and Status............................................................................................8

Table 3. European Infrastructure HSR Definitions ....................................................................9

Table 4. FRA Track Classes.......................................................................................................9

Table 5. European Rolling Stock HSR Definitions..................................................................10

Table 6. FRA Speed Tier Designations....................................................................................10

Table 7. European Limiting Values LpAeq,Tp for the Pass-by 

Noise of Rolling Stock *.............................................................................................12

Table 8. Abbreviated Summary of Noise Standards, 40 CFR Part 201 **...............................12

Table 9. Chapter Titles of Code for Design of HSR – China ...................................................28

Table 10. Section Titles of Design Specifications for Civil Works –Taiwan.............................31

Table 11. Titles of Appendices of the Taiwan Specification......................................................31

Table 12. Ministerial Ordinance Table of Contents ...................................................................33

Table 13. Overview of South Korean Rail Regulations .............................................................39

Table 14. South Korean HSR Regulation Designations.............................................................41
1

Executive Summary

This report presents a comparison between Federal Railroad Administration (FRA) regulations 

and European and Asian high-speed rail (HSR) railroad standards. It compares part by part the 

contents of nine selected sections from Title 49 of the Code of Federal Regulations (49 CFR)

Transportation. It is intended to identify regulatory and standards issues that may be of concern 

to FRA at a time when HSR service is expanding rapidly in the United States. The comparison 

identifies gaps and open points relative to the body of European HSR rail standards. The report 

summarizes the Asian standards from China, Japan, Taiwan, and Korea. It does not compare 

standards with Association of American Railroads (AAR), American Railway Engineering and 

Maintenance-of-Way Association (AREMA), or American Public Transportation Association 

(APTA) standards but only with a subset of the 49 CFR sections that were preselected by FRA. 

In summary, the comparison identifies potential standards issues that may merit further study as

HSR expands in the United States.
2

1. Introduction

Transportation Technology Center, Inc. (TTCI), compared FRA regulations for infrastructure 

and rolling stock with European and Far East HSR standards. The comparison identifies open 

points and gaps in the standards that may merit further study as HSR expands in the United 

States. The comparison accounts for fundamental differences in the structure of the regulations. 

In general, international standards are found to be performance based, and FRA regulations tend 

to be prescriptive. The results of the study are presented in this report. 

1.1 Background

This study is timely because HSR is expanding in the United States. To take advantage of stateof-the-art technology worldwide, some foreign rolling stock may be proposed for the new and 

upgraded corridors. Such rolling stock is designed to operate on infrastructure created to foreign 

standards. An understanding of foreign standards is essential for evaluating the suitability of 

foreign rolling stock to operate safely in the United States, possibly in interoperation with U.S.

equipment.

Except for the Amtrak Northeast Corridor, there is no domestic experience of the application of

standards for speeds between 125 and 150 miles per hour (mph). Although FRA standards exist 

for operation up to 200 mph, no revenue service train has run in the United States at that speed 

on track designed to those standards. Thus, this study of foreign HSR standards is expected to 

identify areas for further study and potential revisions to FRA safety regulations.

1.2 Objectives

The objectives of this study were to identify open points and gaps in the international HSR

standards as they might apply to U.S. HSR and to report on them in a summary suitable for 

action by FRA.

1.3 Overall Approach

The study had two phases. The first phase, or preliminary report, analyzed European standards 

and compared them clause-by-clause with FRA standards. The preliminary report was delivered 

to FRA in December 2010, and feedback from it is included in this report. In the second phase, 

standards from the Far East are included but in a different manner than those of the European 

standards. Many of the Far East standards are published only in their native languages, and a 

direct comparison is not feasible without translation. Instead, a review of the Far East standards 

with a view toward their organization and content is made. 

1.4 Scope 

The study focused on HSR, which was defined in this report as an operating speed greater than 

125 mph. When foreign standards do not use the same definition, the closest foreign definition 

was used. For example, European International Union of Railways, that is, Union International 

des Chemins de fer (UIC), Category II has maximum operating speeds up to 124 mph (200 

kilometers per hour (km/h)). This study compares foreign standards to FRA regulations included 
3

in Parts 200, 210, 213, 221, 223, 229, 231, 238, and 239 of the Code of Federal Regulations 49 

CFR. It does not make comparisons to recommended practices published by AAR), AREMA), 

or APTA. References are made to these standards where appropriate, but the standards are not 

analyzed in detail.

1.5 Organization of the Report

This report contains a section by section analysis of the FRA regulations from 49 CFR relative to 

the European body of standards. It also contains an overview of the Far East HSR standards 

from China, Taiwan, Japan, and Korea. The body of the report gives the descriptions. There are 

nine appendices, one for each part of the FRA 49 CFR that was reviewed. The appendices

presented in printed form are reflections of corresponding electronic spreadsheets, which are 

available from TTCI. The spreadsheets are best viewed on a computer while reading this report. 

They contain detailed information on each section of the regulations and imbedded comments 

viewable onscreen. The report also contains an index to make finding specific topics within the 

report easier.

1.6 Summary of Substantial Findings

Gaps and inconsistencies exist between the U.S. and European regulations. Some are due to the 

differences in format, that is, the U.S. regulations are prescriptive and the European standards are

performance based. Operational inconsistencies arise from the differences between operating in 

a dedicated high-speed right-of-way versus mixed right-of-way with grade crossings. Also,

procedural differences exist, such as varying requirements for inspections or maintenance and 

the documentation of either. The following shows the areas with the most substantial 

differences:

Vehicle/Track Interaction 49 CFR 213.345 is newly proposed

Noise Noise measurement and limits

Safety Glazing Differences in testing (angle of impact)

Locomotive Safety Prescriptive versus performance specifications

Locomotive Crashworthiness Differences in collision scenarios

Track Safety Aerodynamic No U.S. regulations for tunnels, crosswinds, etc.

Emergency Exit Requirements Differences in required number and locations
4

2. FRA Standards

Appendix A shows spreadsheets that list line by line selected sections of the FRA regulations. It 

also displays corresponding European regulations. The electronic versions of these files are

available from TTCI.. The electronic format displays comments that can be viewed by moving

the mouse over the cells with a red triangle in the upper corner. Most of the FRA regulations can 

be viewed in this way. If a comment box is too small to read the entire text within, it may be 

necessary to right click the cell and select “edit comment.” In this way, the cursor enters the text 

box, and it becomes possible to scroll the contents of the text box. Graphics are not available in 

these comment boxes, so there are necessarily some omissions in this context. As such, the 

comments in this worksheet are to be considered only as references to the actual standards 

documents. Where omissions were required, a mark will indicate that more is available. The 

reader should consult the actual CFR document for the entire text. The CFR regulations can be 

obtained at: http://ecfr.gpoaccess.gov/cgi/t/text/textidx?c=ecfr&tpl=/ecfrbrowse/Title49/49tab_02.tpl. 

The sections selected from 49 CFR are as follows:

• Part 200 Informal Rules of Practice for Passenger Service

• Part 210 Railroad Noise Emission Compliance Regulations

• Part 213 Track Safety Standards

• Part 221 Rear End Marking Device – Passenger, Commuter and Freight Trains

• Part 223 Safety Glazing Standards – Locomotives, Passenger Cars and Cabooses

• Part 229 Railroad Locomotive Safety Standards

• Part 231 Railroad Safety Appliance Standards

• Part 238 Passenger Equipment Safety Standards

• Part 239 Passenger Train Emergency Preparedness
5

3. European Standards

The spreadsheets in Appendix A. Spreadsheets Comparing FRA Regulations with European 

Standards contain references to European standards. The comparison was made against the body 

of documents from the UIC. These standards were summarized in several formats. First was the 

Technical Specification for Interoperability (TSI). The TSIs were published in the official 

journal of the European Union and originate from the Commission of the European 

Communities: (CEC). They specify mandatory functional requirements for all railroads 

operating as part of the trans-European HSR system. The European Norms (EN standards) 

follow the TSIs. EN standards define detailed requirements or technical solutions and are used 

on a voluntary basis. A final consideration is the UIC code. The UIC code is the reference 

catalog of UIC leaflets. The UIC leaflets are professional recommendations that may not be 

obligatory. They are the result of international cooperation between experts of the member 

railway networks of the UIC. They are neither laws nor norms, but the measures they contain 

are often integrated in national norms, European norms, and global invitations to tender for 

railway equipment. Leaflets are produced by a subsidiary of the UIC known as the ETF 

(Editions Techniques Ferroviaires = Technical Railway Publications). 

3.1 Background

The origin of European TSIs lies in the fundamental engineering work of the Office of Research 

and Experiments (ORE), which began in the 1950s. Committees were formed in which 

European railway administrations met to discuss engineering theory and principles. Experience 

and test data were shared, and a large library of technical reports was published. These technical 

and research reports are available today through the Editions Techniques Ferroviares (ETF –

www.uic.org/etf).

The UIC used the ORE work to develop a code intended to allow standardization and 

interoperability. The UIC code is a collection of approximately 600 UIC leaflets organized 

under the following headings:

0. Statutes and regulations 

1. Passenger traffic and baggage traffic

2. Freight traffic 

3. Finance, accounting, costs, statistics 

4. Operation 

5. Equipment 

6. Haulage 

7. Fixed installations 

8. Technical specifications 

9. Information technology, other 
6

The UIC leaflets are not law, but they are often referred to in national and international norms 

and regulations. 

The UIC’s Research and Technology Department continues to support international 

collaboration. It is helping with the drafting of International Standards for Interoperability.

The European Committee for Standardization or Comité Européen de Normalisation (CEN) was 

founded in 1961 to develop standards referred to as ENs. Many ENs are mandatory under 

European Union law. The “CE” mark indicates that a product complies with the relevant ENs. 

A prEN is an EN in draft form. 

CEN Technical Committee 256 manages the development of ENs for railway applications. 

There are currently 177 railway application-published ENs and 136 under development. Table 1

shows a list of ENs relevant to this study. Note that these are listed in the application guide of 

the TSI.
7

Table 1. Relevant EN Standards for Railway Applications

Reference Title

CEN/TR 15874:2009 Noise emission – Road test of standard for rail roughness 

measurement EN 15610:2009

EN 12663-1:2010 Structural requirements of railway vehicle bodies

EN 13146-1:2002 Track – Test methods for fastening systems – Part 1: 

Determination of longitudinal rail restraint

EN:13146-8:2002 Track – Test methods for fastening systems – Part 8: In-service 

testing

EN 13231-3:2006 Track – Acceptance of works – Part 3: Acceptance of rail 

grinding, milling and planning work in track

EN 13232-3:2003 Track – Switches and crossings – Part 3: Requirements for 

wheel/rail interaction

EN 13674-1:2003+A1:2007 Track – Rail – Part 1: Vignole railway rails 46 kg/meters (m)

and above* 

EN 13674-2:20 06+A1:2010 Track – Rail – Part 2: Switch and crossing rails used in 

conjunction with Vignole railway rails 46 kg/m and above

EN 13674-3:2006+A1:2010 Track – Rail – Part 3: Check rails

EN 13674-4:2006+A1:2009 Track – Rail – Part 4: Vignole railway rails from 27 kg/m to, but 

excluding 46 kg/m

EN 14811:2006+A1:2009 Track – Special purpose rail – Grooved and associated 

construction

EN 15227:2008 Crashworthiness requirements for railway vehicle bodies

EN 15427:2008 Wheel/rail friction management – Flange lubrication

EN 15610:2009 Noise emission – Rail roughness measurement related to rolling 

noise generation

EN 50206-1:2010 Rolling Stock – Pantographs: Characteristics and tests

EN 50215:2009 Rolling Stock – Testing of rolling stock on completion of 

construction and before entry into service

prEN 16028 Railway applications – Wheel/rail friction management –

Lubricants for trainborne and trackside applications

*Vignole rail means normal flat bottomed rail such as is commonly used in North America.

ENs refer throughout to UIC leaflets. They are made into law by CEC directives. 

TSIs are intended to ensure trains can operate on all lines in the trans-European rail network. 

They can be thought of as a complementary set of ENs. They are also made into law by CEC

directives. 
8

The first set of TSIs prepared by the European Association for Railway Interoperability (AEIF) 

was adopted in 2002 for the trans-European HSR system. TSIs are now managed by the 

European Rail Agency (ERA) of the European Union. ERA was established in 2004 and began 

full operation mid-2006. It also acts as the system authority for the European Rail Traffic 

Management System (ERTMS) project, which has been set up to create signaling standards 

throughout Europe. 

TSIs are separated into conventional rail and HSR. The original HSR TSIs have been revised,

and new versions are now current. The conventional rail TSIs are being revised. Table 2 shows 

the titles and current status of TSIs.

Table 2. TSI References and Status

Subject Conventional Rail HSR

Energy 2008/284/EC L104/1

Rolling Stock Noise 2006/66/EC L37/1-49 

Freight Rolling Stock 2009/107/EC L45-1 n/a 

Passenger Rolling Stock Draft 2008/232/EC L84/132

Tractive Rolling Stock Draft 

Infrastructure Draft 2008/217/EC L77/1

Control Command & Signaling 2007/153/EC L67/13-17 2008/386/EC L136/11

Traffic Operation& Management 2009/107/EC L45-1 2008/231/EC L84/1

The titles listed in Table 2 are in reference to CEC decisions, which are notified in the Official 

Journal of the European Union. Each notified decision begins with information about 

applicability and superseded decisions. The full text of the TSI then follows. 

In summary, TSIs refer to ENs, which refer to UIC leaflets and technical research reports.

TTCI purchased and reviewed two TSIs for this study. They are:

• High-Speed Rail – Infrastructure – 2008/217/EC L77/1

• High-Speed Rail – Passenger rolling stock – 2008/232/EC L84/132
9

3.2 Infrastructure

Table 3 shows the HSR definitions used for infrastructure in Europe. 

Table 3. European Infrastructure HSR Definitions

Category Maximum Speed

(km/h)

Maximum Speed

(mph)

I Specially built ≥ 250 ≥ 156

II Specially upgraded ≈ 200 ≈ 124

III

With special features 

where the speed must 

be adapted to each 

case

For comparison, Table 4 shows the FRA class definitions for track as defined in 49CFR213.307.

Table 4. FRA Track Classes

Over Track that Meets All of 

the Requirements 

Prescribed in 49CFR Part 

213

The Maximum Allowable 

Operating Speed for Freight 

Trains (mph)

The Maximum Allowable 

Operating Speed for 

Passenger Trains (mph)

Excepted track 10 N/A

Class 1 track 10 15

Class 2 track 25 30

Class 3 track 40 60

Class 4 track 60 80

Class 5 track 80 90

Class 6 track 110

Class 7 track 125

Class 8 track 160

Class 9 track 220
10

3.3 Rolling Stock

Table 5 shows the HSR definitions used for rolling stock in Europe.

Table 5. European Rolling Stock HSR Definitions

Class Maximum Speed

(km/h)

Maximum Speed

(mph)

1 ≥ 250 ≥ 156

2 ≥ 190 and < 250 ≥ 119 and < 156

For comparison, Table 6 shows the speed tier classifications for FRA.

Table 6. FRA Speed Tier Designations

Tier 0 IA IB IC II III IV V Description Regional Rail Conventional Emerging HSR HSR Regional HSR Mixed HSR Passenger HSR Dedicated HSR Express

Speed 

range 

(mph)

0-65 0-79 0-80/110 0-111/125 0-126/150 0-150 0-150 0-200/220

Track 

Class Class 4 Class 4 Class 5/6 Class 7 Class 8 Class 8 Class 8 Class 9
11

4. Section by Section Comparison with European Standards

The analyses that follow summarize the worksheets that are presented in Appendix A 

Spreadsheets Comparing FRA Regulations with European Standards. Each worksheet 

corresponds to each section. It is best to open the corresponding spreadsheet while reading each

analysis.

4.1 Disclaimers

A review of the European regulations revealed that they are not complete. Since the transEuropean HSR system passes through many countries, each with its own local standards, it is 

nearly impossible to standardize all aspects of the system. Accordingly, the TSIs, which are the 

overriding documents intended to ensure interchangeability, are essentially not comprehensive. 

The EN standards and UIC leaflets fill in many of the gaps, but inasmuch as the UIC leaflets are 

not law, they only provide technical guidelines rather than immutable standards. Of additional 

concern is the overall format and organization of the standards and how the format varies 

between the United States and Europe. For instance, the European standards are primarily 

performance based, whereas the U.S. regulations tend to be prescriptive in nature. These 

differences complicate the comparison but do not prevent it. The differences simply require 

some creative cross-referencing between various sections of the standards.

When reviewing the comparison spreadsheets, observe that notes are overlaid on many cells of 

the spreadsheet. These notes give details for the regulation listed, or analysis of the regulation, 

depending on context. The “Comments” field shows an analysis of the regulation in that line. A 

gap is implied on lines that have no entry in the “Corresponding UIC Regulation” column. 

These gaps are generally not significant to safety. For instance, penalties and waivers are called 

out in the FRA regulations but not in the international regulations. In general, enforcement 

differences are not regarded as significant to this effort. The gaps reported are where substantial 

differences have been identified between the content and the intent of the regulations.

Gaps are inferred by blank lines in the worksheet. The worksheet is arranged with a line for each 

section of the FRA regulations; the corresponding UIC regulations, whether TSI, EN, or leaflet,

are listed on that line. In places where no UIC entries are listed, there may be no corresponding 

regulation, or the appropriate rule was not discerned from the literature researched. Thus, the

gap analysis should not be considered comprehensive.

4.2 49 CFR Part 200 ▬ Informal Rules of Practice for Passenger Service

The analysis for 49 CFR Part 200, Informal Rules of Practice for Passenger Service is almost 

trivial. It prescribes procedures under which applications will be received and heard and by 

which rules and orders will be issued under subsection 402(e) and section 406 of the Rail 

Passenger Service Act (45 U.S.C. 562(e) and 566). This section from the U.S. regulations has no 

direct counterpart in the European regulations. UIC Leaflet AO UIC Internal Regulations tells 

how to join the International Union of Railways, which is similar to garnering authority to 

change the rules.
12

4.3 49 CFR Part 210 ▬ Railroad Noise Emission Compliance Regulations

The scope of 49 CFR Part 210.1, Railroad Noise Emission Compliance Regulations, reads: 

“This part prescribes minimum compliance regulations for enforcement of the Railroad Noise 

Emission Standards established by the Environmental Protection Agency in 40 CFR Part 201.” 

This aligns with the European Essential Requirements stated here: 2.6.1 Health: “Operation of 

the trans-European HSR system must remain within the statutory noise nuisance limits.” In 

addition, Essential Requirements 2.6.2 Environmental protection states: “Operation of the transEuropean HSR system must not cause a level of ground vibrations which is unacceptable for 

activities and the immediate environment in the vicinity of the infrastructure and in a normal 

state of maintenance.” As such, the objectives and meaning of the sections are well aligned, 

even though the U.S. regulations are about noise emissions and the European regulations are 

about the impact of those noise emissions.

The analysis of 49CFR Part 210, Railroad Noise Emission Compliance Regulations is 

straightforward. The only deviations that are not gaps regarding enforcement rules are section 

210.27 New locomotive certification, and Appendix B to Part 210 Switcher Locomotive 

Enforcement Policy. The European regulations do not distinguish locomotive age or service 

type. Finally, there are differences in the acceptable sound levels and the details of measuring, 

but overall, it appears that the spirit and substance of the noise regulations are similar between 

the United States and Europe. Tables 7 and 8 list the actual noise limits for Europe and the 

United States.

Table 7. European Limiting Values LpAeq,Tp for the Pass-by Noise of Rolling Stock*

Rolling Stock Speed (km/h)

200 250 300 320

Class 1 Trainset 87 dB(A) 91 dB(A) 92 dB(A)

Class 2

Trainset or 

variable 

formations

88 dB(A)

*From TSI Rolling Stock, Section 4.2.6.5.4.

Table 8. Abbreviated Summary of Noise Standards, 40 CFR Part 201**

Paragraph and 

Section Noise Source

Noise Standard 

– A Weighted 

Sound Level in 

dB

Noise Measure

201.12(b) Moving 

locomotive 90 Lmax(fast)

201.13(2)

Rail cars moving 

at speeds 

greater than 45 

mph

93 Do

** From 49 CFR Part 210 Appendix A – Summary of Noise Standards.

Lmax = Maximum sound level.
13

4.4 49 CFR Part 213 ▬ Track Safety Standards

Most of the 49 CFR Part 213 Track Safety Standards are captured in the TSI High-Speed

Infrastructure L071 2008-217-EC. This TSI addresses many of the essential requirements that 

affect track safety. The European Essential Requirements relevant to track safety standards are 

listed here:

• Essential Requirement 2.2.1. To guide the train

• Essential Requirement 2.2.2. To support the train

• Essential Requirement 2.2.3. To allow free and safe passage of a train within a given 

volume

• Essential Requirement 2.2.4. To allow passengers boarding and alighting from trains 

stopped in stations.

• Essential Requirement 2.2.5. To ensure safety

• Essential Requirement 2.2.6. To respect the environment

• Essential Requirement 2.2.7. To maintain the train

Other Essential Requirements also relate to track safety standards covered in 49 CFR Part 213:

• Essential Requirement 1.1.1. The design, construction or assembly, maintenance and 

monitoring of safety-critical components, and more particularly of the components 

involved in train movements must be such as to guarantee safety at the level 

corresponding to the aims laid down for the network, including those for specific 

degraded situations.

• Essential Requirement 1.1.2. The parameters involved in the wheel/rail contact must 

meet the stability requirements needed in order to guarantee safe movement at the 

maximum authorised speed.

• Essential Requirement 1.1.3. The components used must withstand any normal or 

exceptional stresses that have been specified during their period in service. The safety 

repercussions of any accidental failures must be limited by appropriate means.

• Essential Requirement 1.1.4. The design of fixed installations and rolling stock and the 

choice of the materials used must be aimed at limiting the generation, propagation and 

effects of fire and smoke in the event of a fire.

• Essential Requirement 1.2. Reliability and availability.

• Essential Requirement 1.2. The monitoring and maintenance of fixed or movable 

components that are involved in train movements must be organised, carried out and 

quantified in such a manner as to maintain their operation under the intended conditions.

• Essential Requirement 1.4. Environmental protection.

• Essential Requirement 1.4.1. The repercussions on the environment of the establishment 

and operation of the trans-European high-speed rail system must be assessed and taken 
14

into account at the design stage of the system in accordance with the Community 

provisions in force.

• Essential Requirement 1.4.2. The materials used in the trains and infrastructures must 

prevent the emission of fumes or gases which are harmful and dangerous to the 

environment, particularly in the event of fire.

• Essential Requirement 1.4.3. The rolling stock and energy-supply systems must be 

designed and manufactured in such a way as to be electromagnetically compatible with 

the installations, equipment and public or private networks with which they might 

interfere.

• Essential Requirement 1.5. Technical compatibility.

The technical characteristics of the infrastructures and fixed installations must be compatible 

with each other and with those of the trains to be used on the trans-European HSR system. If 

adherence to these characteristics proves difficult on certain sections of the network, temporary 

solutions, which ensure compatibility in the future, may be implemented.

• Essential Requirement 2.1.1. Safety

Appropriate steps must be taken to prevent access to or undesirable intrusions into installations 

on lines travelled at high speed. Steps must be taken to limit the dangers to which persons are 

exposed, particularly in stations through which trains pass at high speed. Infrastructures to 

which the public has access must be designed and made in such a way as to limit any human 

health hazards (stability, fire, access, evacuation, platforms, etc.).

• Essential Requirement 2.6.2. Environmental protection

Operation of the trans-European HSR system must not cause a level of ground vibrations which 

is unacceptable for activities and the immediate environment in the vicinity of the infrastructure 

and in a normal state of maintenance.

Safety

To meet the general requirements, the infrastructure is, at the level of safety corresponding to the 

aims laid down for the network, to:

• allow trains to run without the risk of derailment or collisions between them or with other 

vehicles or fixed obstacles, and avoiding unacceptable risks associated with the proximity 

of the electric traction supply,

• withstand without failure the vertical, lateral and longitudinal loads, whether static or 

dynamic, exerted by the trains, in the specified track environment and while achieving the 

required performance,

• permit the monitoring and maintenance of the installations necessary to keep the critical 

components in safe condition,

• not comprise materials prone to generate noxious fumes in the event of fire; this 

requirement concerns only those infrastructure elements located in confined air spaces 

(tunnels, covered cuts and underground stations).
15

• deter access to the installations, other than the platform areas accessible to passengers, 

by people who are not authorised staff,

• permit control of the risk of intrusion by undesirable persons or vehicles into the railway 

premises,

• ensure that the areas accessible to passengers in the course of normal line operation are 

located away from the tracks carrying trains at high-speed, or are suitably segregated 

from those tracks, to minimize the risk to the passengers, and are provided with the 

necessary access ways to evacuate passengers, in underground stations in particular,

• allow disabled passengers appropriate means of access and evacuation to/from public 

areas made accessible to them, by appropriate measures,

• ensure that passengers may be kept clear of hazardous areas in the event that a highspeed train stops out of course outside the station areas provided for the purpose,

• ensure that in long tunnels special measures are taken to prevent fire, and to mitigate the 

outcome and to facilitate the evacuation of passengers should a fire occur

• ensure that the equipment provide the right quality of the sand.

Several of the European track safety standards are also addressed in the TSI Rolling Stock. The 

spreadsheet Appendix A 49CFR213 Track Safety FRA Regs to UIC.xlsx summarizes the overall 

results considering both TSIs and the supporting documents.

4.4.1 Analysis of Track Safety Standards

The track safety standards defined in 49 CFR Part 213 Track Safety Standards have several open 

points and gaps. The following discussion will address these points on a subpart by subpart 

basis. 

4.4.1.1 49 CFR Part 213 Subpart A – General

The scope for 49 CFR Part 213 Subpart A – General of the U.S. regulations states: “This part 

prescribes minimum safety requirements for railroad track that is part of the general railroad 

system of transportation. The requirements prescribed in this part apply to specific track 

conditions existing in isolation.” This part of the U.S. code specifies track classes and 

designation of persons qualified to supervise renewals and inspections. Both of these functions 

are represented by equivalent sections in the European documents. This subpart also details 

requirements for renewing and measuring track under both traffic and unloaded conditions. The 

European regulations are not arranged based on these distinctions but do call out maintenance 

rules that accomplish the same objectives. Also, this section of the U.S. code calls out 

responsibility for compliance, penalties, waivers, and information collection requirements. 

Enforcement rules will vary based on local customs and thus appear as a gap.

4.4.1.2 49 CFR Part 213 Subpart B – Roadbed

49 CFR Part 213 Subpart B – Roadbed prescribes minimum requirements for roadbed and areas 

immediately adjacent to the roadbed. Relative to the European standards, there are several open 

points. One is specification of gradients. The TSI Infrastructure calls out maximum rising and 

falling gradients. These ensure train performance as related to acceleration and braking. 
16

Gradient in the United States was established by the Land Grants Act of 1862, which essentially 

limited maximum gradient to the existing maximum on the Baltimore and Ohio Railroad at the 

time. Gradient is not addressed in the FRA regulations. The next specifications are vegetation 

and drainage. The U.S. standards specify maintenance and upkeep of culverts and control of

vegetation. No corresponding rules were found in the body of the European regulations.

4.4.1.3 49 CFR Part 213 Subpart C – Track Geometry

49 CFR Part 213 Subpart C – Track Geometry prescribes requirements for the gage, alignment, 

and surface of track, and the elevation of outer rails and speed limitations for curved track. One 

notable difference exists in the specification of track geometry. There is a gap in how rail 

section is specified. EN 13674-1:2003 specifies rail cross sections. In the United States, a rail 

section is an AREMA standard and is not regulated by FRA. Other track geometry 

specifications are consistent between U.S. and European standards. Even though they are 

categorized differently, the essential track geometry features of gage, alignment, curvature, 

elevation, cant, runoff, and track surface are addressed to some extent in U.S. and European

bodies of regulations. The spreadsheet lists the governing European documents. 

4.4.1.4 49CFR Part 213 Subpart D – Track Structure

49 CFR Part 213 Subpart D – Track Structure prescribes minimum requirements for ballast, 

crossties, track assembly fittings, and the physical conditions of rails. This subpart has several 

notable gaps and open points. The first issue is ballast pickup. The TSI Rolling Stock Section 

4.2.3.11 Aerodynamic effects on ballast lists ballast pickup as an open point. The FRA 

regulations address the function of ballast but not the potential pickup of ballast during highspeed operation. The current state of the U.S. regulation has the same verbiage in both Sections 

213.103 Ballast, under Subpart D – Track Structure, and 213.334 Ballast, under Subpart G –

Train Operations at Track Classes 6 and Higher. Although it is generally recognized that ballast 

must be secured for HSR lines, there is no regulation on this topic in the FRA code. 

Next is the issue of track resistance or strength. The TSI Infrastructure Section 4.2.13 Track 

Resistance specifies track strength requirements. In the United States, track strength is regulated 

more by features (e.g., number of fasteners) than by overall objective (i.e., strength sufficient for 

regulated maximum axle load). This gap is in part due to maximum freight car axle load being

governed by AAR standards rather than FRA regulations. The U.S. regulations also have a more 

detailed treatment of special components such as frogs and guard rails. Finally, the U.S. 

regulations have very specific details regarding rail joining methods, specifically continuous 

welded rail, rail joints, or torch cut rails. The May 10, 2010 Notice of Proposed Rule Making 

(NPRM) proposes a new section 213.118 Continuous Welded Rail (CWR); Plan Review and 

Approval. The European regulations are not organized to the same specifics.

4.4.2 49 CFR Part 213 Subpart E – Track Appliances and Track Related Devices

49 CFR Part 213 Subpart E – Track Appliances and Track Related Devices of the U.S. regulation 

covers derails. Its scope states that “this subpart prescribes minimum requirements for certain 

track appliances and track-related devices.” It has no counterpart in the European regulations.
17

4.4.2.1 49 CFR Part 213 Subpart F – Inspection

The scope of 49 CFR Part 213 Subpart F – Inspection, states: “This subpart prescribes 

requirements for the frequency and manner of inspecting track to detect deviations from the 

standards prescribed in this part.” The entire section is a gap relative to European regulations. 

There is no specific section in the European regulations that calls out inspection frequency. The 

European regulations specify test methods rather than inspection schedules to assure compliance 

of track structure.

4.4.2.2 49 CFR Part 213 Subpart G – Train Operations at Track Classes 6 and 

Higher

49 CFR Part 213 Subpart G – Train Operations at Track Classes 6 and Higher has gaps and 

open points. Its scope states: “This subpart applies to all track used for the operation of trains at 

a speed greater than 90 mph for passenger equipment and greater than 80 mph for freight 

equipment.” Several gaps are observed. First are a number of aerodynamic effects of HSR

operation that are not yet mentioned in the U.S. regulations. Leaflet 734, Adaptation of safety 

installations to high-speed requirements, and TSI Infrastructure sections 4.2.16, Maximum 

pressure variation in tunnels, 4.2.14.7 Aerodynamic actions from passing trains on line side 

structures, and 4.2.17 Effects of crosswinds, are examples of aerodynamic regulations that exist 

in the European standards but have no equivalent in the U.S. code. An additional European 

regulation that may have no U.S. HSR counterpart is 4.2.18, Electrical characteristics. This 

section regards electrical resistance and the signaling system, which does not fall within the track 

safety subpart of the U.S. regulations. Reciprocal gaps, items listed in the U.S. regulation but not 

specifically detailed in the European body, include the following 49 CFR Parts: 213.309 

Restoration or renewal of track under traffic conditions, 213.311 Measuring track not under 

load, 213.317 Waivers, 213.319 Drainage, and 213.321 Vegetation. 

Next, inspection of rails is called out differently in the U.S. than in Europe. 49 CFR Parts

213.341 Initial inspection of new rail and welds and 213.343 Continuous welded rail (CWR) are 

unique to the U.S. regulations. In addition, the 49 CFR Parts 213.347 Automotive or railroad 

crossings at grade, 213.351 Rail joints, 213.352 Torch cut rail, 213.361 Right of way, 213.365 

Visual inspections, 213.367 Special inspections, and 213.369 Inspection records all have no 

specific counterpart in the European HSR regulations. 

One open point in Subpart G is ballast pickup. The European regulations indicate this is as an 

open point, and the U.S. regulations do not address it, as similar in 49CFR Part 213 Subpart D. 

An additional open point appears relative to Appendix D to Part 213 – Minimally Compliant 

Analytical Track (MCAT) Simulations Used for Qualifying Vehicles to Operate at High Speed 

and at High Cant Deficiency. The European regulations address vehicle dynamics in Annex G, 

Effects of Crosswinds, specifically under Section G.5.4 Vehicle dynamics determination. The 

goals of assuring safe operation are the same, but the scenarios and conditions vary substantially. 

The MCAT regulation as proposed in 49 CFR Part 213.345 of the May 10, 2010 Vehicle Track 

Interaction Notice of Proposed Rule Making (VTINPRM) from FRA is closely related to the 

European standards listed in the spreadsheet.

An arguable open point exists regarding Track Stiffness. Track Stiffness is listed as an open 

point in the TSI Infrastructure Section 4.2.15 Global Track Stiffness. FRA regulation 49 CFR 

Part 213.359 does specify track stiffness. So although the specification for track stiffness is open 
18

in the European standards, it is already accounted for in the United States. It is interesting to 

note that the TSI Infrastructure does have a Section 4.2.13 Track Resistance, which does specify 

minimum load bearing capability of the track.

49 CFR Part 213.361, Right of way of the U.S. code requires that “The track owner in Class 8 

and 9 shall submit a barrier plan, termed a ‘right-of-way plan,’ to the Federal Railroad 

Administration for approval. At a minimum, the plan will contain provisions in areas of 

demonstrated need for the prevention of—(a) Vandalism; (b) Launching of objects from 

overhead bridges or structures into the path of trains; and (c) Intrusion of vehicles from adjacent 

rights of way.” European standards prohibit grade crossings but leave the issue of limiting 

intrusion to the discretion of each nation.

Finally, the apparent gap regarding 49 CFR Part 213.365 Visual inspections, Part 213.367 

Special inspections, and Part 213.369 Inspection records is not so much a gap as a difference in 

how the track geometry is ensured. Maintenance procedures and inspection records are required 

in the European standards, but they are not specified by the same headings. Inspection records 

are referred to in TSI Infrastructure 4.2.10 Track geometrical quality and limits on isolated 

defects. 

4.5 49 CFR Part 221 – Rear End Marking Device ▬ Passenger, Commuter and 

Freight Trains

The scope of 49 CFR Part 221 – Rear End Marking Device – Passenger, Commuter and Freight 

Trains reads: “This part prescribes minimum requirements governing highly visible marking 

devices for the trailing end of the rear car of all passenger, commuter and freight trains. So long 

as these minimum requirements are met, railroads may adopt additional or more stringent 

requirements for rear end marking devices.” The rear end marking device is intended to increase 

visibility of the train. In general, it functions in conjunction with the headlamps, horn, and 

conspicuity devices to increase awareness of the presence of the train. The European regulations 

have sections for horns and lamps, which generally include the function of the rear marking 

device in the United States. The essential requirement that is satisfied by external marking 

devices is 2.4.3.3. Technical Compatibility, “The characteristics of the rolling stock must be such 

as to allow it to travel on any line on which it is expected to operate.” The gaps between the U.S. 

regulation and the European requirements are primarily differences of enforcement and 

inspection.

4.6 49 CFR Part 223 ▬ Safety Glazing Standards ▬ Locomotives, Passenger Cars, 

and Cabooses

The scope of 49 CFR Part 223 – Safety Glazing Standards – Locomotives, Passenger Cars, and 

Cabooses reads: “This part provides minimum requirements for glazing materials in order to 

protect railroad employees and railroad passengers from injury as a result of objects striking the 

windows of locomotives, caboose and passenger cars.” There are two European essential 

requirements that are satisfied: Essential requirement 1.1.1 Safety:”The design, construction or 

assembly, maintenance and monitoring of safety-critical components, and more particularly of 

the components involved in train movements must be such as to guarantee safety at the level 

corresponding to the aims laid down for the network, including those for specific degraded 

situations.” And Essential requirement 1.1.3 Safety: “The components used must withstand any 
19

normal or exceptional stresses that have been specified during their period in service. The safety 

repercussions of any accidental failures must be limited by appropriate means.” The TSI Rolling 

Stock Section 4.2.2.7 Windscreen and front of the train gives the European specification for the 

safety glazing. Annex J Windscreen properties of the same TSI prescribes the optical and 

strength properties and the test required of the windscreen. One difference in the qualification 

testing may affect the overall strength requirement of the windscreen. This difference is that the 

European standard allows impacting the glazing at the installed angle rather than requiring a 

right angle impact test as in the United States. The U.S. qualification test will impose a much 

higher glazing strength requirement on trains operated in the United States. The gaps in this 

section are otherwise relative to enforcement.

4.7 49 CFR Part 229 ▬ Railroad Locomotive Safety Standards

The intent of 49 CFR Part 229 – Railroad Locomotive Safety Standards is to ensure the safety of 

the train operator. The European standards do not have a correlating heading. Instead, the safety 

of the power unit of trains is specified in the same standards sections as the rolling stock. The 

safety of European rolling stock is ensured by those regulations that address the essential 

requirements. The European essential requirements relevant to rolling stock safety are: 

• Essential requirement 2.4.1.1 Safety: “The rolling stock structures and those of the links 

between vehicles must be designed in such a way as to protect the passenger and driving 

compartments in the event of collision or derailment.” 

• Essential requirement 1.2 Reliability and Availability: “The monitoring and maintenance 

of fixed or moveable components that are involved in train movements must be 

organised, carried out and quantified in such a manner as to maintain their operation 

under the intended conditions.” 

• Essential requirement 2.4.2 Reliability and Availability: “The design of the vital 

equipment and the running, traction and braking equipment and also the control 

command system must, in a specific degraded situation, be such as to enable the train to 

continue without adverse consequences for the equipment remaining in service.” 

• Essential requirement 2.4.1.6 Safety: “The access door must incorporate an opening and 

closing system which guarantees passenger safety.” 

• Essential requirement 1.1.5 Safety: “Any devices intended to be handled by users must 

be so designed as not to impair their safety if used foreseeably in a manner not in 

accordance with the posted instructions.” 

• Essential requirement 1.1.3 Safety: “The components used must withstand any normal or 

exceptional stresses that have been specified during their period in service. The safety 

repercussions of any accidental failures must be limited by appropriate means.” 

• Essential requirement 2.4.1.4: “Steps must be taken to prevent access to electrically live 

constituents in order not to endanger the safety of persons”. 

• Essential requirement 1.1.1 Safety: “The design, construction or assembly, maintenance 

and monitoring of safety-critical components, and more particularly of the components 

involved in train movements must be such as to guarantee safety at the level 
20

corresponding to the aims laid down for the network, including those for specific 

degraded situations.” 

• Essential requirement 1.1.2 Safety: “The parameters involved in the wheel-rail contact 

must meet the stability requirements needed in order to guarantee safe movement at the 

maximum authorised speed.” 

4.7.1 Analysis of Railroad Locomotive Safety Standards

Because of the differing regulatory approaches, there are many gaps between the U.S. code and 

European standards regarding locomotive safety. The following analysis investigates the 

differences one subpart at a time. 

4.7.1.1 49 CFR Part 229 Subpart A – General

The scope of 49 CFR Part 229 Subpart A reads: “This part prescribes minimum Federal safety 

standards for all locomotives except those propelled by steam power.” There is no 

corresponding section in the European standards. The only common element is found in 49 CFR 

Part 229.4 Information Collection. Here, the U.S. regulations call out what data must be 

recorded during locomotive inspections. TSI Rolling Stock, Section 4.2.10 Maintenance, calls 

out documentation requirements for management of maintenance data. All other sections of this 

subpart are gaps relative to the European standards.

4.7.1.2 49 CFR Part 229 Subpart B – Inspection and Tests

49 CFR Part 229 Subpart B – Inspection and Tests establishes inspection schedules for 

locomotives. The European regulations do not call out inspection schedules but rather require 

documented maintenance plans. TSI Rolling Stock Section 4.2.10 Maintenance contains the 

sections that specify the maintenance file, the maintenance design justification file, and the 

maintenance documentation. All other sections of this subpart are gaps relative to the European 

standards.

4.7.1.3 49 CFR Part 229 Subpart C – Safety Requirements

49 CFR Part 229 Subpart C – Safety Requirements has several categories. These include General 

Requirements, Brake System, Draft System, Suspension System, Electrical System, Internal 

Combustion Equipment, Steam Generators, and Cabs and Cab Equipment. The European 

standards do at least touch on most of these categories but often in very different ways. First are 

the General Requirements. This section establishes driver protection by establishing safety of 

the cab environment in terms of shielding, noxious gas entry, and securement of equipment in 

the cab. The TSI Rolling Stock Section 4.2.2 Structure and mechanical parts establishes similar 

requirements in Europe. The gap here is that there are few European regulations that pertain 

specifically to the locomotive. 

The Brake System regulations in the U.S. code are based on inspection and mechanical assurance 

of components. The TSI Rolling Stock Section 4.2.4 Braking specifies the braking performance 

rather than the condition of the components. 

Draft System requirements exhibit the most similarities between the two bodies of regulation, 

although, once again the U.S. regulations are based on measurable inspection criteria, whereas
21

the TSI Rolling Stock Section 4.2.2.2 End couplers and coupling arrangements to rescue trains

specifies the hardware required rather than the assurance of its condition. 

Suspension System requirements appear to gap substantially. The differences are primarily in 

assurance of performance. In the U.S. regulations, measurable inspection criteria are called out. 

In the European regulations, suspension system performance is specified by dynamic behavior. 

TSI Rolling Stock Section 4.2.3.4 Rolling stock dynamic behavior and EN14363:2005 Railway

Applications – Testing for the acceptance of running characteristics of railway vehicles are the 

relevant European documents. The dynamic behavior in the United States is currently addressed

by 49 CFR Part 213.345 Vehicle/track system qualification. Low-speed dynamic safety in terms 

of severe track twist over the length of the bogie/car, wheel unloading, and truck rotation 

resistance is explicitly addressed in the European documents. In the U.S. regulations (49 CFR

Part 213 Subpart C), track geometry is specified but not dynamic performance of the vehicles. 

This may be significant for interoperability of HSR equipment on mixed right-of-way.

Electrical System requirements in the U.S. regulations cover current collection, manually 

operated switches, cover doors and markings, jumpers, and motors and generators. Both 

function and measurable criteria are called out. In the European regulations, TSI Rolling Stock

Section 4.2.8.3 Functional and technical specification related to the electric power supply and a 

series of leaflets 600, 603, 605, 606-1, 608, and 611 specify the electrical requirements. Overall, 

the European electrical system is more completely specified than the United States, as would be 

expected on a mature all electric system. 

Neither Internal Combustion Equipment nor Steam Generators have a counterpart in the 

European HSR regulations. This is a reciprocal gap in which the U.S. regulations are more 

complete than the European standard.

The majority of Cabs and Cab Equipment regulated items are consistent with European 

standards, but there are several notable gaps. First is 49 CFR Part 229.115 Slip/slide alarms. 

Traction control is required on all European HSR trains, obviating the need for an alarm. Next 

is 49 CFR Part 229.117 Speed indicators. This section specifies requirements for the speed 

indicator. TSI Rolling Stock Section 4.2.7.14 Driver-machine-interface (DMI) indicates that the 

display for driving cabs is an open point, so the presence of a speed indicator is not ensured. 49

CFR Part 229.119 Cabs, floors, and passageways specifies the physical requirements of the cab 

regarding seating, passage, and heating/ventilation in the cab. TSI Rolling Stock Sections 

4.2.7.12 Driver’s cab emergency exits and 4.2.2.6 Driver’s cab are the most similar European 

standards. An interesting gap is that the European standards require a storage facility for the 

staff’s uniforms and required personal gear. No such facility is mentioned in the U.S. 

regulations. 49 CFR Part 229.123 Pilots, snowplows, end plates is a gap relative to European 

standards. No mention of snow plows was found in the European literature. 49 CFR Part

229.127 Cab lights does not have a specific counterpart in the TSI Rolling Stock. However, 

essential requirement 2.4.1.9 states: “An emergency lighting system having a sufficient intensity 

and duration is an absolute requirement on board trains.” The remaining sections of 49 CFR Part 

229 Subpart C, regarding headlights, auxiliary lights, locomotive horn, marker lights, event 

recorders, and sanitation are generally consistent with European requirements.
22

4.7.1.4 49 CFR Part 229 Subpart D – Locomotive Crashworthiness 

Design Requirements

49 CFR Part 229 Subpart D – Locomotive Crashworthiness Design Requirements is largely 

gapped relative to European standards. The European standards do not isolate locomotive 

crashworthiness from all passenger vehicle crashworthiness. Two notable EN standards address 

vehicle structural requirements for crashworthiness. These are EN12663-1:2010 Railway 

applications – Structural requirements of railway vehicle bodies Part 1: Locomotives and 

passenger rolling stock (and alternative method for freight wagons) and EN 15227:2008 Railway 

Applications – Crashworthiness requirements for railway vehicle bodies. TSI Rolling Stock

Section 4.2.2.3 Strength of vehicle structure and Section 4.2.2.3.2 Principles (functional 

requirements) correspond closely with U.S. 49 CFR Part 229.141 Body Structure, MU 

locomotives and 59 CFR Part 229.206 Design requirements. Other sections of the U.S. code are 

gaps by virtue of their specificity to locomotives. A notable gap in the U.S. code arises from the 

TSI Rolling Stock Annex A, Section 4.2.2.3.3 Specifications (simple load cases and design 

collision scenarios), in which specific collision scenarios are defined. The U.S. code specifies 

different collision scenarios.

4.8 49 CFR Part 231 – Railroad Safety Appliance Standards

49 CFR Part 231 – Railroad Safety Appliance Standards, imposes requirements on the 

mechanical condition of the man-machine touch point hardware on rail cars. Note that most of 

the sections in this part are with regard to freight vehicles that do not apply to HSR passenger 

service. There are very few corresponding European regulations. The European essential 

requirement that applies is Essential Requirement 1.2: “The monitoring and maintenance of 

fixed or moveable components that are involved in train movements must be organized, carried 

out and quantified in such a manner as to maintain their operation under the intended 

conditions.” TSI Rolling Stock Section 4.2.2.2 End couplers and coupling arrangement to 

rescue trains addresses coupler requirements but is aimed more at the essential function of 

interchangeability. From the same TSI, Section 4.2.2.9 External steps for use by shunting staff

requires step hardware for making up trains of variable consist. Finally, leaflet 560, Doors, 

footboards, windows, steps, handles and handrails of coaches and luggage vans addresses the 

human-machine interface requirements on European coaches. The organization of this part in 

the U.S. code seems outdated, and the entire section is otherwise open relative to the European 

standards.

4.9 49 CFR Part 238 – Passenger Equipment Safety Standards

The scope from 49 CFR Part 238 Subpart A – General states in part, “The purpose of this part is 

to prevent collisions, derailments, and other occurrences involving railroad passenger equipment 

that cause injury or death to railroad employees, railroad passengers, or the general public; and to 

mitigate the consequences of such occurrences to the extent they cannot be prevented.” As such, 

the regulations in this section are extremely important to ensuring safety. 

The following is a review of European Essential Requirements that pertain to passenger 

equipment safety standards:
23

• Essential requirement 2.4.1.10 Safety “Trains must be equipped with a public address 

system which provides a means of communication to the public from on-board staff and 

ground control.”

• Essential requirement 2.7.1.2 Safety “The operations and maintenance intervals, the 

training and qualifications of maintenance staff and the quality assurance system set up in 

the maintenance centers of the operators concerned must be such as to ensure a high level 

of safety.”

• Essential requirement 2.7.2 Reliability and availability “The operation and maintenance 

periods, the training and qualifications of the maintenance staff and the quality assurance 

system set up by the operators concerned in the maintenance centers must be such as to 

ensure a high level of system reliability and availability.”

• Essential Requirement 2.4.1.9 Safety “An emergency lighting system having a sufficient 

intensity and duration is an absolute requirement on board trains.”

• Essential Requirement 2.4.1.4 Safety “Steps must be taken to prevent access to 

electrically live constituents in order not to endanger the safety of persons.”

• Essential requirement 1.1.2 Safety “The parameters involved in the wheel-rail contact 

must meet the stability requirements needed in order to guarantee safe movement at the 

maximum authorized speed.”

• Essential Requirement 2.4.1.1 Safety “The rolling stock structures and those of the links 

between vehicles must be designed in such a way as to protect the passenger and driving 

compartments in the event of collision or derailment.”

• Essential Requirement 2.4.1.3 Safety “The braking techniques and the stresses exerted 

must be compatible with the design of the tracks, engineering structures and signaling 

systems.”

• Essential Requirement 2.4.1.5 Safety “In the event of danger, devices must enable 

passengers to inform the driver and accompanying staff to contact him.”

• Essential Requirement 2.4.1.6 Safety “The access door must incorporate an opening and 

closing system which guarantees passenger safety.”

• Essential Requirement 2.4.1.7 Safety “Emergency exits must be provided and indicated.”

• Essential Requirement 2.4.1.8 Safety “Appropriate provisions must be laid down to take 

account of the particular safety conditions in very long tunnels.”

• Essential requirement 2.4.2: Reliability and Availability “The design of the vital 

equipment and the running, traction and braking equipment and also the control 

command system must, in a specific degraded situation, be such as to enable the train to 

continue without adverse consequences for the equipment remaining in service.”

• Essential requirement 1.2 Reliability and Availability “The monitoring and maintenance 

of fixed or moveable components that are involved in train movements must be 

organized, carried out and quantified in such a manner as to maintain their operation 

under the intended conditions.”
24

• Essential requirement 1.1.1: Safety: “The design, construction or assembly, maintenance 

and monitoring of safety-critical components, and more particularly of the components 

involved in train movements must be such as to guarantee safety at the level 

corresponding to the aims laid down for the network, including those for specific 

degraded situations.”

• Essential requirement 1.1.3: Safety: “The components used must withstand any normal or 

exceptional stresses that have been specified during their period in service. The safety 

repercussions of any accidental failures must be limited by appropriate means.”

• Essential requirement 1.1.4: Safety: “The design of fixed installation and rolling stock 

and the choice of the materials used must be aimed at limiting the generation, 

propagation and effects of fire and smoke fumes in the event of a fire.”

• Essential requirement 1.1.5: Safety: “Any devices intended to be handled by users must 

be so designed as not to impair their safety if used foreseeably in a manner not in 

accordance with the posted instructions.”

4.9.1 Analysis of Passenger Equipment Safety Standards

A subpart by subpart analysis of the U.S. regulations for 49 CFR Part 238 Passenger Equipment 

Safety Standards follows: 

4.9.1.1 49 CFR Part 238 Subpart A – General

49 CFR Part 238 Subpart A – General establishes the enforcement rules in the United States. As 

such, this subpart is gapped relative to the European standards in areas of enforcement and of 

historical development. Parts 238.15 Movement of passenger equipment with power brake defect 

and 238.17 Movement of passenger equipment with other than power brake defects do not have 

corresponding sections in the European code. None of the gaps in this section seem relevant to 

the technical aspects of safety.

4.9.1.2 49 CFR Part 238 Subpart B – Safety Planning and General Requirements

The scope of 49 CFR Part 238 Subpart B – Safety Planning and General Requirements states: 

“This subpart contains safety planning and general safety requirements for all railroad passenger 

equipment subject to this part.” The most obvious section that has no direct European equivalent 

is Part 238.119 Rim-stamped straight-plate wheels. Part 238.113 Emergency window exits does 

not show a direct counterpart, but this is because the U.S. regulation is more restrictive. 

Emergency exits in the European regulations are not specifically required to be window exits. 

Refer to TSI Rolling Stock Section 4.2.7.1 Emergency exits. 

4.9.1.3 49 CFR Part 238 Subpart C – Specific Requirements for Tier I 

Passenger Equipment

The scope for 49 CFR Part 238 Subpart C – Specific Requirements for Tier I Passenger 

Equipment states, “This subpart contains requirements for railroad passenger equipment 

operating at speeds not exceeding 125 miles per hour.” There are 20 sections in this subpart, 15 

of which are well matched by the European standards. The sections that have no equivalent in 
25

the European documents are Parts 238.201 Scope/alternative compliance, 238.223 Locomotive 

fuel tanks, 238.229 Safety appliances – general, and 238.230 Safety appliances – new equipment. 

Several gaps are noted in the following sections. 238.221 Glazing specifies glazing for 

passenger windows. The European regulation, TSI Rolling Stock Section 4.2.2.7 Windscreen 

and front of the train, only covers the windscreen on the front of the train. No mention is made 

for glazing of passenger windows. 49 CFR Part 238.227 Suspension system has corresponding 

sections in TSI Rolling Stock Sections 4.2.3.2 Static axle load and 4.2.3.4 Rolling stock dynamic 

behavior. The gap observed is that the European standards specify vehicle dynamic behavior 

and wheel/rail interactions that in the United States are otherwise specified by AAR standards. 

Finally, 49 CFR Part 238.233 Interior fittings and surfaces calls for enclosed overhead bins. The 

European regulations have no such provision.

4.9.1.4 49 CFR Part 238 Subpart D – Inspection, Testing, and Maintenance 

Requirements for Tier I Passenger Equipment

The scope for 49 CFR Part 238 Subpart D – Inspection, Testing, and Maintenance Requirements 

for Tier I Passenger Equipment states, “This subpart contains requirements pertaining to the 

inspection, testing, and maintenance of passenger equipment operating at speeds not exceeding 

125 miles per hour. The requirements in this subpart address the inspection, testing, and 

maintenance of the brake system as well as other mechanical and electrical components covered 

by this part.” European standards call out performance assurance requirements and tests. 

Corresponding sections of the TSI Rolling Stock document are Section 6.2.4 Assessment of 

maintenance and Annex P Calculation method of decelerations in degraded mode and 

unfavorable climatic conditions. There are remaining gaps because of enforcement and 

differences in the method of approach.

In the European regulations, suspension system performance is specified by dynamic behavior. 

TSI Rolling Stock Section 4.2.3.4 Rolling stock dynamic behavior and EN14363:2005 Railway 

applications – Testing for the acceptance of running characteristics of railway vehicles are the 

relevant European documents. The high-speed dynamic behavior in the United States is 

currently addressed by 49 CFR Part 213.345 Vehicle/track system qualification. In the U.S. 

regulations, low-speed dynamic performance of the vehicles is not explicitly regulated. This 

may be significant for interoperability with HSR equipment on mixed right-of-way.

4.9.2 49 CFR Part 238 Subpart E – Specific Requirements for Tier II Passenger 

Equipment

The scope of 49 CFR Part 238 Subpart E – Specific Requirements for Tier II Passenger 

Equipment states in part, “This subpart contains specific requirements for railroad passenger 

equipment operating at speeds exceeding 125 mph, but not exceeding 150 mph.” This section 

covers crash impact and structural safety, glazing, fuel tanks, electrical system, suspension, 

safety appliances, brake system, draft system, interior fittings, emergency communications, 

doors and emergency exits, headlights, automated monitoring, and cab controls layout. The 

notable gaps are discussed here. Part 238.421 Glazing specifies performance for both the leading 

windscreen and the side glasses. TSI Rolling Stock does not address the side glass strength. Part

238.429 Safety Appliances is much more involved than the European counterpart. Very few 

European regulations exist regarding safety appliances. Part 238.435 Interior fittings and 
26

surfaces calls for enclosed overhead bins. The European regulations have no such provision. 

Part 238.437 Emergency communication of the U.S. code does not require a public address 

system. Part 238.441 Emergency roof entrance location is more restrictive than the European 

counterpart. The European regulations do not specifically require a roof exit. Finally, in Part

238.447 Train operator’s controls and power car cab layout, the U.S. regulation is more 

complete than the European requirements. The European traffic control system display for 

driving cabs remains an open point.

4.9.2.1 49 CFR Part 238 Subpart F – Inspection, Testing, and Maintenance 

Requirements for Tier II Passenger Equipment

The scope of 49 CFR Part 238 Subpart F – Inspection, Testing, and Maintenance Requirements 

for Tier II Passenger Equipment states, “This subpart contains inspection, testing, and 

maintenance requirements for railroad passenger equipment that operates at speeds exceeding 

125 mph but not exceeding 150 mph.” This subpart has three sections and all are well 

represented by European standards.

Note that in the European regulations, suspension system performance is specified by dynamic 

behavior. TSI Rolling Stock Section 4.2.3.4 Rolling stock dynamic behavior and EN14363:2005 

Railway applications – Testing for the acceptance of running characteristics of railway vehicles

are the relevant European documents. The dynamic behavior of HSR equipment in the United 

States is currently addressed by Part 213.345 Vehicle/track system qualification. In the U.S. 

regulations, low-speed dynamic performance of the vehicles is not explicitly regulated. This 

may be significant for interoperability of HSR equipment on mixed right-of-way.

4.9.2.2 49 CFR Part 238 Subpart G – Specific Safety Planning Requirements for 

Tier II Passenger Equipment

The scope of 49 CFR Part 238 Subpart G – Specific Safety Planning Requirements for Tier II 

Passenger Equipment states, “This subpart contains specific safety planning requirements for the 

operation of Tier II passenger equipment, procurement of Tier II passenger equipment, and the 

introduction or major upgrade of new technology in existing Tier II passenger equipment that 

affects a safety system on such equipment.” It has only one section other than scope, and its 

objectives are well matched in the European code.

4.10 49 CFR Part 239 – Passenger Train Emergency Preparedness

The scope of 49 CFR Part 239 – Passenger Train Emergency Preparedness states in part: “The 

purpose of this part is to reduce the magnitude and severity of casualties in railroad operations by 

ensuring that railroads involved in passenger train operations can effectively and efficiently 

manage passenger train emergencies.” This part goes on to require a written emergency plan for 

each railroad, regular simulation tests, and debriefing after each test/emergency to determine the 

effectiveness of the plan. No directly correlating sections were found in the TSI Rolling Stock

document. Section 4.4 Operating rules suggests a number of rules for ensuring safe operation, 

but the spirit of this section is not the same as the emergency planning required in the U.S. 

document. 
27

5. Far East Standards

5.1 China HSR Standards

The China HSR systems are solely owned by the Chinese government and are constructed under 

the regulation of Ministry of Railways (MOR) of China. MOR issued “Code for Design of 

High-Speed Railway” (TB10621-2009), abbreviated as China Code in this report, published in 

both Chinese and English, on December 1, 2009. China Code includes the standards for 

regulating HSR infrastructures, such as track, earth structure, bridge, tunnel, station and yard, 

sewerage, and signal systems. China Code applies to the HSR lines in China with operating 

speeds of 250–350 km/h, which are all HSR passenger dedicated lines. Figure 1 shows the HSR

network in China. Interoperability is not an issue for the HSR systems in China, because they 

are structured and operated in compliance with the same standards. 

Figure 1. HSR network in China, Red – 300-350 km/h, Yellow – 250–300 km/h, Orange –

200–250 km/h 

China Code contains 22 chapters and 5 appendices. Table 9 lists the chapter titles.
28

Table 9. Chapter Titles of Code for Design of HSR – China

Chapter No. Chapter Title Chapter No. Chapter Title

1 General Provision 12 Electric Power 

2 Glossaries and 

Symbols 13 Communication

3 Overall Design 14 Signaling

4 Transport 

Organization 15 Information

5 Alignment 16 Disaster Prevention 

and Safety Monitoring

6 Earth Structure 17 EMU Facilities

7 Bridge and Culvert 18 Comprehensive 

Maintenance

8 Tunnel 19 Water Supply and 

Sewerage

9 Track 20 Building Construction

10 Station and Yard 21 Integrated Earthing

11 Traction Power 

Supply 22 Environmental protection

Appendix A Widening of Construction Clearance in Curved Sections

Appendix B Calculation of the Soft Foundation Settlement

Appendix C Equivalent Evenly Distributed Load Converted From ZK Live Load

Appendix D Reduction Coefficient of Effective Width of Box Girder

Appendix E Design Length of ZPW-2000 A Track Circuit

5.1.1 Correspondence between 49 CFR and the China Code 

On the basis of the contents of China Code, 49 CFR is comparable to three sections that are 

related to the railway infrastructure. 

• 49 CFR Part 200 Informal Rules of Practice for Passenger Service

▬ China Code Chapter 1. Genera1 Provision

• 49 CFR Part 210 Railroad Noise Emission Compliance Regulations

▬ China Code Chapter 22. Environment Protection

• 49 CFR Part 213 Track Safety Standards

▬ China Code Chapter 5 Alignment

▬ China Code Chapter 9 Track

Appendix B contains a spreadsheet that gives more details comparing China Code with U.S.

regulations.
29

5.1.2 HSR Rolling Stock 

China’s HSR rolling stock uses both domestic developed technologies and imported technologies 

from Germany (Siemens), Canada (Bombardier), France (Alstom), Japan (Kawasaki), and 

Sweden. Each foreign rolling stock supplier has a local railway rolling stock factory to 

collaborate the technology transfer. China has now localized HSR train production. 

MOR is currently working on the Code that regulates HSR rolling stocks. The Code for 

regulating rolling stock is expected to be published in 2011. 

5.1.3 Other HSR-Related Codes and Standards

There are other Codes or Standards for regulating the acceptance of track and vehicle, 

monitoring, maintenance, and safety for the HSR systems. They are published in Chinese and 

may be requested or purchased from MOR.

Some codes or specifications related to the HSR monitoring, testing, and safety were stated in 

the presentations from MOR and CARS.

1. Guidance of Dynamic Inspection of Completion Acceptance of Passenger Dedicated Line 

《客运专线铁路工程竣工验收动态检测指导意见》 (铁建设[2008]7号)

2. Guidance of Dynamic Acceptance of HSR 《高速铁路动态验收指导意见》

3. Rules of Track and Bridge Maintenance of Existing Lines with Speed up to 200-250 

km/h 《既有线提速200~250km/h线桥设备维修规则》(铁运[2007]44号)

4. Technical Management Ways of Passenger Dedicated Line

《铁路客运专线技术管理办法》(铁科技 [2009]116、212号)

5. Emergency Rescue System 

6. TB/T 2708-1996, “Technical Conditions of Mono-bloc Rolled Steel Wheel of Fast 

Passenger Train”

7. TB/T 449-2003, “Flange Tread Profile of Locomotive and Rolling Stock”

8. Test Specifications of Whole Set EMU (TieYun[2008]28)

9. Design Specifications of Electric Traction and Power Supply (TB10009-2005)

10. Pantograph Characteristics and Tests of Rolling Stock of Main Track (GB/T 21561.1-

2008)

5.1.4 Summary

The document Code for Design of High-Speed Railway” , obtained from MOR of China,

regulates the requirements for the HSR infrastructures with operating speeds of 250–350 km/h.

There are other separate documents of Codes or Standards, which have not yet been obtained 

(and are written in Chinese), that regulate the acceptance of track and vehicle, monitoring, 

maintenance, and safety for the HSR systems. 
30

There are overlaps and many gaps between 49 CFR and the China Code (and other related 

standards). The structure and format of the standards vary significantly between the United 

States and China. However, some direct comparisons are made in certain areas, which are 

summarized in Appendix B. 

5.2 Taiwan HSRail Standards

Taiwan HSRail (THSR) is a high-speed network that runs along the west coast of Taiwan 

(Figure 2) with speeds up 300 km/h. It is the only HSR passenger dedicated system currently 

operating in Taiwan. THSR is structured on the basis of Japan’s Shinkansen system and operates 

a variant of the 700 Series Shinkansen (700T EMUs, supplied by Kawasaki). All specifications 

were developed and applied specifically for this system. Therefore, there is no interoperability 

issue for Taiwan HSR operation. 

Figure 2. HSR Network in Taiwan, up to 300 km/h

THSR Corporation issued Design Specifications for Civil Works” in January 2000 (abbreviated 

as the Taiwan Specification in the Taiwan section of this report). It is written in English. The 

Taiwan Specification contains 10 sections and 20 appendices. Table 10 lists the section titles of 

this document, and Table 11 lists the titles of the appendices. Section 1.3 of the Taiwan 

Specification lists the accordance standards that support it, which include the standards from 

German, American, and European railways and other related Taiwan transportation and 

infrastructure building codes. 
31

Table 10. Section Titles of Design Specifications for Civil Works – Taiwan

Section No. Description

Section 1 General Design Specification

Section 2 Alignment Design Specification

Section 3 Bridge Design Specification

Section 4 Bridge and Viaduct Foundation Design Specification

Section 5 Earth Work Design Specification

Section 6 Tunnel Design Specification

Section 7 Underground Structure Design Specification

Section 8 System Safety and System wide Interface Design Specification

Section 9 Building Structure Design Specification

Section 10 Drainage Design Specification

Table 11. Titles of Appendices of the Taiwan Specification

Appendix Description

Section 1 – Appendix A Modified UIC Loading Diagram

Section 1 – Appendix A-1 Position of Loading

Section 1 – Appendix B Characteristic Lengths L 

Section 1 – Appendix B-1 The Limit Natural Frequency of Structure

Section 1 – Appendix C Reduction Factors for Centrifugal Forces due to Modified UIC Loading

Section 1 – Appendix D Conventional (TRA) Train Loading Diagram and Clearance Diagrams

Section 1 – Appendix E U.I.C. Clearance Dimensions

Section 1 – Appendix F High Speed Train Loadings

Section 1 – Appendix G Earthing, Bonding and Corrosion Control Systems

Section 1 – Appendix H SPT-N Method for Soil Liquefaction Analysis

Section 1 – Appendix I Design Ground Acceleration Coefficient

Section 1 – Appendix J Actions due to Traction and Braking

Section 1 – Appendix K Fatigue Traffic Loads

Section 1 – Appendix L Impact by HSR Train on Structures

Section 2 – Appendix A Cant

Section 2 – Appendix B HSR Alignment Design Criteria for Panchiao Extension Project for Trupo

Section 3 – Appendix A Creep and Shrinkage of Concrete

Section 3 – Appendix B Allowable Angular Change in Viaduct Structures

Section 3 – Appendix C Assessment of Longitudinal Actions

Section 3 – Appendix D Slipstream Effects from Passing Trains

Section 5 – Appendix A Technical Backfill

Section 5 – Appendix B Stone Trap Protection against Rockfall

Section 7 – Appendix A Seismic Design Criteria for Underground Structures

Section 10 – Appendix A Runoff Coefficients

Section 10 – Appendix B-1 Rainfall Intensity Formula

Section 10 – Appendix B-2 Rainfall Intensity Formula

Section 10 – Appendix C Subsurface Drains
32

The Taiwan Specification regulates the requirements for HSR system infrastructure, such as 

track, earth structure, bridge, tunnel, earth work, building structure, and drainage. No issues 

related to the vehicle responses are stated in the Taiwan Specification. No specifications have 

yet been obtained related to the HSR rolling stock operating in Taiwan.

Although it is a stand-alone system, the Taiwan Specification provides extensive computation 

methods and equations for evaluating the railway structures and loads in its appendices. The 

design criteria in track structure and track geometry addressed in the Taiwan Specification may 

also be included into the comparison with other international standards.

5.3 Japan

In 1987, Japan privatized the Japanese National Railways. Six passenger railway companies and 

one freight railway company were established. Collectively, they are known as the Japan 

Railways Group or the JR Group. With a few exceptions, the passenger railway companies 

operate in geographically distinct areas, and they own the infrastructure. The freight railway 

company operates throughout Japan. 

Japan’s Railway Bureau of the Ministry of Land, Infrastructure, Transport, and Tourism

published the Ministerial Ordinance Providing for the Technological Standard for Railways” in 

2001, marking a significant change in philosophy for the regulation of railway infrastructure and 

rolling stock. Prior to this, Japanese regulations included many detailed specifications for 

infrastructure and rolling stock. After the Ministerial Ordinance took effect, the principles 

intended by the Ministerial Ordinance rules replaced most of the detailed specifications. The 

Japanese philosophy was that detailed specifications enforced before the Ministerial Ordinance 

were barriers to improving safety and service quality and made it impossible for the JR Group 

members to introduce new technologies. In the current system, the JR Group members have 

substantial freedom to adopt new technologies but now must take full responsibility for the 

results.

The Ministerial Ordinance carries the force of law, and each member of the JR Group is 

responsible for compliance with Ministerial Ordinance provisions in their own operations. Each 

JR Group member has in-house standards, known as Implementation Standards through which 

they seek to comply with the Ministerial Ordinance. Accordingly, safety practices vary among 

the JR Group members. The Ministerial Ordinance includes Approved Specifications that are 

not compulsory but provide guidelines for meeting Ministerial Ordinance requirements.

With a few exceptions, the Ministerial Ordinance does not distinguish among conventional 

passenger rail, HSR passenger, and freight rail. 

Table 12 lists the Table of Contents of the Ministerial Ordinance. The Ministerial Ordinance is 

well organized by chapter topics. As indicated previously, the requirements offer general 

principles rather than detailed specifications.
33

Table 12. Ministerial Ordinance Table of Contents

Article Page

Chapter 1 General Rule 1 Objective 1 

2 Definitions 2 

3 Implementation Standard 4 

4 Submission of Documents 6 

5 Prevention of Danger 6 

6 Prevention of Extreme Noise 6 

7 Measures To Be Provided for Smooth Transport 

of the Elderly and the Handicapped 7 

8 Emergency restoration setup 8 

Chapter 2 Staff 9 Safety Assurance of Train Operation 8 

10 Education and Training of Staff 8 

11 Duties of Crew to Operate a Motive Power Unit 9 

Chapter 3 Guide Way 12 Gauge 10 

13 Guide Way Alignment 11 

14 Radius of curvature 11 

15 Cant 12 

16 Gauge Widening 14 

17 Transition Curve 15 

18 Gradient 17 

19 Vertical Curve 19 

20 Construction Gauge 19 

21 Width of Formation Level 22 

22 Distance between Track Centers 23 

23 Track 25 

24 Structures 27 

25 Facilities to Abate Extreme Noise 28 

26 Buildings 29 

27 Facilities to Prevent Disasters and Other 29 

28 Protection of Below Bridges 29 

29 Facilities of Underground Stations 29 

30 Prevention of Rolling Stock Runaways 35 

31 No Trespassing to Guide Way 36 

32 Evacuation Facilities 36 

33 Wayside Posts 36 

Chapter 4 Station and 

Halt 

34 Track Layout at Station and Halt 37 

35 Station Facilities 37 

36 Platforms 38 
34

Article Page

37 Access for Passengers 41 

38 Train Depot, etc 41 

Chapter 5 Intersection 

with Road 

39 Intersection with Road 41 

40 Level Crossing Roads 42 

Chapter 6 Electric 41 Contact Lines and Other Facilities 43 

42 Proximity or Crossing of Overhead Electric Lines 53 

43 Division of Insulation of Contact Lines 57 

44 Prevention of Troubles at Overbridge, etc. 58 

45 Installation of Return Current Rail 58 

46 Transmission and Distribution Line Routes 59 

47 Measures to Prevent Lightening Damages, etc. 86 

48 Prevention of Induction Damage 87 

49 Equipment at Substations, etc. 88 

50 Electrical Equipment, Power Distribution Board 

and Others 89 

51 Lead and Distribution Line, etc. 90 

52 Insulation of Electric Route 92 

53 Grounding of Electric Facilities 96 

Chapter 7 Operation 

Safety 

Facilities 

54 Devices to Ensure Block, etc. 99 

55 Railway signal devices, etc. 103 

56 Apparatus to Interlock Signals 117 

57 Apparatus to Automatically Decelerate or Stop 119 

58 Apparatus for Automatic Train Operation 121 

59 Apparatus to Detect Trains, etc. 122 

60 Safety Communication Facilities 124 

61 Installation of Overhead Communication Line 125 

62 Level Crossing Protection Facilities 125 

63 Securing Safety When in Troubles 129 

Chapter 8 Rolling Stock 64 Rolling Stock Gauge 130 

65 Limitation of Impact of Rolling Stock Imposed to 

Track and Structure 131 

66 Stability 131 

67 Running Gear, etc. 132 

68 Power Generation and Related Equipment 135 

69 Braking Devices 139 

70 Structure of Car Body 147 

71 Structure to Abate Extreme Noise 148 

72 Structure of Driver’s Cabin 148 

73 Structure of Passenger Car or Compartment 149 

74 Structure of Passenger Entrance and Exit 153 
35

Article Page

75 Structure of Gangway Entrance and Gangways 156 

76 Structure of Emergency Exit 160 

77 Coupling Devices 161 

78 Structure of Rolling Stock to Transport Special 

Freight 162 

79 Equipment of a Driver’s Cabin 163 

80 Internal Pressure Vessels and Other Pressure 

Supply Sources and Other Accessories 166 

81 Rolling Stock Accessory Devices 167 

82 Rolling Stock Identification 170 

83 Rolling Stock Fire Prevention 170 

84 Fire Alarm 178 

85 Function of Devices at Power Failure 178 

86 Rolling Stock Facilities for One Man Operation 180 

Chapter 8-2 Other Facilities 86-2 Device to Record the Train Operation 183 

Chapter 9 Maintenance 

of Facilities 

and Rolling 

Stock 

87 Maintenance of Facilities and Rolling Stock 184 

88 Inspection and Field Test of Newly Installed 

Facilities and Newly Manufactured Rolling Stock 184 

89 

Inspection and Monitoring of Main Track and 

Overhead Electric (Catenary) Line over the Main 

Track and Inspection of Train 

185 

90 Regular Inspection of Facilities and Rolling Stock 186 

91 Record 189 

Chapter 10 Train 

Operation 

92 Loading Limitation of Car, etc. 191 

93 Display of Dangerous Cargo 191 

94 The maximum Number of Coupled Cars, etc. 192 

95 Brake for Train 192 

96 Brake Power of Train 193 

97 Boundary of Station and Halt 193 

98 Operation on Main Track Outside of Station and 194 

99 Train Operation Time Table 194 

100 Prevention of Accident at Train Departure 194 

101 Safety Assurance between Trains 195 

102 Driving Location of Train 202 

103 Operation Speed of Train 203 

104 Regressive Train Operation 205 

105 Simultaneous Entry and Departure of Trains 205 

106 Train Protection 206 

107 Track Blocking 206 

108 Prevention of Danger to Train Operation 207 
36

Article Page

109 Shunting 208 

110 Storage of Rolling Stock 209 

111 Prevention of Danger for Car Loaded with 

Hazardous Materials 209 

112 Relationship between Railway Signal and Train 

Operation 210 

113 Indicated stop aspect by signal 210 

114 Inaccuracy of Signal Display 210 

115 Prohibition of Dual Use of Signal 211 

116 Conditions of Signal Aspect to Indicate to 211 

117 Other Items Concerning Signal Display 211 

118 Action To Be Taken for Indication to Proceed 222 

119 Sign and Display 222 

120 Special Railway 224 

Public Notice to Stipulate Dangerous Items Under the Item 20 of Article 2 of the 

Ministerial Ordinance to Provide the Technical Standard on Railway 225

Public Notice Concerning the Regular Inspection of Facilities and Rolling Stock 227

Appended Table 1 Separation distance (§42-1) 232 

Appended Table 2 Separation distance (§46-46) 237 

Appended Table 3 Separation distance (§46-49) 240 

Appended Table 4 Separation distance (§46-51) 241 

Appended Table 5 Separation distance (§46-54) 242 

Sheet 1 Axle flaw inspection standard 243 

Sheet 2 Inspection method for brake devices 247 

Sheet 3 Inspection Manual for Bogie Frames 248

Sheet 3:Attachment1 Example of change accompanying the distance traveled 

for a side sill flaw 251

Sheet 3:Attachment2 Simulation of bogie side beam crack propagation 

(Calculated on side beam crack data for past 10 years) 252

Sheet 3:Attachment3 Location of Bogie Frame Cracks(Data of Bogie Frame 

Cracks Over 10 Years) 253

Sheet 3:Attachment4 Inspection issues when determining the inspection 

method for bogies 254

Sheet 3:Attachment5 Recent conditions in bogie frame cracks (Bogies 

manufactured after 1990) 255

Sheet 3:Attachment6 Items to be Recorded During Inspection of Bogie F 256

Sheet 3:Attachment7 Bogie Frame Inspection Procedure (Example) 257

Sheet 3:Attachment8 Bogie Frame Inspection Checklist (Example) 258 

Sheet 4 Inspection of Cable Railways 259 

Sheet 5 Cable Replacement Standard for Cable Railways 261 
37

Article Page

Sheet 6 Structure Design by Allowable Stress Method 262 

Sheet 7 The required capacity of smoke exhaust facilities 290 

Figure 1,2 Construction Gauge 299 

Figure 3,4 Rolling Stock Gauge 305 

The following examples illustrate some of the principles of the Japanese Ministerial Ordinance.

Chapter 3, Guideway, Article 12, Gauge contains the following (mandatory) Ministerial 

Ordinance:

The companion (optional) Approved Specification is as follows: 

III-1 Related to Article 12 (Gauge) Gauge shall be as follows in order to ensure the safe rolling 

stock operation, and shall take the structure of the rolling stock, such as width, and past 

performance records into consideration.

(1) Gauge of ordinary railways (excluding Shinkansen railways) shall be 0.762m, 1.067m, 

1.372m, or 1.435m.

(2) Gauge of Shinkansen railways shall be 1.435m.

Articles 6, 25, and 71 relate to the generation of noise.

In Japan, the Ministry of Environment regulates noise from Shinkansen trains. In residential 

areas, the limit is 70 decibels (dBa), and in commercial and industrial areas, the limit is 75 dBa. 

The Environmental Quality Standard for noise contains specific details about measuring 

Shinkansen noise levels. It also includes target dates for achievement as the limits are not 

currently strictly met. For details, refer to http://www.env.go.jp/en/air/noise/railway.html. 

In the above two examples, which refer to gauge and noise levels, (optional) Approved 

Specifications either contain or lead to specific quantitative values of the subject items. 

Ministerial Ordinance Article 70 on carbody structure leads to a different kind of Approved 

Specification.

The associated Approved Specification provides the following:

(Structure of Car Body)

Article 70. Rolling stock car body shall be made sturdy with enough strength and be 

capable of withstanding train operation.

(Prevention of Extreme Noise)

Article 6. A railway enterprise shall strive to prevent extreme noise to be generated 

with the movement of a train.

(Gauge)

Article 12. Gauge shall be able to maintain the safe and stable car operation, given 

the structure of rolling stock, the maximum design speed and other relevant factors 

into consideration.
38

VIII-6 Relating to Article 70 (Structure of Car Body)

These carbody structural excerpts illustrate the Japanese approach to carbody structural strength 

and collision features, that is, no detailed regulations are required. Collisions are to be prevented 

by system design features including automatic train control, fail-safe signaling systems, 

prevention of collisions on track by not having grade crossings on Shinkansen lines, and systems 

to prevent derailments in the event of earthquakes. See for example “Crashworthiness Features 

of HSR Equipment,” presented at FRA Rail Safety Advisory Committee Engineering Task Force 

October, 21, 2010, by Kawasaki Heavy Industries, Ltd., and “The Shinkansen, Japan’s HighSpeed Railway,” available at 

http://republicans.transportation.house.gov/Media/File/Testimony/Rail/4-19-07-Matsumoto2.pdf. 

As a final example, the Ministerial Ordinance addresses vehicle stability in Chapter 8, which 

covers Rolling Stock. Article 66 requires the following:

Related and associated Approved Specifications provide mostly qualitative guidance on hunting 

stability, wheel unloading, curve negotiation, and related performance measures.

(Basic Items)

The car body of the rolling stock shall have sufficient strength, rigidity and durability to 

withstand the anticipated loads, etc., to the car body during normal operation.

(Stability)

Article 66. Rolling stock shall be able to maintain a safe and reliable operation under 

any conceivable operational conditions including the track stability.

2. Rolling stock shall be of the stable structure that will not cause overturn when 

stopped or stalled at curved track. 
39

5.4 Korea

South Korea is planning ahead for rail interchange through North Korea with China, Russia, 

Central Asia, and Europe. Part of the planning includes study and alignment of rail regulations 

among South Korea, China, and other destinations. See, for example, Hee-Seung Na, “Strategy 

of Trans-Korean Railway Transportation and Development of International Corridors,” Korea 

Railroad Research Institute, downloaded from:

http://www.unescap.org/ttdw/common/TIS/CorridorStudy/EGM_files/ROK_1.pdf, February 20, 

2010. South Korean rail regulations are still developing, and the exchange with other parts of 

Asia and Europe provides part of the impetus for the development.

The South Korean railroad-related regulations are available only in the Korean language. The 

regulations may be found on the Internet at http://law.go.kr/main.html. At the Web site, if one 

searches for 철도 (railroad), the Web site displays a list of 40 items that make up Korean Rail 

Regulations. The regulations are promulgated by the Ministry of Land Transport and Maritime 

Affairs. TTCI has downloaded all 40 items and viewed automated online (nonprofessional) 

translations of all items. Table 13 summarizes the contents of the Korea rail regulations.

Table 13. Overview of South Korean Rail Regulations

No. Name and Description Relates 

to HSR

1 Ministry of Land and jurisdiction and supervision – legal issues no

2 Urban Railway Construction Rules – relates to track gage, ballast, curves, 

stations, catenaries no?

3 City Railway Act – relates to planning, licensing, land acquisition no

4 Urban Rail Rules of Law – legal issues no

5 City Railway Act – business, financial issues, law no

6 City Railway Act Enforcement Rules – legal issues no

7 Urban rail facility rules on safety standards – rail, tunnels, bridges, power, 

fire safety, catenary equipment, signal and train control no?

8 Urban rail operating rules – training, safety, maintenance, train braking,

speed limits, signaling, appears to relate to light rail no

9

Urban rail vehicle on the management rules – requires performance testing 

of rail vehicles, appears to set the service life of urban rail vehicles at 25 

years

no

10

Urban rail vehicle safety standards, rules on – appears to set safety 

standards for urban rail vehicles rather than high speed rail vehicles, crash 

speed of 5 km/h must not damage the carbody

no

11 Urban rail bond purchases office handling rules – financial no

12 Dangerous Rail Transport Rules – contains rules for transport of hazardous 

materials, applies to freight rail no

13

Railway construction rules – Chapter 2, Design Rules for Tracks specifies 

1435 mm gage, curves must consider design speed, requires curve 

transitions, Chapter 3 – station design, Chapter 4 – electric power and 

related items, Chapter 5 – Signal and Communication, 

yes
40

No. Name and Description Relates 

to HSR

14

Railway Construction Law – defines high speed rail as 200 km/h and above 

Chapter 2 – plans to build national railway system in 10 years, sets 

conditions for planning rail construction, considers land access, addresses 

environmental issues, costs, Chapter 3 – Station Area Development other 

chapters refer to plan reports, planning, and associated laws

yes 

15

Railway Construction Law Decree – global issues including cultural survey, 

business issues, investment plans, traffic impact, environmental impact, 

land purchase, competition

no

16 Railway Construction Law Enforcement Regulations – legal requirements no

17 Railway Civil Service railway security exams for physical strength test rules no

18 Railway business law no

19 Railway business law enforcement ordinance – laws and fines no

20 Railway Act Enforcement Rules no

21 Railway special accounting rules for processing business – asset 

depreciation and more no

22 Railway Industrial Development Act – railways serve the public interest no

23 Railway Industrial Development Framework Act – administrative issues no

24 Railway Industrial Development Act Enforcement Rules – more 

administrative issues

no

25 Railway conservancy facilities – registration of rail facilities no

26 Railway conservancy facility enforcement rules – procedures for registration no

27 Railway facility rules on safety standards – safety issues for tunnels, 

catenary systems, bridges, stations, and more no

28 Railway Safety Act (Legal) – provides legal structure for RSA and sets 

penalties no

29 Railway Safety Act (Presidential Decree) – details of RSA no

30 Railway Safety Act Enforcement Rules – emergency response, hospitals, 

train, ... no

31

Railway regulations relating to vehicle safety standards – Chapter 1 

requires risk analysis to be done and railcars to be designed with intended 

direction of travel, Chapter 2 requires cars to be designed to minimize risk 

of fire, ISO test methods be used for fire prevention, and requires electric 

safety standards, Chapter 3 contains requirements on wheel rail force limits, 

size and weight distribution limits, and safety crash standards. Chapter 4 

requires further strength requirements, pressure equalization for high speed 

tunnel entry and exit, cab controls and displays, cab and passenger door 

strength and longevity, safety glass in windows, seat strength, air 

conditioning, emergency lighting. Chapter 4 also contains wheel, flange, 

and axle design details, suspension, brake, auxiliary power unit propulsion, 

traction motor, lighting, signaling and control requirements, and more.

yes

32 Railway vehicle driving rules – contains rules for driving and requires 

signals and automatic train control yes

33 Railway operations to encourage production allowance rules – regards 

payment for work no
41

No. Name and Description Relates 

to HSR

34 KORAIL law – establishes KORAIL no

35 Korea Railroad Corporation Act – more legal issues no

36 Korean Rail Network Authority law – legal and financial no

37 Korean Rail Network Authority law enforcement ordinance – legal and 

financial no

38 Air, Rail Accident Investigation Act – requires investigating and reporting of 

accidents no

39 Air, Rail Accident Investigation Law Enforcement Decree – accident 

investigation no

40 Air and Railway Accident Investigation law Enforcement Rule – accident 

investigation no

Table 14 contains the official designations of the four regulations that are relevant to HSR

operations.

Table 14. South Korean HSR Regulation Designations

Item Regulation Name

Ministry of Land Transport 

and Maritime Affairs 

Reference No.

Article and Date

13 Railway Construction 

Rules 02-2110-6494 No. 163, 2009. 9. 1

14 Railway Construction 

Law 02-2110-8786 No. 10331, 2010. 5.31

31

Railway Regulations 

Relating to Vehicle 

Safety Standards

02-2110-8853 No. 280, 2010. 9. 3

32 Railway Vehicle Driving 

Rules 02-2110-8826 No. 296, 2010, 10.18

Items 2 and 7 in Table 13 are marked “no?” as to their relationship to HSR. Both items appear, 

to the best of our interpretation from the nonprofessional translations, to refer to urban rail 

systems that operate only within cities rather than inter-urban HSR systems.

South Korean regulations appear to have no counterparts to 49 CFR Parts 200, 210, 221, and 

231. A number of technical papers from Korea were found relating to noise emissions. The 

study activity shows interest in the issue, but currently Korea has no regulations relating to 

railroad noise emissions. (49 CFR Part 210, Railroad Noise Emission Compliance Regulations 

in the U.S.)

• Table 13, Item 13, Railway Construction Rules, relates to topics in 49CFR Part 213

• Table 13, Item 14, Railway Construction Law, relates to topics in 49 CFR Part 213
42

• Table 13, Item 31, Railway Regulations Relating to Vehicle Safety Standards, relates to 

topics in 49 CFR Parts 213, 223, 229, 238, and 239

• Table 13, Item 32, Railway Vehicle Driving Rules, relates to topics in 49CFR Parts 213, 

229, and 238

Item 31 in Table 13, Railway Regulations Relating to Vehicle Safety Standards, contains a 

requirement that risk analyses must be conducted for new rail cars and operations. A recent 

study carried out by researchers at the Korean Railroad Research Institute addresses risks of 

death associated with rail activities. See Park et al., “Review and Assessment of the Korea 

Rail’s Safety Performance using Risk Assessment Models,” International Rail Safety 

Conference, 2009.

The study addressed five main risk areas: (1) train collision accident, (2) train derailment 

accident, (3) train fire accident, (4) level crossing accident, and (5) railway casualty accident. 

Causes of risk were grouped into (1) the risk from public behavior, (2) passenger behavior, (3) 

workforce behavior, and (4) engineering issues including rolling stock, infrastructure, and 

equipment. Engineering issues were by far the lowest risk group. The risk assessment allows 

the highest areas of risk to be identified and measures taken to reduce them. The experience is 

that this approach in recent years has effectively reduced overall risk of death. 
43

6. Conclusion

This report compares international standards with selected parts of FRA Regulation Title 49 CFR 

Transportation. The parts were selected by FRA prior to beginning the effort and are meant to 

reflect those areas of the regulations most influencing operational safety. The comparisons in 

this paper identify gaps and open points relative to European standards. Notable differences

were found in the areas of vehicle track interaction, noise, safety glazing, locomotive safety, 

locomotive crashworthiness, aerodynamics, and emergency exit requirements. The report also 

reviews the more accessible Far East standards from China, Taiwan, and Japan. TTCI

recommends formal translation and study of the Korean standards at a later time, possibly in 

conjunction with a study of railroad regulations in India, Central Asia, and Australia.
44

7. References

49 CFR Part 200 Informal Rules of Practice for Passenger Service.

49 CFR Part 210 Railroad Noise Emission Compliance Regulations.

49 CFR Part 213 Track Safety Standards.

49 CFR Part 221 Rear End Marking Device – Passenger, Commuter, and Freight Trains.

49 CFR Part 223 Safety Glazing Standards – Locomotives, passenger Cars, and Cabooses.

49 CFR Part 229 Railroad Locomotive Safety Standards.

49 CFR Part 231 Railroad Safety Appliance Standards.

49 CFR Part 238 Passenger Equipment Safety Standards.

49 CFR Part 239 Passenger Train Emergency Preparedness.

EN 12663-1:2010 Railway Applications – Structural requirements of railway vehicle bodies. 

Part 1: Locomotives and passenger rolling stock (and alternative method for freight wagons).

EN 13146-8:2002 Railway Applications – Track – Test methods for fastening systems.

EN 14363:2005 Railway Applications – Testing for the acceptance of running characteristics of 

railway vehicles – Testing of running behavior and stationary tests.

EN 15227:2008 Railway Applications – Crashworthiness requirements for railway vehicle 

bodies.

EN 50206-1:2010 Railway Applications – Rolling Stock – Pantographs: Characteristics and 

tests. Part1: Pantographs for main line vehicles.

EN 50215:2009 Railway applications – Rolling Stock – Testing of rolling stock on completion of 

construction and before entry into service.

Federal Railroad Administration. October 21, 2010. “The Shinkansen, Japan’s High-Speed 

Railway,” presentation to FRA Rail Safety Advisory Committee Engineering Task Force.

Federal Railroad Administration. October 21, 2010. “Crashworthiness Features of High Speed 

Rail Equipment,” presentation to FRA Rail Safety Advisory Committee Engineering Task Force.

Geng, Zhixiu, “Safety Technology System of China High Speed Railways,” presented at the 3rd

Sino-American Transportation Forum, Cambridge, MA, September 2010.

High-Speed rail in China, Wikipedia, http://en.wikipedia.org/wiki/High-speed_rail_in_China, 

08/25/2010.

Kang, Xiong, “Simulated Calculation and Test Verification for Dynamic Performance of High 

Speed Train,” presented at the 3rd Sino-American Transportation Forum, Cambridge, MA, 

September 2010.

Korean Standards: http://www.law.go.kr/main.html.
45

Lauby, Robert, FRA. Development of TierV Crashworthiness Requirements: Objectives, Scope, 

and Approach. A presentation to RSAC engineering task force October 20, 2010, Cambridge, 

MA https://rsac.fra.dot.gov/document.php?type=private&name=ETF-10-10-20-21-15.pdf.

Ministry of Railways of the People’s Republic of China. December 2009. “Code for Design of 

High-speed Railway (Trial),” Professional Standard of the People’s Republic of China, 

TB10621-2009.

Na, Hee-Seung. “Strategy of Trans-Korean Railway Transportation and Development of 

International Corridors,” Presentation. Korea Railroad Research Institute.

Park, C.W. et al. 2009. “Review and Assessment of the Korea Rail’s Safety Performance using 

Risk Assessment Models,” International Rail Safety Conference.

Taiwan High Speed Rail, Wikipedia, http://en.wikipedia.org/wiki/Taiwan_High_Speed_Rail, 

08/25/2010.

Taiwan High Speed Rail Corporation. January 2000. “Civil Works – Volume 9, Design 

Specifications.”

Technical Standard for Japanese Railway, Railway Bureau, Ministry of Land, Infrastructure, 

Transport and Tourism, 2006.

TSI Rolling Stock. Commission Decision of 21 February, 2008 concerning a technical 

specification for interoperability relating to the “rolling stock” sub-system of the trans-European 

HSR system. Document L084 (2008/232/CE).

TSI Infrastructure. Commission decision of 20 December, 2007, concerning a technical 

specification for interoperability relating to the “infrastructure” sub-system of the trans-European 

HSR system. Document number L071 (2008/217/EC).

Wu, Kejian, “Track Safety Standard of High Speed Railway,” presented at the 3rd Sino-American 

Transportation Forum, Cambridge, MA, September 2010.
46

8. Appendix A. 

Spreadsheets Comparing FRA Regulations with European 

Standards
47

Table A1. 49 CFR Part 200 Informal Rules of Practice for Passenger Service Compared with UIC

49 CFR Section Title Section Parts Corresponding 

UIC Regulation

Title Comments

200 Informal 

Rules of 

Practice for 

Passenger 

Service

200.1 General

Leaflet 413

Leaflet AO

Essential 

Requirement 

2.7.1 Safety 

section 1

413 Measures to facilitate 

travel by rail

AO UIC Internal 

regulations

2.7.1 Safety

GAP: This section has 

no direct counterpart in 

the European 

regulations.

200.3 Definitions.

200.5 Applications.

200.7 Objections.

200.9 Hearings.

200.11 Orders, 

approvals, and 

determinations.

200.13 

Publication.
48

Table A2. 49 CFR Part 210 Railroad Noise Emission Compliance Regulations Compared with UIC

49 CFR Section Title Section Parts Corresponding UIC 

Regulation

Title Comments

210 Railroad 

Noise 

Emission 

Compliance 

Regulations

Subpart A—

General 

Provisions

210.1 Scope of 

part.

Essential 

Requirement 2.6.1. 

Health

Essential 

Requirement 2.6.2. 

Environmental 

protection

210.3 Applicability.

210.5 Definitions. TSI Rolling Stock -

4.2.6.5. Exterior 

noise

4.2.6.5 Exterior noise

4.2.6.5.1 Introduction

210.7 

Responsibility for 

noise defective 

railroad equipment

210.9 Movement 

of a noise 

defective 

locomotive, rail 

car, or consist of a 

locomotive and rail 

cars.

210.11 Waivers.

210.13 Penalty.
49

Table A2. 49 CFR Part 210 Railroad Noise Emission Compliance Regulations Compared with UIC (continued)

49 CFR Section Title Section Parts Corresponding UIC 

Regulation

Title Comments

210 Railroad 

Noise 

Emission 

Compliance 

Regulations

Subpart B—

Inspection and 

Testing

210.21 Scope of 

subpart.

TSI Noise

2006/66/EC L37/1-

49 

2006/66/EC L37/1-49 

Rolling Stock Noise

210.23 

Authorization.

210.25 

Measurement 

criteria and 

procedures.

WG 3

EN ISO 3095:2005

Directive:

M/275 (96/48/EC - C 

68 2006-03-21 )

EN ISO 33812005

Directive:

M/275 (96/48/EC - C 

68 2006-03-21)

Railway applications –

Acoustics -

measurement of noise 

emitted by rail bound 

vehicles (ISO

3095:2005)

M/275 (96/48/EC - C 68 

2006-03-21 )

Railway applications –

Acoustics -

Measurement of noise 

inside rail bound

vehicles (ISO 

3381:2005)

M/275 (96/48/EC - C 68 

2006-03-21)

210.27 New 

locomotive 

certification.
50

Table A2. 49 CFR Part 210 Railroad Noise Emission Compliance Regulations Compared with UIC (continued)

49 CFR Section Title Section Parts Corresponding UIC 

Regulation

Title Comments

210 Railroad 

Noise 

Emission 

Compliance 

Regulations

210.29 Operation 

standards (moving 

locomotives and 

rail cars).

TSI Rolling Stock 

4.2.6.5.4 

4.3.5.22.

4.2.6.5.4 Limits for passby noise

4.3.5.22 Exterior noise

210.31 Operation 

standards 

(stationary 

locomotives at 30 

meters).

TSI Rolling Stock -

4.2.6.5.2.

4.2.6.5.2 Limits for 

stationary noise

210.33 Operation 

standards 

(switcher 

locomotives, load 

cell test stands, 

car coupling 

operations, and 

retarders).

TSI Rolling Stock -

4.2.6.5.3

4.2.6.5.3 Limits for 

starting noise

GAP: European 

standards do not 

distinguish between 

locomotive type and 

age.

APPENDIX A TO 

PART 210—

SUMMARY OF 

NOISE 

STANDARDS, 40 

CFR PART 201

APPENDIX B TO 

PART 210—

SWITCHER 

LOCOMOTIVE 

ENFORCEMENT 

POLICY
51

Table A3. 49 CFR Part 213 Track Safety Standards Compared with UIC

49 CFR 

Section Title Section Parts

Corresponding 

UIC Regulation Title Comments

213 Track Safety 

Standards

Subpart A—General

213.1 Scope of part.

TSI - L071 

2008-217-EC

L071 2008-217-EC High 

Speed Infrastructure

L071 2008-217-EC High 

Speed Infrastructure is the 

overriding document for 

European track standards.

213.2 Preemptive 

effect.

213.3 Application.

213.4 Excepted track.

213.5 Responsibility 

for compliance.

213.7 Designation of 

qualified persons to 

supervise certain 

renewals and inspect 

track.

TSI 

Infrastructure 

4.6 4.6 Professional 

competences
52

Table A3. 49 CFR Part 213 Track Safety Standards Compared with UIC (continued)

49 CFR 

Section Title Section Parts

Corresponding 

UIC Regulation Title Comments

213 Track Safety 

Standards

213.9 Classes of track: 

operating speed limits.

Leaflet 714

Leaflet 715-1

714 Classification of 

lines for the purpose of 

track maintenance

715-1 Application of 

digital track geometry 

analysis to the planning 

of tamping and 

lining/levelling work

Category I — specially built 

high-speed lines equipped 

for speeds generally equal 

to or greater than 250 km/h 

(155 mph)

Category II — specially 

upgraded high-speed lines 

equipped for speeds of the 

order of 200 km/h (124 mph)

Category III — specially 

upgraded high-speed lines 

which have special features 

as a result of topographical, 

relief or town-planning 

constraints, on which the 

speed must be adapted to 

each case.

213.11 Restoration or 

renewal of track under 

traffic conditions.

TSI 

Infrastructure 

4.5 4.5 Maintenance rules

213.13 Measuring 

track not under load.

Leaflet 715-1 715-1 Application of 

digital track geometry 

analysis to the planning 

of tamping and 

lining/leveling work
53

Table A3. 49 CFR Part 213 Track Safety Standards Compared with UIC (continued)

49 CFR 

Section Title Section Parts

Corresponding 

UIC Regulation Title Comments

213 Track Safety 

Standards

213.15 Penalties.

213.17 Waivers.

213.19 Information 

collection.

Subpart B—Roadbed

213.31 Scope.

Leaflet 719 719 Earthworks and 

track bed construction 

for railway lines

GAP: European TSI's 

regulate gradients as 

follows:

TSI Infrastructure 

4.2.5. Maximum rising and 

falling gradients

TSI Rolling stock

4.2.3.6. maximum gradients

4.2.4.7 Brake performance 

on steep gradients

FRA regulations do not 

address gradient.

213.33 Drainage.

213.37 Vegetation.
54

Table A3. 49 CFR Part 213 Track Safety Standards Compared with UIC (continued)

49 CFR 

Section Title Section Parts

Corresponding 

UIC Regulation Title Comments

213 Track Safety 

Standards

Subpart C—Track 

Geometry

213.51 Scope.

TSI 

Infrastructure 

4.2.10

4.2.10 Track Geometrical 

Quality and limits on 

isolated defects

4.2.10.1 Introduction

4.2.10.2 Definitions

4.2.10.3 Intermediate 

action, interventions, and 

alert limits

4.2.10.4 Immediate action 

limit

4.2.10.4.1 Track twist -

isolated defects - zero to 

peak value

213.53 Gage. Leaflet 710

TSI 

Infrastructure 

4.2.9.3.1

4.2.10.4.2

4.2.3

TSI Rolling 

Stock

4.2.3.1

4.2.3.3

710 Minimum track gauge 

in curves 

4.2.9.3.1 Minimum values 

of mean track gauge

4.2.10.4.2 Variation of 

gauge — isolated defects 

— nominal gauge to peak 

value

4.2.3 Minimum 

infrastructure gauge

4.2.3.1 Kinematic gauge

4.2.3.3 Rolling stock 

parameters which influence 

ground based train 

monitoring systems
55

Table A3. 49 CFR Part 213 Track Safety Standards Compared with UIC (continued)

49 CFR 

Section Title Section Parts

Corresponding 

UIC Regulation Title Comments

213 Track Safety 

Standards

213.55 Alignment. EN 13848-

1:2003

EN 13848-1:2003 Railway 

applications — Track —

Track geometry quality —

Part 1: Characterisation of 

track geometry

213.57 Curves; 

elevation and speed 

limitations.

TSI Rolling 

Stock 4.2.3.7

TSI 

Infrastructure

4.2.25.3

4.2.3.7 Minimum curve 

radius

4.2.25.3 Radius of 

curvature

213.59 Elevation of 

curved track; runoff.

TSI 

Infrastructure 

4.2.8.

4.2.8 cant deficiency

213.63 Track surface. EN 13674-

1:2003

TSI 

Infrastructure 

4.2.10

EN 13674-1:2003 Railway 

applications — Track —

Rail — Part 1: Vignole 

railway rails 46 kg/m and 

above

4.2.10 Track geometrical 

quality and limits on 

isolated defects

GAP: EN sited here 

specifies rail section, 

which is an AAR standard 

in the US. 

Subpart D—Track 

Structure

213.101 Scope.

GAP: European TSI's 

regulate track resistance 

(strength) as follows:

TSI Infrastructure:

4.2.13 track resistance

TSI Rolling stock

4.2.3.2 Static axle load
56

Table A3. 49 CFR Part 213 Track Safety Standards Compared with UIC (continued)

49 CFR 

Section Title Section Parts

Corresponding 

UIC Regulation Title Comments

213 Track Safety 

Standards

213.101 Scope

(continued)

4.2.4.5. Eddy current 

brake

213.103 Ballast; 

general.

Leaflet 719

TSI Rolling 

Stock 4.2.3.11

719 Earthworks and track 

bed construction for railway 

lines

4.2.3.11 Aerodynamic 

effects on ballast

OPEN: Ballast pickup is 

an open point

213.109 Crossties. Leaflet 713 713 Design of monoblock 

concrete sleepers

213.110 Gage restraint 

measurement systems.

213.113 Defective 

rails.

Leaflet 712 712 Rail defects

213.115 Rail end 

mismatch.

Leaflet 715-2 715-2 Recommendations 

for management of rails

213.118—Continuous 

welded rail (CWR); 

plan

Review and approval

213.119 Continuous 

welded rail (CWR); 

general.
57

Table A3. 49 CFR Part 213 Track Safety Standards Compared with UIC (continued)

49 CFR 

Section Title Section Parts

Corresponding 

UIC Regulation Title Comments

213 Track Safety 

Standards

213.121 Rail joints.

213.122 Torch cut rail.

213.123 Tie plates.

213.127 Rail fastening 

systems.

EN 13146-

1:2002 

SC 1 WG 17

EN 13481-

1:2002 

Directives:

M/275 

(96/48/EC - C 

68 2006-03-21)

M/275 

(96/48/EC – C 

332 2006-12-

30)

M/275 

(96/48/EC - C 

68 2006-03-21)

M/275 

(96/48/EC – C 

332 2006-12-

30)

M/275 

(96/48/EC - C 

68 2006-03-21)

EN 13146-1:2002 TrackTest methods for fastening 

systems -

Part 1: Determination of 

longitudinal rail restraint

EN 13481-1:2002 Railway 

applications - Track -

Performance requirements 

for fastening systems -

Part 1: Definitions

Directive(s): M/275 

(96/48/EC - C 68 2006-03-

21)

Directive(s): M/275 

(96/48/EC – C 332 2006-

12-30)

Part 2: Fastening systems 

for concrete sleepers

Directive(s): M/275

(96/48/EC - C 68 2006-03-

21)
58

Table A3. 49 CFR Part 213 Track Safety Standards Compared with UIC (continued)

49 CFR 

Section Title Section Parts

Corresponding 

UIC Regulation Title Comments

213 Track Safety 

Standards

213.127 Rail fastening 

systems (continued)

M/275 

(96/48/EC – C 

332 2006-12-

30)

M/275 

(96/48/EC – to 

be cited in 

OJEU)

Directive(s): M/275 

(96/48/EC – C 332 2006-

12-30)

Part 3: Fastening systems 

for wood sleepers

Part 4: Fastening systems 

for steel sleepers

Part 5: Fastening systems 

for slab track

Directive(s): M/275 

(96/48/EC - C 68 2006-03-

21)

Directive(s): M/275 

(96/48/EC – C 332 2006-

12-30)

Part 6: Special fastening 

systems for attenuation of 

vibration

Part 8: Fastening systems 

for track with heavy axle 

loads

Directive(s): M/275 

(96/48/EC – to be cited in 

OJEU)
59

Table A3. 49 CFR Part 213 Track Safety Standards Compared with UIC (continued)

49 CFR 

Section Title Section Parts

Corresponding 

UIC Regulation Title Comments

213 Track Safety 

Standards

Subpart D--Track 

Structure 

213.133 Turnouts and 

track crossings 

generally.

SC 1 WG 17

EN 13481-

1:2002 

EN 13481-7:2002 Railway 

applications - Track -

Performance requirements 

for fastening systems -

Part 7: Special fastening 

systems for switches and 

crossing and check rails

213.135 Switches. 716

SC 1 WG 17

EN 13481-

1:2002

EN 13232-

4:2005

EN 13232-

5:2005

EN 13232-

6:2005

EN 13232-

7:2006

EN 13232-

9:2006

716 Maximum 

permissible wear profiles 

for switches

EN 13481-7:2002 Railway 

applications - Track -

Performance requirements 

for fastening systems -

Part 7: Special fastening 

systems for switches and 

crossing and check rails

EN 13232-4:2005 Railway 

applications — Track —

Switches and crossings —

Part 4: Actuation, locking 

and detection

EN 13232-5:2005 Railway 

applications — Track —

Switches and crossings —

Part 5: Switches
60

Table A3. 49 CFR Part 213 Track Safety Standards Compared with UIC (continued)

49 CFR 

Section Title Section Parts

Corresponding 

UIC Regulation Title Comments

213 Track Safety 

Standards

213.135 Switches

(continued)

TSI 

Infrastructure 

4.2.12

EN 13232-6:2005 Railway 

applications — Track —

Switches and crossings —

Part 6: Fixed common and 

obtuse crossings

EN 13232-7:2006 Railway 

applications — Track —

Switches and crossings —

Part 7: Crossings with 

moveable parts

EN 13232-9:2006 Railway 

applications — Track —

Switches and crossings —

Part 9: Layouts

4.2.12 Switches and 

crossings

213.137 Frogs.

213.139 Spring rail 

frogs.

213.141 Self-guarded 

frogs.

213.143 Frog guard 

rails and guard faces; 

gage.
61

Table A3. 49 CFR Part 213 Track Safety Standards Compared with UIC (continued)

49 CFR 

Section Title Section Parts

Corresponding 

UIC Regulation Title Comments

213 Track Safety 

Standards

Subpart E—Track 

Appliances and 

TrackRelated Devices

213.201 Scope.

213.205 Derails

Subpart F—

Inspection

213.231 Scope.

EN 13146-

1:2002

Directives:

M/275(96/48/EC 

- to be cited in 

OJEU)

EN 13146-1:2002 Railway 

applications - Track - Test 

methods for fastening 

systems

- Part 1: Determination of 

longitudinal rail restraint

Directive(s): 

M/275(96/48/EC - to be 

cited in OJEU)

- Part 2: Determination of 

torsional resistance

- Part 3: Determination of 

attenuation of impact loads

- Part 4: Effect of repeated 

loading

Directive(s): M/275 

(96/48/EC - to be cited in 

OJEU)

Directive(s): M/275 

(96/48/EC - To be cited in 

OJEU)

- Part 5: Determination of 

electrical resistance
62

Table A3. 49 CFR Part 213 Track Safety Standards Compared with UIC (continued)

49 CFR 

Section Title Section Parts

Corresponding 

UIC Regulation Title Comments

213 Track Safety 

Standards

213.231 Scope

(continued)

Directives:

M/275(96/48/EC 

- to be cited in 

OJEU)

Directive(s): M/275 

(96/48/EC – To be cited in 

OJEU)

- Part 6: Effect of severe 

environmental conditions

- Part 7: Determination of 

clamping force

- Part 8: In service testing

Directive(s): M/275 

(96/48/EC - To be cited in 

OJEU)

213.233 Track 

inspections.

EN 13231-

3:2006

EN 13231-3:2006 Track -

Acceptance of works -

Part 3: Acceptance of rail 

grinding, milling and 

planning work in track

213.235 Inspection of 

switches, track 

crossings, and lift rail 

assemblies or other 

transition devices on

moveable bridges.

213.237 Inspection of 

rail.

213.239 Special 

inspections.

213.241 Inspection 

records.
63

Table A3. 49 CFR Part 213 Track Safety Standards Compared with UIC (continued)

49 CFR 

Section Title Section Parts

Corresponding 

UIC Regulation Title Comments

213 Track Safety 

Standards

Subpart G—Train 

Operations at Track

Classes 6 and Higher

213.301 Scope of 

subpart.

Leaflet 734

TSI 

Infrastructure 

4.2.16

4.2.17

4.2.18

4.2.14.7

734 Adaptation of safety 

installations to high-speed 

requirements

4.2.16 Maximum pressure 

variation in tunnels

4.2.17 Effects of 

crosswinds

4.2.18 Electrical 

characteristics

4.2.14.7 Aerodynamic 

actions from passing trains 

on line side structures

GAP: UIC standards 

listed here may not have 

a counterpart in FRA 

regulations

213.303 Responsibility 

for compliance.

213.305 Designation of 

qualified individuals; 

general qualifications.

TSI 

Infrastructure 

4.6 4.6 Professional 

competences

213.307 Class of track: 

operating speed limits.

TSI - L071 

2008-217-EC

L071 2008-217-EC High 

Speed Infrastructure

Category I — specially 

built high-speed lines 

equipped for speeds 

generally equal to or 

greater than 250 km/h 

(155 mph)
64

Table A3. 49 CFR Part 213 Track Safety Standards Compared with UIC (continued)

49 CFR 

Section Title Section Parts

Corresponding 

UIC Regulation Title Comments

213 Track Safety 

Standards

213.307 Class of track: 

operating speed limits

(continued)

TSI - L071 

2008-217-EC

(continued)

L071 2008-217-EC High 

Speed Infrastructure

(continued)

Category II — specially 

upgraded high-speed 

lines equipped for speeds 

of the order of 200 km/h 

(124 mph)

Category III — specially 

upgraded high-speed 

lines which have special 

features as a result of 

topographical, relief or 

town-planning 

constraints, on which the 

speed must be adapted to 

each case.

213.309 Restoration or 

renewal of track under 

traffic conditions.

213.311 Measuring 

track not under load.

213.317 Waivers.

213.319 Drainage.

213.321 Vegetation.
65

Table A3. 49 CFR Part 213 Track Safety Standards Compared with UIC (continued)

49 CFR 

Section Title Section Parts

Corresponding 

UIC Regulation Title Comments

213 Track Safety 

Standards

213.323 Track gage. TSI 

Infrastructure

4.2.2

4.2.3

4.2.2 Nominal track gauge

4.2.3 Minimum 

infrastructure gauge

213.327 Alignment. TSI 

Infrastructure

4.2.4

4.2.4 Distance between 

track centres

213.329 Curves, 

elevation and speed 

limitations.

TSI 

Infrastructure

4.2.5

4.2.6

4.2.7

4.2.8

4.2.9

4.2.5 Maximum rising and 

falling gradients

4.2.6 Minimum radius of 

curvature

4.2.7 Track cant

4.2.8 Cant deficiency

4.2.9 Equivalent conicity

213.331 Track surface. TSI 

Infrastructure

4.2.10

4.2.11

5.3.1

4.2.10 Track geometrical 

quality and limits on 

isolated defects

4.2.11 Rail inclination

5.3.1 Railhead profile

213.332 Combined 

Alignment

and Surface Deviations

TSI 

Infrastructure

4.2.10

4.2.10 Track geometrical 

quality and limits on 

isolated defects

213.333 Automated 

vehicle inspection 

systems.

Leaflet 715-1

Leaflet 518

EN14363:2005

715-1 Application of digital 

track geometry analysis to 

the planning of tamping 

and lining/levelling work
66

Table A3. 49 CFR Part 213 Track Safety Standards Compared with UIC (continued)

49 CFR 

Section Title Section Parts

Corresponding 

UIC Regulation Title Comments

213 Track Safety 

Standards

213.333 Automated 

vehicle inspection 

systems (continued)

EN14363:2005 518 Testing and approval 

of railway vehicles from the 

point of view of their 

dynamic behaviour - Safety 

- Track fatigue - Running 

behaviour

EN 14363:2005 Railway 

applications - Testing for 

the acceptance of running 

characteristics of railway 

vehicles - Testing of 

running behaviour and 

stationary tests

213.334 Ballast; 

general.

Leaflet 719

TSI Rolling 

Stock 4.2.3.11

719 Earthworks and track 

bed construction for railway 

lines

4.2.3.11 Aerodynamic 

effects on ballast

OPEN: Ballast pickup is 

an open point

Subpart G--Train 

Operations at 

Classes 6 and Higher 

213.335 Crossties.

Leaflet 713

EN 13230-

1:2002

EN 13481-

1:2002

713 Design of monoblock 

concrete sleepers

EN 13230-1:2002 Railway 

applications — Track —

Concrete sleepers and 

bearers — Part 1: General 

requirements
67

Table A3. 49 CFR Part 213 Track Safety Standards Compared with UIC (continued)

49 CFR 

Section Title Section Parts

Corresponding 

UIC Regulation Title Comments

213 Track Safety 

Standards

Subpart G--Train 

Operations at 

Classes 6 and Higher 

213.335 Crossties 

(continued)

EN 13481-

2:2002

EN 13481-

5:2002

Railway applications —

Track — Performance 

requirements for fastening 

systems — Part 1: 

Definitions

Railway applications —

Track — Performance 

requirements for fastening 

systems — Part2: 

Fastening systems for 

concrete sleepers

Railway applications —

Track — Performance 

requirements for fastening 

systems — Part5: 

Fastening systems for slab 

track

213.337 Defective 

rails.

Leaflet 712 712 Rail defects

213.339 Inspection of 

rail in service.

Leaflet 715-2 715-2 Recommendations 

for management of rails

213.341 Initial 

inspection of new rail 

and welds.
68

Table A3. 49 CFR Part 213 Track Safety Standards Compared with UIC (continued)

49 CFR 

Section Title Section Parts

Corresponding 

UIC Regulation Title Comments

213 Track Safety 

Standards

213.343 Continuous 

welded rail (CWR).

213.345 Vehicle/Track 

System Qualification:

TSI 

Infrastructure 

4.2.10

TSI Rolling 

Stock - 4.2.3.4

4.2.3.4.7

4.2.10 Track geometrical 

quality and limits on 

isolated defects

4.2.3.6 Rolling stock 

dynamic behaviour;

4.2.3.4.7 design values for 

wheel profiles

213.347 Automotive or 

railroad crossings at 

grade.

213.349 Rail end 

mismatch.

Leaflet 715-2 715-2 Recommendations 

for management of rails

213.351 Rail joints.

213.352 Torch cut rail.

213.353 Turnouts, 

crossovers, and lift rail 

assemblies or other 

transition devices on 

moveable bridges.

Leaflet 716

TSI 

Infrastructure 

4.2.12- 5.3.4

4.2.14

716 Maximum permissible 

wear profiles for switches

4.2.12- 5.3.4 Switches and 

crossings

4.2.14 Traffic loads on 

structures
69

Table A3. 49 CFR Part 213 Track Safety Standards Compared with UIC (continued)

49 CFR 

Section Title Section Parts

Corresponding 

UIC Regulation Title Comments

213 Track Safety 

Standards

213.355 Frog guard 

rails and guard faces; 

gage.

EN 13674-

2:2006+A1:2010 

EN 13674-2:2006 Track -

Rail - Part 2: Switch and 

crossing rails used in 

conjunction with Vignole 

railway rails 46 kg/m and 

above

213.357 Derails.

213.359 Track 

stiffness.

TSI 

Infrastructure

4.2.15 - 5.3.2

4.2.13

4.2.15 - 5.3.2 Global track 

stiffness

4.2.13 Track resistance

OPEN: Track stiffness is 

an open point in TSI 

Infrastructure 4.2.15

213.361 Right of way. TSI 

Infrastructure 

4.2.22 

4.2.22 Access to or 

intrusion into line 

installations

213.365 Visual 

inspections.

213.367 Special 

inspections.

213.369 Inspection 

records.
70

Table A3. 49 CFR Part 213 Track Safety Standards Compared with UIC (continued)

49 CFR 

Section Title Section Parts

Corresponding 

UIC Regulation Title Comments

213 Track Safety 

Standards

APPENDIX A TO 

PART 213 —

MAXIMUM 

ALLOWABLE 

CURVING SPEEDS

APPENDIX B TO 

PART 213 —

SCHEDULE OF CIVIL 

PENALTIES

APPENDIX C TO 

PART 213 —

STATEMENT OF 

AGENCY POLICY ON 

THE SAFETY OF 

RAILROAD BRIDGES

APPENDIX D TO 

PART 213—Minimally

Compliant Analytical 

Track (MCAT)

Simulations Used for 

Qualifying

Vehicles To Operate at 

High Speeds and

at High Cant 

Deficiencies
71

Table A4. 49 CFR Part 221 Rear End Marking Device – Passenger, Commuter, and Freight Trains Compared with UIC

49 CFR Section Title Section Parts Corresponding 

UIC Regulation

Title Comments

221 Rear End 

Marking 

DevicePassenger, 

Commuter 

and Freight 

Trains

Subpart A—

General

221.1 Scope.

221.3 Application.

221.5 Definitions.

221.7 Civil penalty

221.9 Waivers.

221.11 State 

regulation.

Subpart B—

Marking Devices

221.13 Marking 

device display.

TSI Rolling Stock 

4.2.7.4.1.4

4.2.7.4.1.4 Lamp controls
72

Table A4. 49 CFR Part 221 Rear End Marking Device – Passenger, Commuter, and Freight Trains Compared with UIC 

(continued)

49CFR Section Title Section Parts Corresponding 

UIC Regulation

Title Comments

221 Rear End 

Marking 

DevicePassenger, 

Commuter 

and Freight 

Trains

221.14 Marking 

devices.

BS EN 15153-

1:2007

BS EN 15153-

2:2007

TSI Rolling Stock 

4.2.7.4.1.3

EN 15153-1:2007 Railway 

applications. External 

visible and audible warning 

devices for high speed 

trains. Head, marker and 

tail lamps 

EN 15153-2:2007 Railway 

applications. External 

visible and audible warning 

devices for high speed 

trains. Warning horns 

4.2.7.4.1.3 Tail Lights

221.15 Marking 

device inspection.

GAP: Inspection and 

maintenance of tail 

lamps are not specified 

in the European code.

221.16 Inspection 

procedure.
73

Table A4. 49 CFR Part 221 Rear End Marking Device – Passenger, Commuter, and Freight Trains Compared with UIC 

(continued)

49 CFR Section Title Section Parts Corresponding 

UIC Regulation

Title Comments

221 Rear End 

Marking 

DevicePassenger, 

Commuter 

and Freight 

Trains

221.17 Movement 

of defective 

equipment.

APPENDIX A TO 

PART 221 —

PROCEDURES 

FOR APPROVAL 

OF REAR END 

MARKING 

DEVICES

APPENDIX B TO 

PART 221 —

APPROVED 

REAR END 

MARKING 

DEVICES

APPENDIX C TO 

PART 221 —

SCHEDULE OF 

CIVIL PENALTIES
74

Table A5. 49 CFR Part 223 Safety Glazing Standards – Locomotive, Passenger Cars, and Cabooses Compared with UIC

49 CFR 

Section

Title Section Parts Corresponding 

UIC Regulation

Title Comments

223 Safety Glazing 

Standards--

Locomotives, 

Passenger 

Cars and 

Cabooses

Subpart A—

General

223.1 Scope.

223.3 Application.

223.5 Definitions.

223.7 

Responsibility.

Subpart B—

Specific 

Requirements

223.8 Additional 

requirements for 

passenger

equipment.

TSI Rolling Stock 

- 4.2.2.7

Annex J

4.2.2.7 Windscreen and 

front of the train

Annex J Windscreen 

properties J.2. Structural 

requirements

223.9 

Requirements for 

new or rebuilt 

equipment.
75

Table A5. 49 CFR Part 223 Safety Glazing Standards – Locomotive, Passenger Cars, and Cabooses Compared with UIC 

(continued)

49 CFR 

Section

Title Section Parts Corresponding 

UIC Regulation

Title Comments

223 Safety Glazing 

Standards--

Locomotives, 

Passenger Cars 

& Cabooses

223.11 

Requirements for 

existing 

locomotives.

223.13 

Requirements for 

existing cabooses.

223.15 

Requirements for 

existing passenger 

cars.

223.17 

Identification of 

equipped 

locomotives, 

passenger cars 

and cabooses.

APPENDIX A TO 

PART 223 —

CERTIFICATION 

OF GLAZING 

MATERIALS

APPENDIX B TO 

PART 223

—SCHEDULE OF 

CIVIL PENALTIES
76

Table A6. 49 CFR Part 229 Railroad Locomotive Safety Standards Compared with UIC

49 CFR 

Section

Title Section Parts Corresponding 

UIC Regulation

Title Comments

229 Railroad 

Locomotive 

Safety 

Standards

Subpart A—General

229.1 Scope.

229.3 Applicability.

229.4 Information 

collection.

TSI Rolling Stock 

- 4.2.10.3

4.2.10.4

4.2.10.5

4.2.10.3 Management of 

the maintenance file.

4.2.10.4 Management of 

maintenance information.

4.2.10.5 Implementation of 

the maintenance

GAP: European 

standards require 

documentation of 

maintenance 

information.

229.5 Definitions.

229.7 Prohibited acts.

229.9 Movement of 

non-complying 

locomotives.

229.11 Locomotive 

identification.

229.13 Control of 

locomotives.

229.14 Non-MU 

control cab 

locomotives.
77

Table A6. 49 CFR Part 229 Railroad Locomotive Safety Standards Compared with UIC (continued)

49 CFR

Section

Title Section Parts Corresponding 

UIC Regulation

Title Comments

229 Railroad 

Locomotive 

Safety 

Standards

229.17 Accident 

reports.

229.19 Prior waivers.

Subpart B—

Inspections and 

Tests

229.21 Daily 

inspection.

TSI Rolling Stock 

- 4.2.10

4.1.10 Maintenance

4.2.10.1 The maintenance 

file

4.2.10.2.1 The 

maintenance design 

justification file

4.2.10.2.2 The 

Maintenance 

Documentation

GAP: European 

regulations do not 

call out inspection

schedules but rather 

require documented 

maintenance plans.

229.23 Periodic 

inspection: General.

229.25 Tests: Every 

periodic inspection.

229.27 Annual tests.

229.29 Biennial tests.

229.31 Main reservoir 

tests.

229.33 Out-of-use 

credit.
78

Table A6. 49 CFR Part 229 Railroad Locomotive Safety Standards Compared with UIC (continued)

49 CFR 

Section

Title Section Parts Corresponding 

UIC Regulation

Title Comments

229 Railroad 

Locomotive 

Safety 

Standards

Subpart C—Safety 

Requirements

GENERAL 

REQUIREMENTS

229.41 Protection 

against personal 

injury.

TSI Rolling Stock 

- 4.2.2

4.2.2 Structure and 

mechanical parts

4.2.2.1 General

GAP: European HSR 

regulations are 

generally performance 

oriented and few 

regulations pertain 

specifically to the 

locomotive.

229.43 Exhaust and 

battery gases.

229.45 General 

condition.

BRAKE SYSTEM TSI Rolling Stock 

- 4.2.4

4.2.4 Braking

4.2.4.1 Minimum braking 

performance

GAP: Braking is 

specified by 

performance in the 

European regulations.

229.46 Brakes: 

General.

229.47 Emergency 

brake valve.

229.49 Main reservoir 

system.

229.51 Aluminum main 

reservoirs.

229.53 Brake gauges.

229.55 Piston travel.
79

Table A6. 49 CFR Part 229 Railroad Locomotive Safety Standards Compared with UIC (continued)

49 CFR 

Section

Title Section Parts Corresponding 

UIC Regulation

Title Comments

229 Railroad 

Locomotive 

Safety 

Standards

229.57 Foundation 

brake gear.

229.59 Leakage.

DRAFT SYSTEM

229.61 Draft system.

TSI Rolling Stock 

- 4.2.2.2

4.2.2.2 End couplers and 

coupling arrangements to 

rescue trains

4.2.2.2.1 Subsystem 

Requirements

SUSPENSION 

SYSTEM

TSI Rolling Stock 

- 4.2.3.4

4.2.3.4 Rolling stock 

dynamic behavior

GAP: Suspension 

system performance 

is specified by 

dynamic behavior in 

the European 

regulations.

229.63 Lateral motion. EN14363:2005 EN14363:2005 Railway 

applications. Testing for 

the acceptance of running 

characteristics of railway 

vehicles. Testing of running 

behavior and stationary 

tests

229.64 Plain bearings.

229.65 Spring rigging.

229.67 Trucks.
80

Table A6. 49 CFR Part 229 Railroad Locomotive Safety Standards Compared with UIC (continued)

49 CFR 

Section

Title Section Parts Corresponding 

UIC Regulation

Title Comments

229 Railroad 

Locomotive 

Safety 

Standards

229.69 Side bearings.

229.71 Clearance 

above top of rail.

229.73 Wheel sets.

229.75 Wheel and tire 

defects.

Subpart C--Safety 

Requirements 

ELECTRICAL 

SYSTEM

TSI Rolling Stock 

- 4.2.8.3

4.2.8.3 Functional and 

technical specification 

related to the electric 

power supply

GAP: The European 

electrical system is 

more completely 

specified than the US.

229.77 Current 

collectors.

Leaflet 600

Leaflet 603

Leaflet 605

Leaflet 606-1

Leaflet 608

600 Electric traction with 

aerial contact line

603 Measures to be taken 

to prevent the formation of 

sparks from traction current 

in areas where filling and 

emptying installations for 

inflammable liquids or 

gases are located

605 Protection from 

corrosion - Measures to be 

taken on direct current 

catenaries to reduce the 

risks on adjacent piping 

and cable systems
81

Table A6. 49 CFR Part 229 Railroad Locomotive Safety Standards Compared with UIC (continued)

49 CFR 

Section

Title Section Parts Corresponding 

UIC Regulation

Title Comments

229 Railroad 

Locomotive 

Safety 

Standards

229.77 Current 

collectors (continued)

Leaflet 611 606-1 Consequences of 

the application of the 

kinematic gauge defined by 

UIC Leaflets in the 505 

series on the design of the 

contact lines

608 Conditions to be 

complied with for the 

pantographs of tractive 

units used in international 

services

611 Regulations governing 

acceptance of electric 

locomotives, power cars 

and multiple-unit sets for 

running on international 

services

229.79 Third rail 

shoes.

229.81 Emergency 

pole; shoe insulation.

229.83 Insulation or 

grounding of metal 

parts.

229.85 Doors and 

cover plates marked 

‘Danger’’.
82

Table A6. 49 CFR Part 229 Railroad Locomotive Safety Standards Compared with UIC (continued)

49 CFR 

Section Title Section Parts

Corresponding 

UIC Regulation Title Comments

229 Railroad 

Locomotive 

Safety 

Standards

229.87 Hand-operated 

switches.

229.89 Jumpers; cable 

connections.

229.91 Motors and 

generators.

INTERNAL 

COMBUSTION 

EQUIPMENT

229.93 Safety cut-off 

device.

GAP: No European 

HSR regulations exist 

regarding internal 

combustion

229.95 Venting.

229.97 Grounding fuel 

tanks.

229.99 Safety 

hangers.

229.101 Engines.

STEAM 

GENERATORS

GAP: No European 

HSR regulations exist 

regarding steam

229.103 Safe working 

pressure; factor of 

safety.
83

Table A6. 49 CFR Part 229 Railroad Locomotive Safety Standards Compared with UIC (continued)

49 CFR 

Section Title Section Parts

Corresponding 

UIC Regulation Title Comments

229 Railroad 

Locomotive 

Safety 

Standards

229.105 Steam 

generator number.

229.107 Pressure 

gauge.

229.109 Safety valves.

229.111 Water-flow 

indicator.

229.113 Warning 

notice.

CABS AND CAB 

EQUIPMENT

229.115 Slip/slide 

alarms.

TSI Rolling Stock 

4.2.8.2

4.2.8.2 Traction wheel/rail 

adhesion requirements

GAP: Traction control 

is required on 

European high speed 

trains

229.117 Speed

indicators.

TSI Rolling Stock 

- 4.2.7.14

4.2.7.14 Driver-MachineInterface (DMI)OPEN: The display 

for driving cabs 

remains an open point 

in Europe

229.119 Cabs, floors, 

and passageways.

TSI Rolling Stock 

- 4.2.7.1.2

4.2.2.6

4.2.7.1.2 Driver’s cab 

emergency exits

4.2.2.6 Driver’s cab

GAP: Cab storage 

facility for use by staff 

is a gap

229.121 Locomotive 

cab noise.

TSI Rolling Stock 

4.2.7.6

4.2.7.6 Interior noise
84

Table A6. 49 CFR Part 229 Railroad Locomotive Safety Standards Compared with UIC (continued)

49 CFR 

Section Title Section Parts

Corresponding 

UIC Regulation Title Comments

229 Railroad 

Locomotive 

Safety 

Standards

229.123 Pilots, 

snowplows, end 

plates.

GAP: No European 

regulation was found 

for the topic of 

snowplows

229.125 Headlights 

and auxiliary lights.

TSI Rolling Stock 

- 4.2.7.4.1.1

4.2.7.4.1.2

4.2.7.4.1.1 Head lights

4.2.7.4.1.2 Marker lights 

229.127 Cab lights. Essential requirement 2.4.1 § 9:4.2.7.12 Emergency 

lighting system

GAP: Emergency 

lighting and cab 

lighting are not the 

same ref 238.115

229.129 Locomotive 

horn.

TSI Rolling Stock 

4.2.7.4.2.

4.2.7.4.2. Horns 

4.2.7.4.2.1 General 

4.2.7.4.2.2 Warning horn 

sound pressure levels 

4.2.7.4.2.3 Protection 

4.2.7.4.2.4 Verification of 

sound pressure levels 

4.2.7.4.2.5 Interoperability 

constituent requirements 

229.131 Sanders. TSI Rolling Stock 

4.2.3.10

4.2.9.6

4.3.4.5

4.3.5.9

7.3.2.11

4.2.3.10 Sanding

4.2.9.6 Sand restocking 

equipment

4.3.4.5 Sanding

4.3.5.9 Sanding

7.3.2.11 Sanding
85

Table A6. 49 CFR Part 229 Railroad Locomotive Safety Standards Compared with UIC (continued)

49 CFR 

Section Title Section Parts

Corresponding 

UIC Regulation Title Comments

229 Railroad 

Locomotive 

Safety 

Standards

229.133 Interim 

locomotive conspicuity 

measures—auxiliary 

external lights.

TSI Rolling Stock 

4.2.7.4.1.2

4.2.7.4.1.2 Marker lights 

229.135 Event 

recorders.

TSI Rolling Stock 

4.2.7.10

4.3.4.9

4.3.5.30

4.2.7.10 Monitoring and 

diagnostic concepts

4.3.4.9 Monitoring and 

diagnostic concepts

4.3.5.30 Monitoring and 

diagnostic concepts

Subpart C--Safety 

Requirements CABS 

AND CAB 

EQUIPMENT 

229.137 Sanitation, 

general requirements.

TSI Rolling Stock 

4.2.2.5

4.2.2.5 Toilets

229.139 Sanitation, 

servicing 

requirements.

TSI Infrastructure 

4.2.26.

4.2.26 Fixed installations 

for service trains

4.2.26.1 Toilet Discharge

Subpart D—

Locomotive 

Crashworthiness

Design 

Requirements

229.141 Body 

structure, MU 

locomotives.

TSI Rolling Stock 

- 4.2.2.3.3

Annex A 

4.2.2.3.3 Specifications 

(simple load cases and 

design collision scenarios)

GAP: The European 

standards define 

different collision 

scenarios for testing
86

Table A6. 49 CFR Part 229 Railroad Locomotive Safety Standards Compared with UIC (continued)

49 CFR 

Section Title Section Parts

Corresponding 

UIC Regulation Title Comments

229 Railroad 

Locomotive 

Safety 

Standards

229.141 Body 

structure, MU 

locomotives.

TSI Rolling Stock 

- 4.2.2.3

4.2.2.3.1

4.2.2.3 Strength of vehicle 

structure

4.2.2.3.1 General 

Description

229.201 Purpose and 

scope.

229.203 Applicability.

229.205 General 

requirements.

229.206 Design 

requirements.

TSI Rolling Stock 

4.2.2.3.2

4.2.2.3.2 Principles 

(functional requirements)

229.207 New 

locomotive 

crashworthiness 

design standards and 

changes to existing 

FRA-approved 

locomotive 

crashworthiness 

design standards.

229.209 Alternative 

locomotive 

crashworthiness 

designs.

229.211 Processing of 

petitions.
87

Table A6. 49 CFR Part 229 Railroad Locomotive Safety Standards Compared with UIC (continued)

49 CFR 

Section Title Section Parts

Corresponding 

UIC Regulation Title Comments

229 Railroad 

Locomotive 

Safety 

Standards

229.213 Locomotive 

manufacturing 

information.

229.215 Retention and 

inspection of designs.

229.217 Fuel tank.

APPENDIX A TO 

PART 229 —FORM 

FRA 6180–49A 

[NOTE]

APPENDIX B TO 

PART 229 —

SCHEDULE OF CIVIL 

PENALTIES

APPENDIX C TO 

PART 229 —FRA 

LOCOMOTIVE 

STANDARDS—CODE 

OF DEFECTS [NOTE]
88

Table A6. 49 CFR Part 229 Railroad Locomotive Safety Standards Compared with UIC (continued)

49 CFR 

Section Title Section Parts

Corresponding 

UIC Regulation Title Comments

229 Railroad 

Locomotive 

Safety 

Standards

(continued)

APPENDIX D TO 

PART 22 9—

CRITERIA FOR 

CERTIFICATION OF 

CRASHWORTHY 

EVENT RECORDER 

MEMORY MODULE

APPENDIX E TO 

PART 229 —

PERFORMANCE 

CRITERIA FOR 

LOCOMOTIVE 

CRASHWORTHINESS

TSI Rolling Stock 

- Annex A

Annex A 4.2.2.3.3 

Specifications (simple load 

cases and design collision 

scenarios)

GAP: Collision 

scenarios

APPENDIXES F–G 

TO PART 229 

[RESERVED]

APPENDIX H TO 

PART 229—STATIC 

NOISE TEST 

PROTOCOLS—INCAB STATIC
89

Table A7. 49 CFR Part 231 Railroad Safety Appliance Standards Compared with UIC

49 CFR 

Section

Title Section Parts Corresponding 

UIC Regulation

Title Comments

231 Railroad 

Safety 

Appliance 

Standards

PART 231—

RAILROAD 

SAFETY

APPLIANCE 

STANDARDS

231.0 Applicability 

and penalties.

Essential 

requirement 1.2:

TSI Rolling Stock 

- 4.2.2.2

4.2.2.2 End couplers and 

coupling arrangement to 

rescue trains

OPEN: Very few 

regulations exist 

within the European 

TSI's regarding safety 

appliances

231.1 Box and 

other house cars 

built or placed in 

service before 

October 1, 1966.

231.2 Hopper cars 

and high-side 

gondolas with fixed 

ends.

231.3 Drop-end 

high-side gondola 

cars.

231.4 Fixed-end 

low-side gondola 

and low side

hopper cars.

231.5 Drop-end 

low-side gondola 

cars.

231.6 Flat cars.
90

Table A7. 49 CFR Part 231 Railroad Safety Appliance Standards Compared with UIC (continued)

49 CFR 

Section

Title Section Parts Corresponding 

UIC Regulation

Title Comments

231 Railroad 

Safety 

Appliance 

Standards

231.7 Tank cars 

with side platforms.

231.8 Tank cars 

without side sills 

and tank cars with 

short side sills and 

end platforms.

231.9 Tank cars 

without end sills.

231.10 Caboose 

cars with platforms.

231.11 Caboose 

cars without 

platforms.

231.12 Passengertrain cars with wide 

vestibules.

Leaflet 560 560 Doors, footboards, 

windows, steps, handles 

and handrails of coaches 

and luggage vans

231.13 Passengertrain cars with 

open-end 

platforms.

TSI Rolling Stock 

- 4.2.2.9

4.2.2.9 External steps for 

use by shunting staff
91

Table A7. 49 CFR Part 231 Railroad Safety Appliance Standards Compared with UIC (continued)

49 CFR 

Section

Title Section Parts Corresponding 

UIC Regulation

Title Comments

231 Railroad 

Safety 

Appliance 

Standards

(continued)

231.14 Passengertrain cars without 

end platforms.

231.15 Steam 

locomotives used 

in road service.

231.16 Steam 

locomotives used 

in switching 

service.

231.17 

Specifications 

common to all 

steam locomotives.

231.18 Cars of 

special 

construction.

231.19 Definition of 

‘‘Right’’ and ‘‘Left.’’

231.20 Variation in 

size permitted.

231.21 Tank cars 

without under

frames.
92

Table A7. 49 CFR Part 231 Railroad Safety Appliance Standards Compared with UIC (continued)

49 CFR 

Section

Title Section Parts Corresponding 

UIC Regulation

Title Comments

231 Railroad 

Safety 

Appliance 

Standards

(continued)

231.22 Operation 

of track motor cars.

231.23 

Unidirectional 

passenger-train 

cars adaptable to 

van-type semitrailer use.

231.24 Box and 

other house cars 

with roofs, 16 feet 

10 inches or more 

above top of rail.

231.25 Track 

motorcars (selfpropelled 4- wheel 

cars which can be 

removed from the 

rails by men).

231.26 Pushcars.
93

Table A7. 49 CFR Part 231 Railroad Safety Appliance Standards Compared with UIC (continued)

49 CFR 

Section

Title Section Parts Corresponding 

UIC Regulation

Title Comments

231 Railroad 

Safety 

Appliance 

Standards

(continued)

231.27 Box and 

other house cars 

without roof 

hatches or placed 

in service after 

October 1, 1966.

231.28 Box and 

other house cars 

with roof hatches 

built or placed in 

service after 

October 1, 1966.

231.29 Road 

locomotives with 

corner stairways.

231.30 

Locomotives used 

in switching 

service.

231.31 Drawbars 

for freight cars; 

standard height.

APPENDIX A TO 

PART 231 —

SCHEDULE OF 

CIVIL PENALTIES
94

Table A8. 49 CFR Part 238 Passenger Equipment Safety Standards Compared with UIC

49 CFR Section Title Section Parts Corresponding 

UIC Regulation

Title Comments

238 Passenger 

Equipment 

Safety 

Standards

Subpart A—

General

238.1 Purpose and 

scope.

238.3 Applicability.

238.5 Definitions.

238.7 Waivers. TSI Rolling Stock 

- 6.2.3

6.2.3 Innovative solutions GAP: Correlation is 

very weak.

238.9 

Responsibility for 

compliance.

TSI Rolling Stock 

- 6.2.1

6.2.3

6.2.1 Conformity 

assessment (general)

6.2.2 Conformity 

assessment procedures 

(modules)

GAP: Correlation is 

very weak.

238.11 Penalties.

238.13 Preemptive 

effect.

TSI Rolling Stock 

- 6.3

6.3 Interoperable 

Constituents Not Holding 

an EC Declaration

GAP: Correlation is 

very weak.

238.15 Movement 

of passenger 

equipment with 

power brake 

defects.

GAP: No 

corresponding 

European regulation 

was found regarding 

movement of defective 

equipment.
95

Table A8. 49 CFR Part 238 Passenger Equipment Safety Standards Compared with UIC (continued)

49 CFR Section Title Section Parts Corresponding

UIC Regulation

Title Comments

238 Passenger 

Equipment 

Safety 

Standards

(continued)

238.17 Movement 

of passenger 

equipment with 

other than power 

brake defects.

238.19 Reporting 

and tracking of 

repairs to defective 

passenger 

equipment.

TSI Rolling Stock 

- 4.2.10.3

4.2.10.3 Management of 

the maintenance file

238.21 Special 

approval 

procedure.

TSI Rolling Stock 

- 6.2.5

6.2.5 Assessment of single 

vehicles

238.23 Information 

collection.

TSI Rolling Stock 

- 4.2.10.2.2

4.2.10.2.2 The 

Maintenance 

Documentation

Subpart B—

Safety Planning 

and General 

Requirements

238.101 Scope.

Essential requirement 2.4.1 § 10:
96

Table A8. 49 CFR Part 238 Passenger Equipment Safety Standards Compared with UIC (continued)

49 CFR 

Section

Title Section Parts Corresponding 

UIC Regulation

Title Comments

238 Passenger 

Equipment 

Safety 

Standards

(continued)

238.103 Fire safety. TSI Rolling 

Stock 4.2.7.2 

4.2.7.2 Fire safety

4.2.7.2.1 Introduction

4.2.7.2.2 Measures to 

prevent fire

4.2.7.2.3 Measures to 

detect/control fire

4.2.7.2.3.1 Fire detection

4.2.7.2.3.2 Fire 

extinguisher

4.2.7.2.3.3 Fire resistance

4.2.7.2.4 Additional 

measure to improve 

running capability

4.2.7.2.4.1 Trains of all 

categories fire safety

4.2.7.2.4.2 Category B fire 

safety

4.2.7.2.5 Specific 

measures for tanks 

containing flammable 

liquids

4.2.7.2.5.1 General

4.2.7.2.5.2 Specific 

requirements for fuel tanks
97

Table A8. 49 CFR Part 238 Passenger Equipment Safety Standards Compared with UIC (continued)

49 CFR 

Section

Title Section Parts Corresponding 

UIC Regulation

Title Comments

238 Passenger 

Equipment 

Safety 

Standards

(continued)

238.105 Train electronic 

hardware and software 

safety.

TSI Rolling 

Stock - 4.2.7.13

EN50128: 2001

EN50155:2001

4.2.7.13 Software

EN50128:2001 Railway 

applications. 

Communications, 

signalling and processing 

systems. Software for 

railway control and 

protection systems

EN50155:2001 Railway 

applications. Electronic 

equipment used on rolling 

stock

238.107 Inspection, testing, 

and maintenance plan.

Essential 

requirement 

2.7.1. Safety 

Section 2

TSI Rolling 

Stock 4.1.10.

4.2.9

4.2.9 Servicing

4.1.10 Maintenance

4.2.10.1 The maintenance 

file

4.2.10.2.1 The 

maintenance design 

justification file

4.2.10.2.2 The 

Maintenance 

Documentation

4.2.10.3 Management of 

the maintenance file.

4.2.10.4 Management of 

maintenance information.

4.2.10.5 Implementation of 

the maintenance
98

Table A8. 49 CFR Part 238 Passenger Equipment Safety Standards Compared with UIC (continued)

49 CFR 

Section

Title Section Parts Corresponding 

UIC Regulation

Title Comments

238 Passenger 

Equipment 

Safety 

Standards

(continued)

238.109 Training, 

qualification, and 

designation program.

Essential 

Requirement 

2.7.2 Reliability 

and availability

TSI Rolling 

stock - 4.2.10.

4.2.10 Maintenance

238.111 Pre-revenue service 

acceptance testing plan.

TSI Rolling 

Stock -

4.2.3.4.1 

General

EN 14363:2005

4.2.3.4.1 General

EN 14363:2005 Railway 

applications. Testing for 

the acceptance of running 

characteristics of railway 

vehicles. Testing of 

running behavior and 

stationary tests

238.113 Emergency window 

exits.

TSI Rolling 

Stock 4.2.2.4

4.2.7.1

4.2.2.4 Access

4.2.7.1 Emergency Exits

GAP: 

European 

emergency 

exits need not 

be window 

exits.

238.115 Emergency lighting. Essential 

Requirement 

2.4.1 § 9:

TSI Rolling 

Stock - 4.2.7.12

4.2.7.12 Emergency 

lighting system
99

Table A8. 49 CFR Part 238 Passenger Equipment Safety Standards Compared with UIC (continued)

49 CFR 

Section

Title Section Parts Corresponding 

UIC Regulation

Title Comments

238 Passenger 

Equipment 

Safety 

Standards

(continued)

238.117 Protection against 

personal injury.

Essential 

Requirement 

2.4.1 § 4:

TSI Rolling 

Stock - 4.2.7.3

4.2.7.3. Protection against 

electric shock

238.119 Rim-stamped 

straight-plate wheels.

Subpart C—Specific 

Requirements for Tier I 

Passenger Equipment

238.201 Scope/alternative 

compliance.

238.203 Static end strength. TSI Rolling 

Stock - 4.2.2.3

4.2.2.3.1

4.2.2.3 Strength of vehicle 

structure

4.2.2.3.1 General 

Description

238.205 Anti-climbing 

mechanism.

TSI Rolling 

Stock -

4.2.2.3.2

4.2.2.3.2 Principles 

(functional requirements)

238.207 Link between 

coupling mechanism and car 

body.

TSI Rolling 

Stock -

4.2.2.3.2

4.2.2.3.2 Principles 

(functional requirements)

238.209 Forward-facing end 

structure of locomotives.

TSI Rolling 

Stock -

4.2.2.3.2

4.2.2.3.2 Principles 

(functional requirements)

238.211 Collision posts. TSI Rolling 

Stock -

4.2.2.3.2

4.2.2.3.2 Principles 

(functional requirements)
100

Table A8. 49 CFR Part 238 Passenger Equipment Safety Standards Compared with UIC (continued)

49 CFR 

Section

Title Section Parts Corresponding 

UIC Regulation

Title Comments

238 Passenger 

Equipment 

Safety 

Standards

(continued)

238.213 Corner posts. TSI Rolling 

Stock -

4.2.2.3.2

4.2.2.3.2 Principles 

(functional requirements)

238.215 Rollover strength. TSI Rolling 

Stock -

4.2.2.3.2

4.2.2.3.2 Principles 

(functional requirements)

238.217 Side structure. TSI Rolling 

Stock -

4.2.2.3.2

4.2.2.3.2 Principles 

(functional requirements)

238.219 Truck-to-car-body 

attachment.

TSI Rolling 

Stock -

4.2.2.3.2

4.2.2.3.2 Principles 

(functional requirements)

238.221 Glazing. TSI Rolling 

Stock - 4.2.2.7

4.2.2.7 Windscreen and 

front of the train

GAP: 

European 

standards call 

out cab 

glazing but 

not 

passenger 

windows.

238.223 Locomotive fuel 

tanks.

TSI Rolling 

Stock - 4.2.9.8

4.2.9.8 Refuelling 

equipment

OPEN: 

Refuelling 

equipment is 

an open point 

in European 

standards
101

Table A8. 49 CFR Part 238 Passenger Equipment Safety Standards Compared with UIC (continued)

49 CFR 

Section

Title Section Parts Corresponding 

UIC Regulation

Title Comments

238 Passenger 

Equipment 

Safety 

Standards

(continued)

238.225 Electrical system. TSI Rolling 

Stock - 4.2.7.3

4.2.6.6

4.2.7.3 Protection against 

electric shock

4.2.6.6 Exterior 

Electromagnetic 

Interference

238.227 Suspension system. Essential 

requirement 

1.1.2:

Rolling Stock 

TSI - 4.2.3.2

4.2.3.4

Annex M

4.2.3.2 (static axle load)

4.2.3.4 (rolling stock 

dynamic behaviour)

4.2.3.4.2 Limit values for 

running safety

4.2.3.4.3 Track loading limit 

values

4.2.3.4.4 Wheel/rail 

interface

4.2.3.4.5 Design for vehicle 

stability

4.2.3.4.6 Definition of 

equivalent conicity

4.2.3.4.7 Design values for 

wheel profiles

4.2.3.4.8 In service values 

of equivalent conicity

Annex M In service limits of 

the geometric dimensions 

of wheels and wheelsets

GAP: 

European 

TSI 

standards 

specify 

vehicle 

dynamic 

behavior and 

wheel/rail 

interactions 

that in the 

US are 

specified by 

AAR 

standards
102

Table A8. 49 CFR Part 238 Passenger Equipment Safety Standards Compared with UIC (continued)

49 CFR 

Section

Title Section Parts Corresponding 

UIC Regulation

Title Comments

238 Passenger 

Equipment 

Safety 

Standards

(continued)

238.229 Safety appliances—

general.

GAP: Very 

few 

regulations 

exist within 

the European 

TSI's 

regarding 

safety 

appliances

238.230 Safety appliances—

new equipment.

Essential 

requirement 

1.2:

TSI Rolling 

Stock - 4.2.2.2

4.2.2.2 End couplers and 

coupling arrangement to 

rescue trains

238.231 Brake system. TSI Rolling 

Stock - 4.2.4

4.2.4 Braking

238.233 Interior fittings and 

surfaces.

GAP: 

European 

regulations 

have no 

provision for 

enclosed 

overhead 

storage

238.235 Doors. TSI Rolling 

Stock 4.2.2.4

4.2.2.4 Access
103

Table A8. 49 CFR Part 238 Passenger Equipment Safety Standards Compared with UIC (continued)

49 CFR 

Section

Title Section Parts Corresponding 

UIC Regulation

Title Comments

238 Passenger 

Equipment 

Safety 

Standards

(continued)

238.237 Automated 

monitoring.

TSI Rolling 

Stock - 4.2.7.20

4.2.7.8

4.2.7.10 Monitoring and 

diagnostic concepts

4.2.7.8 Driver's vigilance 

device

Subpart D—Inspection, 

Testing, and Maintenance 

Requirements for Tier I 

Passenger Equipment

238.301 Scope

238.303 Exterior calendar 

day mechanical inspection of 

passenger equipment.

238.305 Interior calendar 

day mechanical inspection of 

passenger cars.

238.307 Periodic mechanical 

inspection of passenger cars 

and unpowered vehicles 

used in passenger trains.

TSI Rolling 

Stock - 6.2.4

6.2.4 Assessment of 

maintenance

238.309 Periodic brake 

equipment maintenance.

238.311 Single car test. TSI Rolling 

Stock - Annex 

P

Annex P Calculation 

method for decelerations 

in degraded mode and 

unfavorable climatic 

conditions
104

Table A8. 49 CFR Part 238 Passenger Equipment Safety Standards Compared with UIC (continued)

49 CFR 

Section

Title Section Parts Corresponding 

UIC Regulation

Title Comments

238 Passenger 

Equipment 

Safety 

Standards

(continued)

238.313 Class I brake test. GAP: 

Inspection 

frequencies 

are not 

specified in 

European 

regulations

238.315 Class IA brake test.

238.317 Class II brake test.

238.319 Running brake test.

238.321 Out-of-service 

credit.

Subpart E—Specific 

Requirements for Tier II 

Passenger Equipment

238.401 Scope.

238.403 Crash energy 

management.

Essential 

Requirement 

2.4.1 § 1:

TSI Rolling 

Stock -

4.2.2.3.2

4.2.2.3.2 Principles 

(functional requirements)
105

Table A8. 49 CFR Part 238 Passenger Equipment Safety Standards Compared with UIC (continued)

49 CFR 

Section

Title Section Parts Corresponding 

UIC Regulation

Title Comments

238 Passenger

Equipment 

Safety 

Standards

(continued)

238.405 Longitudinal static 

compressive strength.

Essential 

Requirement 

2.4.1 § 1:

EN 12663:2000

EN 12663:2000 Railway 

applications - Structural 

requirements of railway 

vehicle bodies. Directive 

M/275 (96/48/EC - C 140 

2002-06-13)

238.407 Anti-climbing 

mechanism.

TSI Rolling 

Stock -

4.2.2.3.2

4.2.2.3.2 Principles 

(functional requirements)

238.409 Forward end 

structures of power car cabs.

TSI Rolling 

Stock -

4.2.2.3.2

4.2.2.3.2 Principles 

(functional requirements)

238.411 Rear end structures 

of power car cabs.

TSI Rolling 

Stock -

4.2.2.3.2

4.2.2.3.2 Principles 

(functional requirements)

238.413 End structures of 

trailer cars.

TSI Rolling 

Stock -

4.2.2.3.2

4.2.2.3.2 Principles 

(functional requirements)

238.415 Rollover strength. TSI Rolling 

Stock -

4.2.2.3.2

4.2.2.3.2 Principles 

(functional requirements)

238.417 Side loads. TSI Rolling 

Stock -

4.2.2.3.2

4.2.2.3.2 Principles 

(functional requirements)
106

Table A8. 49 CFR Part 238 Passenger Equipment Safety Standards Compared with UIC (continued)

49 CFR

Section

Title Section Parts Corresponding 

UIC Regulation

Title Comments

238 Passenger 

Equipment 

Safety 

Standards

(continued)

238.419 Truck-to-car-body 

and truck component 

attachment.

515-0

515-1

515-3

515-4

515-5

567

567-1

567-2

569

515-0 Passenger rolling 

stock - Trailer bogies -

Running gear

515-1 Passenger rolling 

stock - Trailer bogies -

Running gear - General 

provisions applicable to 

the components of trailers 

bogies

515-3 Method of axle 

design calculation.

515-4 Bogie-frame 

structure strength tests.

515-5 Axle-box tests.

567 General provisions for 

coaches

567-1 Standard X and Y 

coaches accepted for 

running on international 

services

567-2 Standard Z-type

coaches accepted for 

running in international 

traffic – Characteristics

569 Regulations to be 

observed in the 

construction of coaches 

and vans suitable for 

conveyance by train ferry
107

Table A8. 49 CFR Part 238 Passenger Equipment Safety Standards Compared with UIC (continued)

49 CFR

Section

Title Section Parts Corresponding 

UIC Regulation

Title Comments

238 Passenger 

Equipment 

Safety 

Standards

(continued)

238.421 Glazing. TSI Rolling 

Stock - 4.2.2.7

Annex J

4.2.2.7 Windscreen and 

front of the train

Annex J Windscreen 

Properties J.2 Structural 

Requirements

GAP: 

European 

standards call 

out cab 

glazing but 

not 

passenger 

windows.

238.423 Fuel tanks. TSI Rolling 

Stock -

4.2.7.2.5.2

4.2.7.2.5.2 Specific 

requirements for fuel tanks

238.425 Electrical system. Essential 

Requirement 

2.4.1 § 2:

Essential 

Requirement 

2.4.1 § 4:

TSI Rolling 

Stock - 4.2.7.3

EN 50153: 

2002

Annex O

4.2.7.3 Protection 

against electric shock

EN 50153: 2002 Railway 

applications. Rolling stock. 

Protective provisions 

relating to electrical 

hazards 

ANNEX O Earth Protection 

of the vehicles’ metal parts 

238.427 Suspension system. 513 513 Guidelines for 

evaluating passenger 

comfort in relation to 

vibration in railway 

vehicles
108

Table A8. 49 CFR Part 238 Passenger Equipment Safety Standards Compared with UIC (continued)

49 CFR

Section

Title Section Parts Corresponding 

UIC Regulation

Title Comments

238 Passenger 

Equipment 

Safety 

Standards

(continued)

238.429 Safety appliances. Essential

requirement 

1.2:

TSI Rolling 

Stock - 4.2.2.2

4.2.2.2 End couplers and 

coupling arrangement to 

rescue trains

GAP: Very 

few 

regulations 

exist within 

the European 

TSI's 

regarding 

safety 

appliances

238.431 Brake system. 410

Essential 

Requirement 

2.4.1 § 3:

410 Composition and 

calculation of the weight 

and braking of passenger 

trains

238.433 Draft system. Essential 

Requirement 

1.2:

TSI Rolling 

Stock - 4.2.2.2

4.2.2.2 End couplers and 

coupling arrangement to 

rescue trains

238.435 Interior fittings and 

surfaces.

GAP: 

European 

regulations 

have no 

provision for 

enclosed 

overhead 

storage
109

Table A8. 49 CFR Part 238 Passenger Equipment Safety Standards Compared with UIC (continued)

49 CFR

Section

Title Section Parts Corresponding 

UIC Regulation

Title Comments

238 Passenger 

Equipment 

Safety 

Standards

(continued)

238.437 Emergency 

communication.

Essential 

Requirement 

2.4.1 § 5:

Essential 

Requirement 

2.4.1 § 10:

TSI Rolling 

Stock - 4.2.5

4.2.5 Passenger 

information and 

communication

4.2.5.1 Public address 

system

4.2.5.2 Passenger 

information signs

4.2.5.3 Passenger alarm

GAP: Public 

address 

system 

required in 

Europe - not 

found in US 

regulations

238.439 Doors. Essential 

Requirement 

2.4.1 § 6:

TSI Rolling 

Stock 

4.2.2.4.2.1 

Passenger 

access doors

4.2.2.4.2.2

Doors for 

freight use and 

for use of the 

train crew

4.2.2.4.2.1 Passenger 

access doors

238.441 Emergency roof 

entrance location.

Essential 

Requirement 

2.4.1 § 7:

TSI Rolling 

Stock -

4.2.7.4.1.1

4.2.7.4.1.2

4.2.2.4 Access

4.2.7.1 Emergency exits

GAP: 

European 

emergency 

exits need not 

be window 

exits.
110

Table A8. 49 CFR Part 238 Passenger Equipment Safety Standards Compared with UIC (continued)

49 CFR

Section

Title Section Parts Corresponding 

UIC Regulation

Title Comments

238 Passenger 

Equipment 

Safety 

Standards

(continued)

238.443 Headlights. TSI Rolling 

Stock -

4.2.7.4.1.1

4.2.7.4.1.2

4.2.7.4.1.1 Head lights

4.2.7.4.1.2 Marker lights 

238.445 Automated 

monitoring.

TSI Rolling 

Stock - 4.2.7.20

4.2.7.8

4.2.7.10 Monitoring and 

diagnostic concepts

4.2.7.8 Driver's vigilance 

device

238.447 Train operator’s 

controls and power car cab 

layout.

TSI Rolling 

Stock - 4.2.7.1

4.2.7.14 Driver-MachineInterface (DMI)OPEN: The 

European 

Traffic Control 

System 

display for 

driving cabs 

remains an 

open point.
111

Table A8. 49 CFR Part 238 Passenger Equipment Safety Standards Compared with UIC (continued)

49 CFR

Section

Title Section Parts Corresponding 

UIC Regulation

Title Comments

238 Passenger 

Equipment 

Safety 

Standards

(continued)

Subpart F—Inspection, 

Testing, and Maintenance 

Requirements for Tier II 

Passenger Equipment

238.501 Scope.

238.503 Inspection, testing, 

and maintenance 

requirements

Essential 

Requirement 

2.7.1. Safety 

Section 2

TSI Rolling 

Stock 4.1.10.

4.2.9

4.2.9 Servicing

4.1.10 Maintenance

4.2.10.1 The maintenance 

file

4.2.10.2.1 The 

maintenance design 

justification file

4.2.10.2.2 The 

Maintenance 

Documentation

4.2.10.3 Management of 

the maintenance file.

4.2.10.4 Management of 

maintenance information.

4.2.10.5 Implementation of 

the maintenance

238.505 Program approval 

procedure.

TSI Rolling 

Stock - 6.

Annex F

6. Assessment of 

Conformity and/or 

suitability for use

Annex F Procedures for 

assessment of conformity 

and suitability for use 
112

Table A8. 49 CFR Part 238 Passenger Equipment Safety Standards Compared with UIC (continued)

49 CFR

Section

Title Section Parts Corresponding 

UIC Regulation

Title Comments

238 Passenger 

Equipment 

Safety 

Standards

(continued)

Subpart G—Specific 

Safety Planning 

Requirements for Tier II 

Passenger Equipment

238.601 Scope.

238.603 Safety planning 

requirements.

Essential 

Requirement 

2.4.1 § 8:

TSI Rolling 

Stock - 6.

Annex F

6. Assessment of 

Conformity and/or 

suitability for use

Annex F Procedures for 

assessment of conformity 

and suitability for use 

APPENDIX A TO PART 38 

—SCHEDULE OF CIVIL 

PENALTIES

APPENDIX B TO PART 238 

—TEST METHODS AND 

PERFORMANCE CRITERIA 

FOR THE FLAMMABILITY 

AND SMOKE EMISSION 

CHARACTERISTICS OF 

MATERIALS USED IN 

PASSENGER CARS AND 

LOCOMOTIVE CABS
113

Table A8. 49 CFR Part 238 Passenger Equipment Safety Standards Compared with UIC (continued)

49 CFR

Section

Title Section Parts Corresponding 

UIC Regulation

Title Comments

238 Passenger 

Equipment 

Safety 

Standards

(continued)

APPENDIX C TO PART 238 

—SUSPENSION SYSTEM 

SAFETY PERFORMANCE 

STANDARDS

APPENDIX D TO PART 238

—REQUIREMENTS FOR 

EXTERNAL FUEL TANKS 

ON TIER I LOCOMOTIVES

APPENDIX E TO PART 238

—GENERAL PRINCIPLES 

OF RELIABILITY-BASED 

MAINTENANCE 

PROGRAMS
114

Table A9. 49 CFR Part 239 Passenger Train Emergency Preparedness Compared with UIC

49 CFR

Section

Title Section Parts Corresponding 

UIC Regulation

Title Comments

239 Passenger 

Train 

Emergency 

Preparedness

Subpart A—General

239.1 Purpose and scope.

239.3 Application.

239.5 Preemptive effect.

239.7 Definitions.

239.9 Responsibility for 

compliance.

239.11 Penalties.

239.13 Waivers.

239.15 Information 

collection.

Subpart B—Specific 

Requirements

239.101 Emergency 

preparedness plan.

239.103 Passenger train 

emergency simulations.

239.105 Debriefing and 

critique.
115

Table A9. 49 CFR Part 239 Passenger Train Emergency Preparedness Compared with UIC (continued)

49 CFR

Section

Title Section Parts Corresponding 

UIC Regulation

Title Comments

239 Passenger 

Train 

Emergency 

Preparedness

(continued)

239.107 Emergency exits. Essential 

Requirement 

2.4.1 § 7:

TSI Rolling 

Stock

— 4.2.5.2 

— 4.2.7.1 

4.2.5.2 Passenger 

information signs

4.2.7.1 

Emergency exits

Subpart C—Review, 

Approval, and Retention of 

Emergency Preparedness 

Plans

239.201 Emergency 

preparedness plan; filing and 

approval.

239.203 Retention of 

emergency preparedness 

plan.
116

Table A9. 49 CFR Part 239 Passenger Train Emergency Preparedness Compared with UIC (continued)

49 CFR

Section

Title Section Parts Corresponding 

UIC Regulation

Title Comments

239 Passenger 

Train 

Emergency 

Preparedness

(continued)

Subpart D—Operational 

(Efficiency) Tests; Inspection 

of Records and 

Recordkeeping

239.301 Operational 

(efficiency) tests.

TSI Rolling 

Stock - 4.4

4.4. Operating 

rules

GAP: 

Operating rules 

are not of the 

same spirit as 

emergency 

preparedness 

testing. 

GAP: Record 

keeping for 

emergency 

preparedness 

is not 

mentioned in 

the TSI Rolling 

Stock.

239.303 Electronic 

recordkeeping.

APPENDIX A TO PART 239 

—SCHEDULE OF CIVIL 

PENALTIES
117

9. Appendix B.

Spreadsheet Comparing FRA Regulations with China Code
118

Table B1. 49 CFR Part 200 Informal Rules of Practice for Passenger Service Compared with China Code 

49 CFR 

Section

CFR Title Section Parts Corresponding China 

Code

Comments

200 Informal Rules 

of Practice for 

Passenger 

Service

200.1 General.

200.3 Definitions.

200.5 Applications.

200.7 Objections.

200.9 Hearings.

200.11 Orders, approvals, 

and determinations.

200.13 Publication.

1. General Provision

2. Glossaries and 

Symbols
119

Table B2. 49 CFR Part 210 Railroad Noise Emission Compliance Regulations Compared with China Code

49 CFR

Section

CFR Title Section Parts Corresponding China 

Code

Comments

210 Railroad Noise 

Emission 

Compliance 

Regulations

Subpart A—General 

Provisions

210.1 Scope of part.

210.3 Applicability.

210.5 Definitions.

210.7 Responsibility for 

noise defective railroad

equipment

210.9 Movement of a noise 

defective locomotive, rail car, 

or consist of a locomotive 

and rail cars.

210.11 Waivers.

210.13 Penalty.

22 Environment 

Protection

22.2 Sound Barrier

22.2.1 Requirements 

of sound barrier design 

22.2.2 Requirements 

of sound barrier 

location

22.2.3 Requirements 

of sound barrier 

structure type

22.2.4 Acoustic design 

of sound barrier shall 

be based on the 

intensity of noise 

source and receptors 

receiving limits and 

requirement to comply

22.2.5 Requirements 

of sound barrier 

structure

22.2.6 Dynamic 

calculation of wind 

pressure on sound 

barrier for train speed 

higher than 250 km/h
120

Table B2. 49 CFR Part 210 Railroad Noise Emission Compliance Regulations Compared with China Code (continued)

49 CFR

Section

CFR Title Section Parts Corresponding China 

Code

Comments

210 Railroad Noise 

Emission 

Compliance 

Regulations

(continued)

Subpart A—General 

Provisions (continued)

22.2.7 Concerns needs 

to be addressed in 

computing 

aerodynamic load on 

sound barrier panel

22.2.8 Requirements 

of sound absorptive 

and insulation 

materials

22.2.9 Requirements 

of auxiliary facilities 

design of sound barrier 

22.2.10. Requirements 

of interface design 

between sound barrier 

foundation and other 

structures
121

Table B2. 49 CFR Part 210 Railroad Noise Emission Compliance Regulations Compared with China Code (continued)

49 CFR

Section

CFR Title Section Parts Corresponding China 

Code

Comments

210 Railroad Noise 

Emission 

Compliance 

Regulations

(continued)

Subpart B—Inspection and 

Testing

210.21 Scope of subpart.

210.23 Authorization.

210.25 Measurement criteria 

and procedures.

210.27 New locomotive 

certification.

210.29 Operation standards 

(moving locomotives and rail 

cars).

210.31 Operation standards 

(stationary locomotives at 30 

meters).

210.33 Operation standards 

(switcher locomotives, load 

cell test stands, car coupling

operations, and retarders).

APPENDIX A TO PART 210 

—SUMMARY OF NOISE 

STANDARDS, 40 CFR 

PART 201

APPENDIX B TO PART 

210—SWITCHER 

LOCOMOTIVE 

ENFORCEMENT POLICY
122

Table B3. 49 CFR Part 213 Track Safety Standards Compared with China Code

49 CFR

Section

CFR Title Section Parts Corresponding 

China Code

Comments

213 Track Safety 

Standards

Subpart A—General

213.1 Scope of part.

213.2 Preemptive effect.

213.3 Application.

213.4 Excepted track.

213.5 Responsibility for 

compliance.

213.7 Designation of 

qualified persons to 

supervise certain renewals 

and inspect track.

213.9 Classes of track: 

operating speed limits.

213.11 Restoration or 

renewal of track under

traffic conditions.

213.13 Measuring track not 

under load.

213.15 Penalties.

213.17 Waivers.

213.19 Information 

collection.

Category I — specially 

built high-speed lines 

equipped for speeds 

generally equal to or 

greater than 250 km/h 

(155 mph)

Category II — specially 

upgraded high-speed lines 

equipped for speeds of the 

order of 200 km/h (124 

mph)

Category III — specially 

upgraded high-speed lines 

which have special 

features as a result of 

topographical, relief or 

town-planning constraints, 

on which the speed must 

be adapted to each case.

Subpart B—Roadbed

213.31 Scope.

213.33 Drainage.

213.37 Vegetation.

6.7 Drainage

22.4 Vegetation 

planning and 

green corridor
123

Table B3. 49 CFR Part 213 Track Safety Standards Compared with China Code (continued)

49 CFR

Section

CFR Title Section Parts Corresponding 

China Code

Comments

213 Track Safety 

Standards 

(continued)

Subpart C—Track 

Geometry

213.51 Scope.

213.53 Gage.

213.55 Alignment.

213.57 Curves; elevation 

and speed limitations.

213.59 Elevation of curved 

track; runoff.

213.63 Track surface.

Subpart D—Track 

Structure

213.101 Scope.

213.103 Ballast; general.

213.109 Crossties.

213.110 Gage restraint 

measurement systems.

213.113 Defective rails.

213.115 Rail end mismatch.

213.119 Continuous welded 

rail (CWR); general.

213.121 Rail joints.
124

Table B3. 49 CFR Part 213 Track Safety Standards Compared with China Code (continued)

49 CFR

Section

CFR Title Section Parts Corresponding 

China Code

Comments

213 Track Safety 

Standards 

(continued)

213.122 Torch cut rail.

213.123 Tie plates.

213.127 Rail fastening 

systems.

9.2 Rail and 

fasteners

213.133 Turnouts and track 

crossings generally.

213.135 Switches.

213.137 Frogs.

213.139 Spring rail frogs.

213.141 Self-guarded frogs.

213.143 Frog guard rails and 

guard faces; gage.

Subpart E—Track 

Appliances and TrackRelated Devices

213.201 Scope.

213.205 Derails
125

Table B3. 49 CFR Part 213 Track Safety Standards Compared with China Code (continued)

49 CFR

Section

CFR Title Section Parts Corresponding 

China Code

Comments

213 Track Safety 

Standards 

(continued)

Subpart F—Inspection

213.231 Scope.

213.233 Track inspections.

213.235 Inspection of 

switches, track crossings,

and lift rail assemblies or 

other transition devices on 

moveable bridges.

213.237 Inspection of rail.

213.239 Special inspections.

213.241 Inspection records.

Subpart G—Train 

Operations at Track

Classes 6 and Higher

213.301 Scope of subpart.

213.303 Responsibility for 

compliance.

213.305 Designation of 

qualified individuals;

general qualifications.

213.307 Class of track: 

operating speed limits.

213.309 Restoration or 

renewal of track under traffic 

conditions.

213.311 Measuring track not 

under load.

213.317 Waivers.

213.319 Drainage.

5. Alignment

5.1 General 

requirement

5.2 Requirement 

of track plane

5.3 

Requirements of 

track profile

5.4 Railway and 

high way cross, 

subsidiary facility 

and others

9. Track

9.1 General 

requirement

9.2 Rail and 

auxiliary parts
126

Table B3. 49 CFR Part 213 Track Safety Standards Compared with China Code (continued)

49 CFR

Section

CFR Title Section Parts Corresponding 

China Code

Comments

213 Track Safety 

Standards 

(continued)

213.321 Vegetation.

213.323 Track gage.

213.327 Alignment.

213.329 Curves, elevation 

and speed limitations.

213.331 Track surface.

213.333 Automated vehicle 

inspection systems.

213.334 Ballast; general.

213.335 Crossties

9.3 Accuracy 

for track Laying

9.4 Ballastless 

track

9.5 Ballasted 

track for main 

line

9.6 Transition 

section for track 

structure

9.7 Rail 

expansion joint

9.8 Interface 

design

9.9 Station 

track

213.337 Defective rails.

213.339 Inspection of rail in 

service.

213.341 Initial inspection of 

new rail and welds.

213.343 Continuous welded 

rail (CWR).

213.345 Vehicle qualification 

testing.

213.347 Automotive or 

railroad crossings at grade.

213.349 Rail end mismatch.

213.351 Rail joints.
127

Table B3. 49 CFR Part 213 Track Safety Standards Compared with China Code (continued)

49 CFR

Section

CFR Title Section Parts Corresponding 

China Code

Comments

213 Track Safety 

Standards 

(continued)

213.352 Torch cut rail.

213.353 Turnouts, 

crossovers, and lift rail 

assemblies or other 

transition devices on

moveable bridges.

213.355 Frog guard rails and 

guard faces; gage.

213.357 Derails.

213.359 Track stiffness.

213.361 Right of way.

213.365 Visual inspections.

213.367 Special inspections.

213.369 Inspection records.

APPENDIX A TO PART 213 

—MAXIMUM ALLOWABLE 

CURVING SPEEDS

APPENDIX B TO PART 213 

—SCHEDULE OF CIVIL 

PENALTIES

APPENDIX C TO PART 213 

—STATEMENT OF 

AGENCY POLICY ON THE 

SAFETY OF RAILROAD 

BRIDGES
128

Table B4. 49 CFR Part 221 Rear End Marking Device – Passenger, Commuter, and Freight Trains Compared with China 

Code 

49 CFR

Section

CFR Title Section Parts Corresponding 

China Code

Comments

221 Rear End 

Marking DevicePassenger, 

Commuter and 

Freight Trains

Subpart A—General

221.1 Scope.

221.3 Application.

221.5 Definitions.

221.7 Civil penalty

221.9 Waivers.

221.11 State regulation.

Subpart B—Marking 

Devices

221.13 Marking device 

display.

221.14 Marking devices.

221.15 Marking device 

inspection.

221.16 Inspection 

procedure.

221.17 Movement of 

defective equipment.

APPENDIX A TO PART 221 

—PROCEDURES FOR 

APPROVAL OF REAR END 

MARKING DEVICES

APPENDIX B TO PART 221 

—APPROVED REAR END 

MARKING DEVICES

APPENDIX C TO PART 221 

—SCHEDULE OF CIVIL 

PENALTIES
129

Table B5. 49 CFR Part 223 Safety Glazing Standards—Locomotives, Passenger Cars and Cabooses Compared with China 

Code

49 CFR

Section

CFR Title Section Parts Corresponding 

China Code

Comments

223 Safety Glazing 

Standards--

Locomotives, 

Passenger Cars 

and Cabooses

Subpart A—General

223.1 Scope.

223.3 Application.

223.5 Definitions.

223.7 Responsibility.

No China code available 

for Rolling stock

Subpart B—Specific 

Requirements

223.8 Additional 

requirements for passenger

equipment.

223.9 Requirements for new 

or rebuilt equipment.

223.11 Requirements for 

existing locomotives.

223.13 Requirements for 

existing cabooses.

223.15 Requirements for 

existing passenger cars.

223.17 Identification of 

equipped locomotives,

passenger cars and 

cabooses.

No China code available 

for Rolling stock

APPENDIX A TO PART 223 

—CERTIFICATION OF 

GLAZING MATERIALS

APPENDIX B TO PART 223

—SCHEDULE OF CIVIL 

PENALTIES

No China code available 

for Rolling stock
130

Table B6. 49 CFR Part 229 Railroad Locomotive Safety Standards Compared with China Code

49 CFR

Section

CFR Title Section Parts Corresponding 

China Code

Comments

229 Railroad 

Locomotive 

Safety 

Standards

Subpart A—General

229.1 Scope.

229.3 Applicability.

229.4 Information collection.

229.5 Definitions.

229.7 Prohibited acts.

229.9 Movement of noncomplying locomotives.

229.11 Locomotive 

identification.

229.13 Control of 

locomotives.

229.14 Non-MU control cab 

locomotives.

229.17 Accident reports.

229.19 Prior waivers.

No China code available 

for Rolling stock

Subpart B—Inspections 

and Tests

229.21 Daily inspection.

229.23 Periodic inspection: 

General.

229.25 Tests: Every periodic 

inspection.

229.27 Annual tests.

229.29 Biennial tests.

229.31 Main reservoir tests.

229.33 Out-of-use credit.

No China code available 

for Rolling stock
131

Table B6. 49 CFR Part 229 Railroad Locomotive Safety Standards Compared with China Code (continued)

49 CFR

Section

CFR Title Section Parts Corresponding 

China Code

Comments

229 Railroad 

Locomotive 

Safety 

Standards 

(continued)

Subpart C—Safety 

Requirements

GENERAL REQUIREMENTS

229.41 Protection against 

personal injury.

229.43 Exhaust and battery 

gases.

229.45 General condition.

BRAKE SYSTEM

229.46 Brakes: General.

229.47 Emergency brake 

valve.

229.49 Main reservoir system.

229.51 Aluminum main 

reservoirs.

229.53 Brake gauges.

229.55 Piston travel.

229.57 Foundation brake gear.

229.59 Leakage.

No China code available 

for Rolling stock

DRAFT SYSTEM

229.61 Draft system.

SUSPENSION SYSTEM

229.63 Lateral motion.

229.64 Plain bearings.

229.65 Spring rigging.

229.67 Trucks.

229.69 Side bearings.

No China code available 

for Rolling stock
132

Table B6. 49 CFR Part 229 Railroad Locomotive Safety Standards Compared with China Code (continued)

49 CFR

Section

CFR Title Section Parts Corresponding 

China Code

Comments

229 Railroad 

Locomotive 

Safety 

Standards 

(continued)

SUSPENSION SYSTEM 

(continued)

229.71 Clearance above top 

of rail.

229.73 Wheel sets.

229.75 Wheel and tire defects.

ELECTRICAL SYSTEM

229.77 Current collectors.

229.79 Third rail shoes.

229.81 Emergency pole; shoe 

insulation.

229.83 Insulation or grounding 

of metal parts.

229.85 Doors and cover plates 

marked “Danger.’’

229.87 Hand-operated 

switches.

229.89 Jumpers; cable 

connections.

229.91 Motors and 

generators.

No China code available 

for Rolling stock

INTERNAL COMBUSTION 

EQUIPMENT

229.93 Safety cut-off device.

229.95 Venting.

229.97 Grounding fuel tanks.

229.99 Safety hangers.

229.101 Engines.

No China code available 

for Rolling stock
133

Table B6. 49 CFR Part 229 Railroad Locomotive Safety Standards Compared with China Code (continued)

49 CFR

Section

CFR Title Section Parts Corresponding 

China Code

Comments

229 Railroad 

Locomotive 

Safety 

Standards 

(continued)

STEAM GENERATORS

229.103 Safe working 

pressure; factor of safety.

229.105 Steam generator 

number.

229.107 Pressure gauge.

229.109 Safety valves.

229.111 Water-flow indicator.

229.113 Warning notice.

No China code available 

for Rolling stock

CABS AND CAB EQUIPMENT

229.115 Slip/slide alarms.

229.117 Speed indicators.

229.119 Cabs, floors, and 

passageways.

229.121 Locomotive cab noise.

229.123 Pilots, snowplows, end 

plates.

229.125 Headlights and 

auxiliary lights.

229.127 Cab lights.

229.129 Locomotive horn.

229.131 Sanders.

229.133 Interim locomotive 

conspicuity

measures—auxiliary external 

lights.

229.135 Event recorders.

No China code available 

for Rolling stock
134

Table B6. 49 CFR Part 229 Railroad Locomotive Safety Standards Compared with China Code (continued)

49 CFR

Section

CFR Title Section Parts Corresponding 

China Code

Comments

229 Railroad 

Locomotive 

Safety 

Standards

229.137 Sanitation, general 

requirements.

229.139 Sanitation, servicing 

requirements.

Subpart D—Locomotive 

Crashworthiness

Design Requirements

229.141 Body structure, MU 

locomotives.

229.201 Purpose and scope.

229.203 Applicability.

229.205 General requirements.

229.206 Design requirements.

229.207 New locomotive 

crashworthiness design

standards and changes to existing

FRA-approved locomotive 

crashworthiness design 

standards.

229.209 Alternative locomotive 

crashworthiness

designs.

229.211 Processing of petitions.

229.213 Locomotive 

manufacturing information.

229.215 Retention and inspection 

of designs.

229.217 Fuel tank.

No China code 

available for Rolling 

stock
135

Table B6. 49 CFR Part 229 Railroad Locomotive Safety Standards Compared with China Code (continued)

49 CFR

Section

CFR Title Section Parts Corresponding 

China Code

Comments

229 Railroad 

Locomotive 

Safety 

Standards 

(continued)

APPENDIX A TO PART 229 

—FORM FRA 6180–49A 

[NOTE]

APPENDIX B TO PART 229 

—SCHEDULE OF CIVIL 

PENALTIES

APPENDIX C TO PART 229 

—FRA LOCOMOTIVE 

STANDARDS—CODE OF 

DEFECTS [NOTE]

APPENDIX D TO PART 229—

CRITERIA FOR 

CERTIFICATION OF 

CRASHWORTHY EVENT 

RECORDER MEMORY 

MODULE

APPENDIX E TO PART 229 

—PERFORMANCE CRITERIA 

FOR LOCOMOTIVE 

CRASHWORTHINESS

APPENDIXES F–G TO PART 

229 [RESERVED]

APPENDIX H TO PART 229—

STATIC NOISE TEST 

PROTOCOLS—IN-CAB 

STATIC
136

Table B7. 49 CFR Part 231 Railroad Safety Appliance Standards Compared with China Code

49 CFR

Section

CFR Title Section Parts Corresponding 

China Code

Comments

231 Railroad Safety 

Appliance 

Standards

PART 231—RAILROAD 

SAFETY

APPLIANCE STANDARDS

231.0 Applicability and 

penalties.

231.1 Box and other house cars 

built or placed in service before 

October 1, 1966.

231.2 Hopper cars and high-side 

gondolas with fixed ends.

231.3 Drop-end high-side 

gondola cars.

231.4 Fixed-end low-side 

gondola and low side

hopper cars.

231.5 Drop-end low-side 

gondola cars.

231.6 Flat cars.

231.7 Tank cars with side 

platforms.

231.8 Tank cars without side 

sills and tank cars with short 

side sills and end platforms.

231.9 Tank cars without end 

sills.

231.10 Caboose cars with 

platforms.

231.11 Caboose cars without 

platforms.

No China code available 

for Rolling stock
137

Table B7. 49 CFR Part 231 Railroad Safety Appliance Standards Compared with China Code (continued)

49 CFR

Section

CFR Title Section Parts Corresponding 

China Code

Comments

231 Railroad Safety 

Appliance 

Standards 

(continued)

231.12 Passenger-train cars with 

wide vestibules.

231.13 Passenger-train cars with 

open-end platforms.

231.14 Passenger-train cars 

without end platforms.

231.15 Steam locomotives used in 

road service.

231.16 Steam locomotives used in 

switching service.

231.17 Specifications common to 

all steam locomotives.

231.18 Cars of special 

construction.

231.19 Definition of ‘‘Right’’ and 

‘‘Left.’’

231.20 Variation in size permitted.

231.21 Tank cars without under

frames.

231.22 Operation of track motor 

cars.

231.23 Unidirectional passengertrain cars adaptable to van-type 

semi-trailer use.

231.24 Box and other house cars 

with roofs,

16 feet 10 inches or more above 

top of rail.

No China code 

available for Rolling 

stock
138

Table B7. 49 CFR Part 231 Railroad Safety Appliance Standards Compared with China Code (continued)

49 CFR

Section

CFR Title Section Parts Corresponding 

China Code

Comments

231 Railroad Safety 

Appliance 

Standards 

(continued)

231.25 Track motorcars (selfpropelled 4 – wheel cars which 

can be removed from the rails 

by men).

231.26 Pushcars.

231.27 Box and other house 

cars without roof hatches or 

placed in service after October 

1, 1966.

231.28 Box and other house 

cars with roof hatches built or 

placed in service after October 

1, 1966.

231.29 Road locomotives with 

corner stairways.

231.30 Locomotives used in 

switching service.

231.31 Drawbars for freight 

cars; standard height.

No China code available 

for Rolling stock

APPENDIX A TO PART 231 

—SCHEDULE OF CIVIL 

PENALTIES
139

Table B8. 49 CFR Part 238 Passenger Equipment Safety Standards Compared with China Code 

49 CFR

Section

CFR Title Section Parts Corresponding 

China Code

Comments

238 Passenger 

Equipment 

Safety 

Standards

Subpart A—General

238.1 Purpose and scope.

238.3 Applicability.

238.5 Definitions.

238.7 Waivers.

238.9 Responsibility for 

compliance.

238.11 Penalties.

238.13 Preemptive effect.

238.15 Movement of passenger 

equipment with power brake 

defects.

238.17 Movement of passenger 

equipment

with other than power brake 

defects.

238.19 Reporting and tracking 

of repairs to defective 

passenger equipment.

238.21 Special approval 

procedure.

238.23 Information collection.

No China code available 

for Rolling stock
140

Table B8. 49 CFR Part 238 Passenger Equipment Safety Standards Compared with China Code (continued)

49 CFR

Section

CFR Title Section Parts Corresponding 

China Code

Comments

238 Passenger 

Equipment 

Safety 

Standards 

(continued)

Subpart B—Safety 

Planning and General 

Requirements

238.101 Scope.

238.103 Fire safety.

238.105 Train electronic 

hardware and software 

safety.

238.107 Inspection, testing, 

and maintenance plan.

238.109 Training, 

qualification, and

designation

program.

238.111 Pre-revenue 

service acceptance testing

plan.

238.113 Emergency window 

exits.

238.115 Emergency lighting.

238.117 Protection against 

personal injury.

238.119 Rim-stamped 

straight-plate wheels.

No China code available 

for Rolling stock
141

Table B8. 49 CFR Part 238 Passenger Equipment Safety Standards Compared with China Code (continued)

49 CFR

Section

CFR Title Section Parts Corresponding 

China Code

Comments

238 Passenger 

Equipment 

Safety 

Standards 

(continued)

Subpart C—Specific Requirements 

for Tier I Passenger Equipment

238.201 Scope/alternative 

compliance.

238.203 Static end strength.

238.205 Anti-climbing mechanism.

238.207 Link between coupling 

mechanism and car body.

238.209 Forward-facing end structure 

of locomotives.

238.211 Collision posts.

238.213 Corner posts.

238.215 Rollover strength.

238.217 Side structure.

238.219 Truck-to-car-body 

attachment.

238.221 Glazing.

238.223 Locomotive fuel tanks.

238.225 Electrical system.

238.227 Suspension system.

238.229 Safety appliances—general.

238.230 Safety appliances—new 

equipment.

238.231 Brake system.

238.233 Interior fittings & surfaces.

238.235 Doors.

238.237 Automated monitoring.

No China code 

available for 

Rolling stock
142

Table B8. 49 CFR Part 238 Passenger Equipment Safety Standards Compared with China Code (continued)

49 CFR

Section

CFR Title Section Parts Corresponding 

China Code

Comments

238 Passenger 

Equipment 

Safety 

Standards 

(continued)

Subpart D—Inspection, Testing, 

and Maintenance Requirements for 

Tier I Passenger Equipment

238.301 Scope.

238.303 Exterior calendar day 

mechanical inspection of passenger 

equipment.

238.305 Interior calendar day 

mechanical inspection of passenger 

cars.

238.307 Periodic mechanical 

inspection of passenger cars and 

unpowered vehicles used in 

passenger trains.

238.309 Periodic brake equipment 

maintenance.

238.311 Single car test.

238.313 Class I brake test.

238.315 Class IA brake test.

238.317 Class II brake test.

238.319 Running brake test.

238.321 Out-of-service credit.

No China code 

available for 

Rolling stock

Subpart E—Specific Requirements 

for Tier II Passenger Equipment

238.401 Scope.

238.403 Crash energy management.

238.405 Longitudinal static 

compressive strength.

No China code 

available for 

Rolling stock
143

Table B8. 49 CFR Part 238 Passenger Equipment Safety Standards Compared with China Code (continued)

49 CFR

Section

CFR Title Section Parts Corresponding 

China Code

Comments

238 Passenger 

Equipment 

Safety

Standards 

(continued)

238.407 Anti-climbing mechanism.

238.409 Forward end structures of 

power car cabs.

238.411 Rear end structures of power 

car cabs.

238.413 End structures of trailer cars.

238.415 Rollover strength.

238.417 Side loads.

238.419 Truck-to-car-body and truck 

component

attachment.

No China code 

available for 

Rolling stock

238.421 Glazing.

238.423 Fuel tanks.

238.425 Electrical system.

238.427 Suspension system.

238.429 Safety appliances.

238.431 Brake system.

238.433 Draft system.

238.435 Interior fittings and surfaces.

238.437 Emergency communication.

238.439 Doors.

238.441 Emergency roof entrance 

location.

238.443 Headlights.

238.445 Automated monitoring.

238.447 Train operator’s controls and 

power car cab layout.

No China code 

available for 

Rolling stock
144

Table B8. 49 CFR Part 238 Passenger Equipment Safety Standards Compared with China Code (continued)

49 CFR

Section

CFR Title Section Parts Corresponding 

China Code

Comments

238 Passenger 

Equipment 

Safety 

Standards 

(continued)

Subpart F—Inspection, Testing, and 

Maintenance Requirements for Tier 

II Passenger Equipment

238.501 Scope.

238.503 Inspection, testing, and 

maintenance

requirements.

238.505 Program approval procedure.

Subpart G—Specific Safety 

Planning Requirements

for Tier II Passenger Equipment

238.601 Scope.

238.603 Safety planning 

requirements.

No China code 

available for 

Rolling stock

APPENDIX A TO PART 38 —

SCHEDULE OF CIVIL PENALTIES

APPENDIX B TO PART 238 —TEST 

METHODS AND PERFORMANCE 

CRITERIA FOR THE FLAMMABILITY 

AND SMOKE EMISSION 

CHARACTERISTICS

OF MATERIALS USED IN 

PASSENGER

CARS AND LOCOMOTIVE CABS

No China code 

available for 

Rolling stock
145

Table B8. 49 CFR Part 238 Passenger Equipment Safety Standards Compared with China Code (continued)

49 CFR

Section

CFR Title Section Parts Corresponding 

China Code

Comments

238 Passenger 

Equipment 

Safety 

Standards 

(continued)

APPENDIX C TO PART 238 —

SUSPENSION SYSTEM

SAFETY PERFORMANCE 

STANDARDS

APPENDIX D TO PART 238 —

REQUIREMENTS FOR EXTERNAL 

FUEL TANKS ON TIER I 

LOCOMOTIVES

APPENDIX E TO PART 238 —

GENERAL PRINCIPLES OF 

RELIABILITY-BASED 

MAINTENANCE PROGRAMS

No China code 

available for 

Rolling stock
146

Table B9. 49 CFR Part 239 Passenger Train Emergency Preparedness Compared with China Code 

49 CFR

Section

CFR Title Section Parts Corresponding 

China Code

Comments

239 Passenger Train 

Emergency 

Preparedness

Subpart A—General

239.1 Purpose and scope.

239.3 Application.

239.5 Preemptive effect.

239.7 Definitions.

239.9 Responsibility for 

compliance.

239.11 Penalties.

239.13 Waivers.

239.15 Information collection.

No China code available

Subpart B—Specific 

Requirements

239.101 Emergency 

preparedness plan.

239.103 Passenger train 

emergency simulations.

239.105 Debriefing and 

critique.

239.107 Emergency exits.

No China code available

Subpart C—Review, 

Approval, and Retention of 

Emergency Preparedness 

Plans

239.201 Emergency 

preparedness plan; filing and 

approval.

239.203 Retention of 

emergency preparedness

plan.

No China code available
147

Table B9. 49 CFR Part 239 Passenger Train Emergency Preparedness Compared with China Code 

49 CFR

Section

CFR Title Section Parts Corresponding 

China Code

Comments

239 Passenger Train 

Emergency 

Preparedness 

(continued)

Subpart D—Operational 

(Efficiency) Tests; Inspection 

of Records and 

Recordkeeping

239.301 Operational 

(efficiency) tests.

239.303 Electronic 

recordkeeping.

No China code available

APPENDIX A TO PART 239 

—SCHEDULE OF CIVIL 

PENALTIES

No China code available
148

Abbreviations and Acronyms

AAR Association of American Railroads

AEIF European Association for Railway Interoperability

APTA American Public Transportation Association

AREMA American Railway Engineering and Maintenance-of-Way Association

CEC Commission of the European Communities

CEN Comité Européen de Normalisation

CFR Code of Federal Regulations

EN European Norm (standard)

ERA European Rail Agency

ERTMS European Rail Traffic Management System

ETF Editions Techniques Ferroviares

FMVSS Federal Motor Vehicle Safety Standards

FRA Federal Railroad Administration

HSR high-speed rail

MCAT Minimally Compliant Analytical Track

MOR Ministry of Railways (China)

NPRM Notice of Proposed Rule Making

ORE Office of Research and Experiments 

OSHA Occupational Safety and Health Administration

TSI Technical Specification for Interoperability

TTCI Transportation Technology Center, Inc.

UIC Union Internationale des Chemins de fer

UTU United Transportation Union

VTINPRM Vehicle Track Interaction Notice of Proposed Rule Making
149

Index

49

49CFR Part 200, 11, 29, 45, 48, 120

49CFR Part 210, 12, 29, 42, 45, 49, 50, 51, 121, 122, 123

49CFR Part 213, 9, 13, 15, 16, 17, 18, 21, 25, 29, 42, 45, 52, 

53, 54, 55, 56, 57, 58, 59, 60, 61, 62, 63, 64, 65, 66, 67, 

68, 69, 70, 71, 124, 125, 126, 127, 128, 129

49CFR Part 221, 18, 45, 72, 73, 74, 130

49CFR Part 223, 18, 45, 75, 76, 131

49CFR Part 229, 19, 20, 22, 45, 77, 78, 79, 80, 81, 82, 83, 

84, 85, 86, 87, 88, 89, 132, 133, 134, 135, 136, 137

49CFR Part 231, 22, 45, 90, 91, 92, 93, 94, 138, 139, 140

49CFR Part 238, 22, 24, 25, 26, 45, 95, 96, 97, 98, 99, 100, 

101, 102, 103, 104, 105, 106, 107, 108, 109, 110, 111, 

112, 113, 114, 141, 142, 143, 144, 145, 146, 147

49CFR Part 239, 26, 45, 115, 116, 117, 148, 149

A

Alstom, 30

American Public Transportation Association

APTA, 3

American Railway Engineering and Maintenance 

Association

AREMA, 3

Amtrak, 2

Approved Specifications

Japan, 33

Association of American Railroads (AAR), 3

B

Bombardier, 30

C

CEN Technical Committee 256, 6

Code for Design of High-speed Railway

China, 30

TB10621-2009, 28

Code of Federal Regulations

CFR, 3

Comité Européen de Normalisation

CEN, 6

Commission of the European Communities, 5

CONVERSION, ii

Conversion FACTORS

factors, ii

D

Design Specifications for Civil Works

Taiwan, 31

E

Editions Techniques Ferroviaires

ETF, 5

EN 15227:2008

Railway Applications – Crashworthiness requirements 

for railway vehicle bodies, 22

EN12663-1:2010

Railway applications – Structural requirements of 

railway vehicle bodies Part 1

Locomotives and passenger rolling stock (and 

alternative method for freight wagons), 22

European Association for Railway Interoperability

AEIF, 7, 150

European Infrastructure HSR Definitions, 9

European Rail Agency

ERA, 7

European Rail Traffic Management System

ERTMS, 8, 150

European Rolling Stock HSR Definitions, 10

European Union

EU, 5, 6, 7, 8

F

Federal Railroad Administration

FRA, i, 1, 18, 150

FRA safety regulations, 2

FRA Track Classes, 9

H

HSR definitions, 9

I

Implementation Standards

Japan, 33

Informal Rules of Practice for Passenger Service, 11, 29

200, 4

International Standards for Interoperability, 6

interoperation, 2

J

Japan Railways Group

JR Group, 33

Japanese National Railways, 33

K

Kawasaki, 30, 31
150

M

Ministerial Ordinance Providing for the Technological 

Standard for Railways

Japan, 33

Ministry of Railways

MOR, 28

N

Northeast Corridor, 2

O

objectives, 2

Occupational Safety and Health Administration, 150

Office of Research and Experiments

ORE, 5

P

Passenger Equipment Safety Standards

238, 4, 22

Passenger Train Emergency Preparedness

239, 4, 26

prEN, 6

R

Rail Passenger Service Act, 11

Railroad Locomotive Safety Standards

229, 4, 19

Railroad Noise Emission Compliance Regulations, 12, 29

210, 4

Railroad Safety Appliance Standards

231, 4, 22

Railway Bureau of the Ministry of Land, Infrastructure, 

Transport, and Tourism

Japan, 33

Rear End Marking Device-Passenger, Commuter and 

Freight Trains

221, 4

S

Safety Glazing Standards – Locomotives, passenger Cars 

and Cabooses

223, 4

Shinkansen

Japan, 31

Siemens, 30

T

Taiwan High Speed Rail

THSR, 31

tier classification

FRA, 10

Track Safety Standards, 13, 29

213, 4

trans-European high speed rail system, 5, 7

trans-European HSR system, 11

U

UIC code, 5

UIC leaflets, 5

Union Internationale des Chemins de fer

UIC, 150

V

Vignole

rail, 7