Document ID: FRA-2019-0068-0026
Agency: fra
Document Type: Proposed Rule
Title: Texas Central Railroad High-Speed Rail Safety Standards
Posted Date: 2020-03-10T04:00Z

[Federal Register Volume 85, Number 47 (Tuesday, March 10, 2020)]
[Proposed Rules]
[Pages 14036-14096]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2020-03521]

[[Page 14035]]

Vol. 85

Tuesday,

No. 47

March 10, 2020

Part III

Department of Transportation

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Federal Railroad Administration

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49 CFR 299

Texas Central Railroad High-Speed Rail Safety Standards; Proposed Rule

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

[[Page 14036]]

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DEPARTMENT OF TRANSPORTATION

Federal Railroad Administration

49 CFR Part 299

[Docket No. FRA-2019-0068, Notice 1]
RIN 2130-AC84

Texas Central Railroad High-Speed Rail Safety Standards

AGENCY: Federal Railroad Administration (FRA), Department of 
Transportation (DOT).

ACTION: Notice of proposed rulemaking; rule of particular 
applicability.

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SUMMARY: FRA is proposing a rule of particular applicability (RPA) to 
establish safety standards for the Texas Central Railroad (TCRR or the 
railroad) high speed rail system. The proposed standards are not 
intended for general application in the railroad industry, but would 
apply only to the TCRR system planned for development in the State of 
Texas. The proposed RPA takes a systemsapproach to safety, and so 
includes standards that address all aspects of the TCRR high-speed 
system, including signal and trainset control, track, rolling stock, 
operating practices, system qualifications, and maintenance. The TCRR 
system is planned to operate from Houston to Dallas, on dedicated 
track, with no grade crossings, at speeds not to exceed 330 km/h (205 
mph). The TCRR rolling stock, track, and core systems will replicate 
the Central Japan Railway Company (JRC), Tokaido Shinkansen high-speed 
rail system, and will be used exclusively for revenue passenger 
service.

DATES: Written comments must be received by May 11, 2020. Comments 
received after that date will be considered to the extent possible 
without incurring additional expense or delay.
    FRA anticipates holding three public hearings to receive oral 
comment on this NPRM, and that proceedings will also be necessary under 
49 U.S.C. 20306. FRA will publish a separate announcement in the 
Federal Register to inform interested parties of the date, time, and 
location of these hearings.

ADDRESSES: Comments: Comments related to Docket No. FRA-2019-0068, 
Notice No. 1, may be submitted by any of the following methods:
     Federal eRulemaking Portal: Go to http://www.regulations.gov and follow the online instructions for submitting 
comments;
     Fax: 202-493-2251;
     Mail: Docket Management Facility, U.S. Department of 
Transportation, 1200 New Jersey Avenue SE, Room W12-140, Washington, DC 
20590; or
     Hand Delivery: Docket Management Facility, U.S. Department 
of Transportation, 1200 New Jersey Avenue SE, Room W12-140 is located 
on the ground level of the West Building, between 9 a.m. and 5 p.m., 
Monday through Friday, except Federal holidays.
    Instructions: All submissions must include the agency name and 
docket number or Regulatory Identification Number (RIN) for this 
rulemaking (2130-AC84). Note that all comments received will be posted 
without change to http://www.regulations.gov, including any personal 
information provided. Please see the Privacy Act heading in the 
Supplementary Information section of this document for Privacy Act 
information related to any submitted comments or materials.
    Docket: For access to the docket to read background documents or 
comments received, go to http://www.regulations.gov at any time or 
visit the Docket Management Facility, U.S. Department of 
Transportation, 1200 New Jersey Avenue SE, Room W12-140 on the Ground 
level of the West Building, between 9 a.m. and 5 p.m., Monday through 
Friday, except Federal holidays.

FOR FURTHER INFORMATION CONTACT: Frederick Mottley, Systems Engineer, 
U.S. Department of Transportation, Federal Railroad Administration, 
Office of Railroad Safety, 1200 New Jersey Avenue SE, Washington, DC 
20590 (telephone: (617) 494-3160); or Michael Hunter, Attorney Adviser, 
U.S. Department of Transportation, Federal Railroad Administration, 
Office of Chief Counsel, 1200 New Jersey Avenue SE, Washington, DC 
20590 (telephone: (202) 493-0368).

SUPPLEMENTARY INFORMATION: 

Table of Contents

I. Executive Summary
II. Statutory Authority
III. Regulatory Approach
IV. Project Background and Regulatory Development
    A. History of Tokaido Shinkansen
    B. RPA Development Process
    C. The Proposed System
    1. Rolling Stock
    2. Automatic Train Control System
    3. Track Safety Standards
    4. Maintenance-of-Way Operations
    5. System Qualification
    6. Personnel Qualification
    7. Inspection, Testing, and Maintenance
    8. Operating Rules and Practices
    D. Applicability of FRA's Current Regulations
    E. Incorporation by Reference
    F. Enforcement
V. Regulatory Impact and Notices
    A. Executive Orders 12866 and 13771, and DOT Regulatory Policies 
and Procedures
    B. Regulatory Flexibility Act and Executive Order 13272; 
Regulatory Flexibility Assessment
    C. Paperwork Reduction Act
    D. Federalism Implications
    E. International Trade Impact Assessment
    F. Environmental Impact
    G. Executive Order 12898 (Environmental Justice)
    H. Executive Order 13175 (Tribal Consultation)
    I. Unfunded Mandates Reform Act of 1995
    J. Energy Impact
    K. Privacy Act Statement

I. Executive Summary

    On August 30, 2019, FRA granted TCRR's petition for rulemaking 
(petition), which was submitted April 15, 2016. TCRR's petition 
represented that the regulatory requirements offered by TCRR translate 
the technological and operational aspects of the JRC Tokaido Shinkansen 
system.
    The Tokaido Shinkansen first went into service on October 1, 1964, 
under the operation of the Japanese National Railways (JNR). On April 
1, 1987, JNR was privatized and split into six passenger railroads and 
a freight railroad. JRC was the company that took over operations of 
the Tokaido Shinkansen system, and is still operating the system today. 
In 50+ years of Tokaido Shinkansen system operations, JNR, and now JRC, 
have optimized its operations to a very high level of performance. 
Accordingly, the Shinkansen has moved over 6 billion passengers without 
a passenger fatality or injury due to trainset accidents such as a 
derailment or collision.
    TCRR intends to implement a high-speed passenger rail system, based 
upon the service-proven technology used on the Tokaido Shinkansen and 
replicating the operational and maintenance practices and procedures 
employed by JRC. TCRR plans to implement the latest, service-proven 
derivative of the N700 trainset and other core systems currently in use 
on the Tokaido Shinkansen line,\1\ which have been refined for high-
speed operations over the last 50+ years. TCRR plans to adapt the N700 
series trainset and supporting systems in a manner that is appropriate 
for the Texas environment and operate under a regulatory framework that 
enables FRA to provide effective safety oversight.
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    \1\ Subsequent references to ``N700'' or ``N700 series 
trainset'' are meant to refer to the N700 series trainset currently 
in, or future variants approved for, use.
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    Additionally, FRA has prepared an analysis of the economic impact 
of this

[[Page 14037]]

proposed rule under section V.A., below. FRA concluded that because the 
NPRM generally includes only voluntary actions, or alternative action 
that would be voluntary, the NPRM does not impart additional burdens on 
TCRR.

II. Statutory Authority

    Under the Federal railroad safety laws, FRA has jurisdiction over 
all railroads, as defined in 49 U.S.C. 20102, except urban rapid 
transit operations that are not connected to the general railroad 
system of transportation. Moreover, FRA would consider a stand-alone 
intercity railroad line to be part of the general system, even though 
not physically connected to other railroads (as FRA has previously 
stated with respect to the Alaska Railroad; see 49 CFR part 209, 
appendix A). FRA considers the contemplated TCRR system as intercity 
passenger rail, not urban rapid transit. Accordingly, the TCRR system 
will be subject to FRA jurisdiction whether it is connected to the 
general railroad system or not. Please see FRA's policy statement 
discussing in greater detail FRA's jurisdiction over passenger 
railroads, which includes discussion on how FRA's characterizes 
passenger operations, contained at 49 CFR part 209, appendix A.
    FRA has a regulatory program in place, pursuant to its statutory 
authority, to address equipment, track, operating practices, and human 
factors in the existing, conventional railroad environment. However, 
significant operational and equipment differences exist between the 
system proposed for Texas and existing passenger operations in the 
United States. In many of the railroad safety disciplines, FRA's 
existing regulations do not address the safety concerns and operational 
peculiarities of the proposed TCRR system. Therefore, in order to allow 
TCRR to operate with effective safety oversight, an alternative 
regulatory approach is required.

III. Regulatory Approach

    Consistent with its statement in the most recent Passenger 
Equipment Safety Standards final rule, published November 21, 2018 (83 
FR 59182), FRA proposes to regulate the TCRR system as a standalone 
system under this enabling rule. FRA stated that a standalone system 
regulation would have to bring together all aspects of railroad safety 
(such as operating practices, signal and trainset control, and track) 
that must be applied to the individual system. See 83 FR 59182, 59186. 
Such an approach covers more than passenger equipment, and would likely 
necessitate particular right-of-way intrusion protection and other 
safety requirements not adequately addressed in FRA's regulations. FRA 
continues to believe that addressing proposals for standalone high-
speed rail systems on a case-by-case basis and comprehensively (such as 
through an RPA or other specific regulatory action(s)) is prudent 
because of the small number of potential operations, and the potential 
for significant and unique differences in their design. Entities 
considering such operations voluntarily assume the higher costs of 
building new infrastructure, knowing they cannot take advantage of the 
cost savings from sharing existing infrastructure.
    Alternatively, FRA could issue a comprehensive set of waivers from 
FRA's existing regulations, to the extent permitted by law, under 49 
U.S.C. 20103(b), in order to provide regulatory approval to the 
operation. However, in this case, electing to develop and publish a 
comprehensive regulation is a more efficient alternative. Such a 
regulation, in addition to providing regulatory approval, institutes a 
comprehensive regulatory framework, that provides TCRR clarity on the 
minimum Federal safety standards that it must comply with through 
technology-specific requirements, incorporating the service-proven 
aspects of the Tokaido Shinkansen system. Additionally, it provides the 
railroad a higher degree of regulatory certainty than would waivers, as 
waivers are revocable, subject to changing conditions, and necessitate 
renewal, generally every five years.

IV. Project Background and Regulatory Development

    TCRR plans to construct and operate a high-speed rail system 
running approximately 240 miles from Houston, TX, to Dallas, TX, with a 
stop in Grimes County east of College Station, TX. The system's 
trainset will travel on dedicated rail, with no public grade crossings, 
in exclusive passenger service, at speeds not to exceed 330 km/h (205 
mph). These operational characteristics, and the equipment that TCRR 
plans to use, mark a significant technological advancement in regional, 
high-speed, passenger rail service in the United States.
    The system TCRR proposes to build in Texas will replicate the 
service-proven Japanese Tokaido Shinkansen high-speed rail system, as 
operated by JRC. TCRR is modeling its system on the Tokaido Shinkansen 
system because of its reputation as being one of the safest and most 
punctual train systems in the world over its 50-year history. TCRR 
seeks to model its operation on JRC's operational and maintenance 
practices and philosophies, and utilize the high-speed technology that 
was developed and refined in Japan, known as the Shinkansen N700 series 
(Shinkansen or N700). The Shinkansen series of high-speed trainsets has 
been in service in Japan since 1964 and has safely carried over 6 
billion passengers with no passenger fatalities or injuries due to 
trainset accidents/incidents such as a derailment or collision in while 
in revenue train operations. The N700 series was first introduced by 
JRC in 2007.
    This is a traditional rail system, in the sense that steel wheels 
operate over steel rails, powered by electrical power that is carried 
and transferred to the equipment through an overhead catenary system. 
However, the Tokaido Shinkansen system is engineered to maximize the 
advantage of its dedicated environment, resulting in rolling stock that 
is much lighter than conventional rail vehicles; track conditions that 
are tuned specifically to low-mass, high-speed operations; and advanced 
aerodynamic technology that facilitates travel at very high speeds, 
with minimal track and equipment degradation.
    The lightweight design of the equipment permits exceptional 
performance and safety for high-speed travel, but also lends itself to 
inherent deficiencies if exposed to many of the risks presented by 
conventional lines, such as a train-to-train collision or a grade 
crossing accident, particularly where heavy freight or commercial 
vehicles are present. To counter this aspect of the design, the Tokaido 
Shinkansen system and N700 series of trainsets are operated with a 
focus on collision avoidance, utilizing a systems-approach to safety to 
mitigate or eliminate potential risks through the design of the entire 
system as a whole, rather than focusing on individual aspects of an 
operation (e.g., rolling stock crashworthiness). This approach to 
eliminating or mitigating risks and hazards through design has an 
inherent safety that has proven to be incredibly successful. (It is 
also important to note that the Texas system will be prohibited, as 
proposed in this NPRM, from allowing any freight traffic on its 
system.) The Shinkansen is equipped with an advanced trainset control 
system that is optimized for the high-speed operations. The Shinkansen 
system has an exceedingly safe record, which is discussed in greater 
detail below.

[[Page 14038]]

A. History of the Tokaido Shinkansen

    The term ``Shinkansen'' is used to denote the Japanese high-speed 
rail system, also known as the ``bullet train.'' The Japan National 
Railway system was privatized into six passenger railways in 1986. The 
name ``Tokaido Shinkansen'' is the initial high-speed trainset system 
introduced in 1964. It is now owned and operated by JRC.
    The Tokaido Shinkansen operates high-speed service between Tokyo 
and Shin-Osaka, a route that is 515 km long, at a maximum operating 
speed of 270 km/h (168 mph).\2\ With 17 passenger stations on the 
system, the operation includes 368 daily departures. Although TCRR is 
replicating the Tokaido Shinkansen system, FRA notes that some of the 
N700 trainsets also travel over the Sanyo Shinkansen system between 
Shin-Osaka and Hakata, a route that is 554 km in length, which is 
operated by the West Japan Railway Company. The maximum operating speed 
is 300 km/h on the Sanyo Shinkansen.
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    \2\ In order to accurately replicate the JRC operation of the 
Tokaido Shinkansen, and to minimize rounding and other errors 
associated with converting units of measurement, the text of this 
proposed rule uses the International System of Units (i.e., the 
metric system), rather than the standard units of measurement more 
commonly used in the U.S. rail environment, as these are the units 
of measurement used by JRC.
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    Each 16-car trainset on the Tokaido Shinkansen is equipped with 
1,323 seats. According to JRC, the annual ridership in 2017 was 170 
million passengers, or 466,000 passengers per day. In over 50 years of 
service, the Shinkansen has moved over 6 billion passengers and 
traveled over 632 million rolling stock miles. The minimum headway 
between high-speed trainsets is 3 minutes 15 seconds during peak travel 
times. The average annual delay of trainsets is less than 1 minute.

B. RPA Petition Development Process

    In March 2014, TCRR sought FRA's technical assistance in the 
development of a rulemaking petition. In order to assist TCRR with its 
effort, an RPA Working Group was established consisting of Core Team 
members from both TCRR and FRA. For discipline-specific discussions, 
the RPA Core Team was able to call upon the technical expertise of 
subject matter experts to discuss the technical justifications for 
departures from existing U.S. requirements or minor modifications to 
the JRC practices as adapted for the smaller system \3\ proposed in 
Texas. The RPA Working Group held 25 meetings from March 2014 to April 
2016,4 5 to discuss specific topics to be covered by the 
proposed RPA. The final work product of these meetings is the proposed 
rule text and supporting documentation included in the rulemaking 
docket.
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    \3\ TCRR's contemplated system will be smaller than JRC's 
Tokaido Shinkansen in almost every way, such as overall length of 
system, number of station stops, and anticipated frequency of daily 
trainset departures, to name a few aspects.
    \4\ Exhibit E to TCRR's rulemaking petition contains all the 
presentations that were discussed during the 25 meetings held 
between TCRR and FRA. All the meeting presentations are in the 
rulemaking docket, FRA-2019-0068.
    \5\ Additional meetings were held after the petition was 
submitted in April and August of 2019. Both were informational 
technical meetings. Copies of the presentations discussed at these 
meetings are included in the rulemaking docket, FRA-2019-0068.
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    On April 15, 2016, TCRR submitted to FRA its petition for an RPA to 
address the safe operation of a high-speed rail system in Texas, based 
on the Japanese Shinkansen technology. TCRR supplemented its petition 
in August 2016, and again in September 2017. See FRA Docket No. FRA-
2019-0068.
    TCRR's petition contained proposed regulatory text--along with 
supporting technical data--providing a regulatory framework that 
applies the holistic ``systems'' approach. Specifically, through its 
petition, TCRR has translated and adapted the technology specific 
aspects of the Tokaido Shinkansen system into a format that enables 
effective regulatory oversight by FRA. The Tokaido Shinkansen operation 
ensures safe operations through application of a systems approach to 
safety and accident avoidance philosophy. Safety can only be ensured 
through a holistic approach; attention to or focus on individual 
aspects of the operation alone may not be sufficient. TCRR used in its 
development of its rulemaking petition, a previous proposed RPA for the 
Florida Overland eXpress (62 FR 65478), to help identify the regulatory 
needs of the proposed high-speed system operations, which are not 
currently covered by a consistent set of regulatory requirements.
    FRA granted TCRR's rulemaking petition on August 30, 2019, stating 
that it would undertake this rulemaking process.

C. The Proposed System

    TCRR will replicate the Tokaido Shinkansen system and its essential 
technologies in Texas. The TCRR system will be based on accident 
avoidance principles to assure that collisions or other operational 
risks and hazards are eliminated or reduced to the highest degree 
possible, as is done in Japan. The system includes a dedicated, grade-
separated, and fully fenced right-of-way, equipped with intrusion 
detection capabilities to detect the intrusion of unauthorized vehicles 
into the right-of-way. It is designed to facilitate only high-speed 
rail trainsets of a specific type on the right-of-way during revenue 
operations, with a strict temporal separation of maintenance 
activities. The system will have no at-grade crossings with any other 
rail system or surface transportation modes, such as highway vehicles. 
This approach ensures that the complete system mitigates any potential 
risks and is consistent with the N700 series trainsets that have been 
chosen as the service-proven rolling stock platform for TCRR.
    This proposed rule requires the TCRR system to implement all the 
service-proven, safety-critical aspects of the Japanese Shinkansen 
system. It also provides for the FRA approval of the key system 
elements as implemented in Texas. The proposed rule text incorporates 
the structural characteristics of the N700 series trainset in a manner 
that can be regulated and enforced by FRA, and requires the system to 
be designed, operated, and maintained in a manner that effectively 
mitigates any hazard that could compromise the integrity of the 
trainset. Implementing the N700 series trainsets as they are currently 
designed (with minor modifications that do not impact the safety 
performance of the trainset, as further discussed below), along with 
the accident mitigation measures required by a systems approach and 
defined in the proposed rule text, will allow TCRR to replicate the 
service-proven system and operations of the Tokaido Shinkansen system.
    FRA makes clear that this rule proposes to codify standards and 
practices unique to JRC's operations that are inherent to the safe 
operation of this proposed service in Texas, which must be maintained 
and protected in order to ensure that the safety record of the Tokaido 
Shinkansen can be effectively transferred.
1. Rolling Stock
    The basis of the TCRR operation is the adoption of the Tokaido 
Shinkansen system with the N700 series trainset, and its variants, as 
the rolling stock, adapted for service in Texas. JRC's N700 series 
trainsets, have been in service since 2007 on the Tokaido Shinkansen 
line and operate up to speeds of 300 km/h on the adjacent Sanyo 
Shinkansen line. The N700 trainset is an electric multiple unit (EMU) 
trainset design based upon an accident avoidance

[[Page 14039]]

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

[[Page 14040]]

must be capable of stopping the trainset from its maximum operating 
speed within the signal spacing on the track under the realistic worst-
case adhesion conditions expected. As proposed, tests on trainsets to 
verify the brake system performs as expected will be conducted during 
the pre-revenue service qualification testing proposed under subpart F. 
Additionally, operational restrictions based on degraded braking system 
performance are to be addressed by the railroad under the proposed 
requirements for movement of defective equipment.
    The N700 series trainset braking system utilizes an ``urgent'' 
brake as defined in the proposed Sec.  299.5. An urgent brake is 
equivalent to the emergency brake in the U.S. in that it produces an 
irretrievable stop, with maximum braking effort. The N700 series 
trainset has an urgent brake switch for use by the trainset crew from 
the controlling cab and the conductor's room(s). The use of the urgent 
brake by the conductor is usually within stations to assure passenger 
safety when boarding and alighting from the trainset. The proposed rule 
requires that an urgent brake application be available at any time, and 
shall be initiated by an unintentional parting of the trainset or 
action by the trainset crew. Further, the station platform will be 
equipped with trainset protection switches on the station platform so 
that both station personnel and conductors can activate the urgent 
brake on the trainset in the event that they observe an unsafe 
condition during boarding/alighting of trainsets.
    The proposed rule requires a means to initiate a passenger brake 
alarm at two locations in each unit of a trainset, consistent with the 
requirements developed for Tier III trainsets. The proposed rule does 
not incorporate the exception provision for length of individual cars 
as it is applicable to shorter designs than the N700 series trainset.
    Additionally, the N700 series trainset braking system utilizes an 
``emergency'' brake as defined in the proposed Sec.  299.5. The 
emergency brake on the N700 series trainset is equivalent to the North 
American full-service brake.
    Requirements for the main reservoir system are based on the 
requirements included in the November 2018 Tier III final rule, but 
modified to accommodate the specific design standards used for the N700 
series trainset. The proposed rule requires the brake system main 
reservoirs in a trainset to be designed and tested to meet the pressure 
vessel standards in Japanese Industrial Standard JIS B 8265, 
``Construction of pressure vessels-general principles.'' This is the 
same pressure vessel standard the N700 series trainsets comply with to 
operate in Japan. The JIS standard adequately ensures that the pressure 
vessel (the main reservoir) is suitable for the service conditions 
under which the brake system main reservoirs will operate, ensuring 
that the system replicates the service-proven brake system used 
currently on the N700, operated on the Tokaido Shinkansen. Requiring 
adherence to conventional U.S. standards would not be prudent, as this 
would jeopardize the service-proven aspect of the design.
Fire Safety
    The proposed rule will require interior furnishings to be compliant 
with current FRA flammability and smoke emission requirements under 
appendix B to part 238 (see, generally, the discussion of FRA's 
flammability and smoke emission requirements at 64 FR 25660, 67 FR 
42909, and 83 FR 59182). Many of the elements affected by fire safety 
standards are driven by business decisions made by the project (e.g., 
carpeting, seating fabric, etc.) and are not inherent to the safe 
performance of the trainset as it related to its structure or stability 
at speed. Therefore, it was determined by the project that it would be 
appropriate to simply adopt and comply with the current U.S. standards 
in lieu of justifying new ones.
Door Systems
    The proposed requirements for the trainset door systems, 
particularly as it relates to emergency functionality, largely follow 
FRA's existing requirements and established North American practice. 
The relevant requirements for operating; inspection, testing, and 
maintenance (ITM); and training on door systems have been consolidated 
under their respective subparts as proposed within this rule. The 
proposed modifications focus mainly on how the requirements apply to 
the Tokaido Shinkansen technology and the applicability of certain 
elements of APTA SS-M-18-10. The proposal would retain the service-
proven door system on the N700 series trainset, and, though FRA is not 
proposing to require it, TCRR is expected to adopt the coordination 
between the trainset crew members and platform attendants, replicating 
operations by JRC, rather than incorporating certain requirements that 
were promulgated in December 2015 for conventional U.S. operations (see 
80 FR 76118), which, if applied, would require alteration that could 
have a significant negative impact on the service-proven door design of 
the N700 series trainset.
Emergency Systems
    The proposed rule defines typical North American requirements for 
emergency lighting, emergency communications, emergency egress and 
rescue access, and emergency marking requirements. A number of these 
provisions will require minor changes to the current N700 series 
trainset design, such as the emergency lighting system, public address 
system, and interior signage and markings. However, compliance with 
these proposed emergency systems requirements would not have a negative 
impact on the service-proven design of the N700 series trainset as they 
have no impact on the performance of the trainset or its integration 
with other safety-critical systems. These changes will also provide 
first-responders and the traveling public with a set of safety 
communications and features that are consistent with other U.S. rail 
operations.
Safety Appliances
    Current FRA regulations for safety appliances are based on 
longstanding statutory requirements for individual railroad cars used 
in general service. These requirements are primarily intended to keep 
railroad employees safe while performing their essential job functions. 
Historically, these duties have revolved around the practice of 
building trains by switching individual cars or groups of cars, and are 
not directly applicable to how modern high-speed passenger equipment 
are designed and operated. The application of such appliances would 
require a significant redesign of high-speed rail equipment, and would 
create aerodynamic problems particularly with respect to associated 
noise emissions. FRA proposes to exempt TCRR from statutory 
requirements that are not applicable or practical for inclusion on its 
high-speed trainset technology, pursuant to the authority granted under 
49 U.S.C. 20306.\6\
---------------------------------------------------------------------------

    \6\ Utilization of this statutory authority necessitates a 
public hearing. As stated above, under DATES, the time and place of 
this public hearing will be announced by a separate announcement 
published in the Federal Register.
---------------------------------------------------------------------------

    Rather than apply legacy requirements that are inappropriate for 
the proposed equipment design and service environment, this proposed 
rule focuses on how to provide a safe environment for crews as it 
pertains to the N700 series trainset, and modern high-speed operations 
throughout the world. In this respect, the proposed rule

[[Page 14041]]

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

[[Page 14042]]

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

                                                              Track Classes--Maximum Speed
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                H0                      H1                      H2                      H3               H4       H5       H6       H7
--------------------------------------------------------------------------------------------------------------------------------------------------------
km/h................  20                      30                      70                      120                        170      230      285      330
mph.................  12                      19                      43                      75                         106      143      177      205
rrrrrrrrrrrrrrrrrrrrr
                                                                       Track type
--------------------------------------------------------------------------------------------------------------------------------------------------------
                      Maintenance-of-way      Trainset Maintenance    Terminals, stations,    Main line track, and             Main line track.
                       yards.                  Facilities (TMF).       sidings, TMF            track connecting the
                                                                       marshaling tracks.      main line with TMF.
--------------------------------------------------------------------------------------------------------------------------------------------------------

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

[[Page 14043]]

As mentioned throughout this NPRM, TCRR will implement a track 
maintenance program based on these successful and well respected JRC 
practices.
    JRC uses a dedicated, multi-purpose, vehicle-based, inspection 
system to inspect track geometry. Track geometry measurements and car 
body accelerations are made during revenue operations at revenue 
operating speeds. This proposal reflects U.S. and JRC practice with 
respect to track geometry measurements. FRA proposes to require a track 
geometry measurement system (TGMS) and a track acceleration measurement 
system (TAMS) to be operated over the system route on track Classes H3 
and above.
    Regarding restoration or renewal of track under operating 
conditions, this proposed rule will prohibit the railroad from 
performing maintenance-of-way operations during revenue service, other 
than in MOW yards and trainset maintenance facilities, as further 
discussed below. Restoration or renewal of track by TCRR on track Class 
H2 in trainset maintenance facilities, will be limited to the 
replacement of worn, broken, or missing components or fastenings that 
do not affect the safe passage of trainsets. This will reflect the JRC 
practice and is more restrictive than existing FRA track safety 
standards as it permits such restoration and renewal under traffic 
conditions only in yards and trainset maintenance facilities and not 
the mainline.
Vehicle/Track Interaction
    The approach to vehicle/track interaction (VTI) system safety in 
this rule proposes to follow JRC's approach that is service-proven to 
provide safe operation and optimum VTI performance. JRC places 
considerable emphasis on maintaining track infrastructure, as the 
Tokaido Shinkansen N700 series trainset suspension design is optimized 
for high-speed performance on well-maintained track. Track geometry 
irregularities are held to tighter tolerances than those allowed under 
U.S. practice.
    The VTI requirements FRA proposes are similar to those contained in 
current FRA regulations under 49 CFR part 213, and will require the 
trainsets to comply with the same wheel/rail force limits. However, as 
noted earlier, JCR requires more stringent peak-to-peak car body 
acceleration limits than currently permitted under FRA regulations. 
Accordingly, FRA proposes that instrumented wheelset tests be required 
for vehicle/track system qualification.
    Unique to the Tokaido Shinkansen system, and as mentioned earlier, 
JRC sets track geometry limits based on a 10 m MCO and controls long 
wavelength perturbations using stringent vertical and lateral car body 
accelerations, rather than the 3-chord (31, 62, and 124 ft) method used 
in current FRA regulations. Vehicle dynamic simulations have been 
conducted and validated by JRC specialists to demonstrate the 10m MCO 
and car body accelerations, as used by JRC, are sufficient to safely 
control short, long wavelength, and repeated perturbations; and to 
validate the proposed track geometry limits contained in the proposed 
rule.\7\
---------------------------------------------------------------------------

    \7\ Exhibit F to TCRR's rulemaking petition explains how JRC 
helped develop and validated the track geometry limits proposed in 
this NPRM, and provides some explanation of the vehicle dynamic 
simulations conducted. Although the Tokaido Shinkansen operates at a 
maximum speed of 270 km/h, the vehicle dynamic tests used to 
validate the track geometry limits proposed in this NPRM were 
conducted at simulated speeds up to 340 km/h (330 km/h + 10 km/h). 
FRA notes, though, that the maximum safe operating speed for the 
system will be determined only after TCRR conducts full scale 
analysis and validated dynamic testing, as proposed under subpart F.
---------------------------------------------------------------------------

Continuous Welded Rail
    TCRR is proposing to use continuously welded rail (CWR) and 
moveable point frogs to eliminate gaps at turnouts and crossings. 
Consistent with current FRA practice for CWR, FRA proposes to require 
the railroad develop and comply with its own CWR plan, which will have 
procedures addressing the installation, adjustment, maintenance, and 
inspection of CWR and CWR joints. However, as the FRA CWR requirements 
under 49 CFR part 213 are inconsistent with JRC technology and 
practices, FRA proposes a set of CWR requirements that reflects JRC's 
service-proven practice. Under this rule as proposed, TCRR will be 
required submit a CWR plan that includes procedures for maintaining a 
desired rail installation temperature range when cutting CWR, and with 
adjustments made to tight track or a track buckle.
    In addition to the proposed requirements discussed above, FRA is 
also proposing to require TCRR's CWR plan to contain procedures that 
control trainset speed on CWR track when the difference between the 
rail temperature and the rail neutral temperature is in a range that 
causes buckling-prone conditions to be present at a specific location. 
This proposed requirement is consistent with JRC practice, which uses 
``instantaneous'' temperature, a more stringent requirement, instead of 
``average'' temperature. When the temperature exceeds a specified 
limit, operational restrictions are enforced over the entire segment. 
JRC uses the same temperature limits on all segments.
    FRA is also proposing that the railroad's CWR plan include 
procedures that address track inspections under extreme temperature 
conditions, consistent with JRC practice. As stated previously, there 
is continuous monitoring of rail temperature on the Tokaido Shinkansen 
system and a speed restriction of 70 km/h is enforced when CWR 
temperature is between 60 [deg]C and 64 [deg]C. JRC suspends revenue 
operations and conducts visual inspections on foot when the CWR 
temperatures reach 64 [deg]C or above.
4. Maintenance-of-Way Operations
    Strict adherence to complete temporal separation of the scheduled 
right-of-way maintenance work will be required by the proposed rule. 
This rule proposes to adopt JRC's long-established maintenance-of-way 
operational practices to ensure roadway worker safety. To accomplish 
this, the rule proposes requirements for strict adherence to temporal 
separation of maintenance-of-way operations and revenue trainsets, as 
well as removal of overhead power from the section(s) of ROW where 
maintenance-of-way work is being performed. Additionally, this rule 
proposes prohibiting the railroad from conducting any scheduled 
maintenance on a section of the right-of-way prior to that section of 
the right-of-way being cleared after revenue service. Further, the 
railroad will also be prohibited from conducting revenue service on a 
section of the right-of-way before completion of the maintenance 
activities and clearance by a sweeper vehicle. As proposed by this 
rule, the ATC system must also enforce the temporal separation or 
otherwise protect maintenance-of-way employees performing on-track 
duties (to include unscheduled and emergency inspections or repairs).
    TCRR will use maintenance-of-way equipment that is designed to be 
compatible with the track safety standards under proposed subpart C. 
Subject to certain exceptions, as proposed under Sec.  299.3(c)(24), 
the railroad's maintenance-of-way equipment will be subject to FRA's 
existing regulations that address the safety of conventional locomotive 
and freight equipment (i.e., 49 CFR parts 215, 223, 229, 231, and 232). 
Although there is a general prohibition that freight equipment cannot 
operate on the railroad's right-of-way, the freight equipment being 
considered here is

[[Page 14044]]

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

[[Page 14045]]

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

[[Page 14046]]

CFR part 243 is proposed as applicable to the railroad under Sec.  
299.3(c), there is no need for a separate subpart to so state. 
Additionally, since the additional training requirements were specific 
to track inspectors, FRA has moved those provisions under proposed 
subpart C, which addresses track safety, thus fully obviating the need 
for the subpart.

D. Applicability of FRA's Current Regulations

    The proposed rule holds the railroad ultimately responsible for 
compliance with all aspects of the proposal, along with certain 
existing FRA regulations. In its petition, TCRR proposed to comply with 
the pertinent existing FRA regulations contained generally in 49 CFR 
parts 200-299, as listed in Sec.  299.3(c), that are speed and 
technology neutral. After further review of those rules, there are 
certain additional provisions that are not appropriate for this system. 
Those individual sections are specifically excluded under Sec.  
299.3(c).
    FRA also notes that there are many sectional cross-references 
within applicable FRA regulations to other FRA regulations that are not 
applicable to this project, such as 49 CFR parts 213, 217, subpart I of 
236, and 238. Without specifically addressing each instance, FRA makes 
clear that where such a cross-reference exists in the applicable 
regulations enumerated under Sec.  299.3(c)(1) through (23), the 
railroad will instead comply with the equivalent requirements proposed 
in this NPRM. For example, where there is a cross-reference to a 
section under 49 CFR part 213, which deals with track safety standards, 
or 49 CFR part 217, which deals with railroad operating rules and 
practices, the railroad would instead refer to, and comply with, 
subpart C for the applicable track safety requirements, or subpart E 
for the applicable requirements addressing operating rules and 
practices.

E. Incorporation by Reference

    FRA proposes to incorporate by reference six Japanese Industrial 
Standards (JIS) and three ASTM International (ASTM) standards. As 
required by 1 CFR 51.5, FRA has summarized the standards it proposes to 
incorporate by reference and has shown the reasonable availability of 
those standards here. The Japanese Industrial Standards are reasonably 
available to all interested parties online at www.jsa.or.jp (Japanese 
site), or www.jsa.or.jp/en (English site). Additionally, the ASTM 
standards are reasonably available to all interested parties online at 
www.astm.org. Further, FRA will maintain a copy of these standards 
available for review at the Federal Railroad Administration, Docket 
Clerk, 1200 New Jersey Avenue SE, Washington, DC 20590.
    Under Sec.  299.13(d)(4) and (5), FRA proposes to incorporate by 
reference three versions of JIS E 1101, ``Flat bottom railway rails and 
special rails for switches and crossings of non-treated steel.'' JIS E 
1101:2001 addresses the manufacturing of the steel rail. It specifies 
the quality and the tests for flat bottom railway rails of non-treated 
steel with a calculated mass of 30 kg/m or more and special rails for 
those railway switches and crossings. JIS E 1101:2006 and JIS E 
1101:2012 amend JIS E 1101:2001 by updating references to other cited 
standards (e.g., updating the title to the cited reference), updating 
references to specific clauses within a cited standard, or by deleting 
a reference to a cited standard. By incorporating these standards by 
reference, FRA will make certain that the rail side of the wheel-rail 
interface remains identical to that used on the service proven high-
speed lines of JRC, by ensuring that the rail is manufactured to the 
same specifications as the rail used on the Tokaido Shinkansen system.
    Under Sec.  299.403(b), FRA proposes to incorporate by reference 
two versions of JIS E 7105 ``Rolling Stock--Test methods of static load 
for body structures.'' JIS E 7105:2006 addresses test methods for 
trainset carbodies. It specifies the test methods of static load for 
confirming strength, rigidity and the like of body structures for 
passenger stock such as electric railcars, internal-combustion railcars 
and passenger cars principally. JIS E 7105:2011 amends JIS E 7105:20006 
by updating references to other cited standards (e.g., updating the 
title to the cited reference), updating references to specific clauses 
within a cited standard, or by updating specifications from the 2006 
version. By incorporating these standards by reference, FRA will 
maintain the same strength and rigidity of TCRR's trainset carbody 
structure. This will help preserve the occupied volume from premature 
degradation due to typical in-service loads and vibration.
    Under Sec.  299.409(g), FRA proposes to incorporate by reference 
JIS B 8265 ``Construction of pressure vessels-general principles,'' 
published December 27, 2010. JIS B 8265 addresses manufacturing of 
pressure vessels and specifies certain requirements for the 
construction and fixtures of pressure vessels with the design pressure 
of less than 30 MPa. By incorporating this standard by reference, FRA 
will ensure that the pressurized air reservoirs used in TCRR's trainset 
are designed and constructed to the same service-proven standard as 
used in the N700 trainsets currently operated on the Tokaido Shinkansen 
system.
    Under Sec.  299.423(e)(1), FRA proposes to incorporate by reference 
ASTM D 4956-07 [epsiv]1 ``Standard Specification for 
Retroreflective Sheeting for Traffic Control,'' approved March 15, 
2007. ASTM D 4956-07 [epsiv]1 covers flexible, non-exposed 
glass bead lens and microprismatic, retroreflective sheeting designed 
for use on traffic control signs, delineators, barricades, and other 
devices.
    Under Sec.  299.423(e)(1) and (f)(3), FRA proposes to incorporate 
by reference ASTM E 810-03 ``Standard Test Method for Coefficient of 
Retroreflection of Retroreflective Sheeting Utilizing the Coplanar 
Geometry,'' approved February 10, 2003. Test method ASTM E 810-03 
describes an instrument measurement of the retroreflective performance 
of retroreflective sheeting.
    Under Sec.  299.423(e)(2), FRA proposes to incorporate by reference 
ASTM E 2073-07 ``Standard Test Method for Photopic Luminance of 
Photoluminescent (Phosphorescent) Markings,'' approved July 1, 2007. 
FRA is also proposing to incorporate by reference Section 5.2 of ASTM E 
2073-07 under Sec.  299.423(e)(2)(ii). Test method ASTM E 2073-07 
covers a procedure for determining the photopic luminance of 
photoluminescent (phosphorescent) markings. It does not cover scotopic 
or mesopic measurements.
    Incorporation of the three ASTM standards by reference is to ensure 
that the materials used for interior and exterior emergency markings 
can provide adequate photoluminescence or retroreflectivity. As the 
markings utilizing these materials will be relied on during emergencies 
(either for passenger to egress or first responders to gain access), it 
is important that the marking can be easily identified and followed 
should the emergency occur during hours of limited visibility with 
possible degradation or complete loss of interior lighting. The 
standards either provide performance specifications for design and 
manufacture, or provide the testing methods.

F. Enforcement

    FRA may impose civil penalties on any person, including the 
railroad or an independent contractor providing goods or services to 
the railroad, that violates any requirement of this rule. These penalty 
provisions parallel the civil penalty provisions for numerous other

[[Page 14047]]

railroad safety regulations, and are authorized by 49 U.S.C. 21301, 
21302, 21303, and 21304. Any person who violates a requirement of this 
rule may be subject to civil penalties between the minimum and maximum 
amounts authorized by statute and adjusted for inflation per 
violation.\8\ Individuals may be subject to penalties for willful 
violations only. Where a pattern of repeated violations, or a grossly 
negligent violation creates an imminent hazard of death or injury, or 
causes death or injury, an aggravated maximum penalty may be 
assessed.\9\ In addition, each day a violation continues constitutes a 
separate offense. Finally, a person may be subject to criminal 
penalties under 49 U.S.C. 21311 for knowingly and willfully falsifying 
reports required by these regulations. FRA believes that inclusion of 
the penalty provisions is important in ensuring that compliance is 
achieved. See 49 CFR part 209, appendix A for a detailed statement of 
the Agency's enforcement policy.
---------------------------------------------------------------------------

    \8\ DOT publishes notices in the Federal Register announcing 
when it adjusts the minimum and maximum civil penalties. When 
adjustments are made, FRA publishes such adjustments on its website. 
Please visit FRA's website for the current minimum and maximum civil 
penalty amounts at https://railroads.dot.gov/.
    \9\ Please visit FRA's website for the current aggravated 
maximum penalty amount at https://railroads.dot.gov/.
---------------------------------------------------------------------------

    Consistent with FRA's final rule regarding the removal of civil 
penalty schedules from the CFR, please see 84 FR 23730 (May 23, 2019), 
FRA will not publish a civil penalty schedule for this rule in the CFR, 
but plans to publish a civil penalty schedule on its website. Because 
such penalty schedules are statements of agency policy, notice and 
comment are not required prior to their issuance, nor are they required 
to be published in the CFR. See 5 U.S.C. 553(b)(3)(A). Nevertheless, 
commenters are invited to submit suggestions to FRA describing the 
types of actions or omissions under each regulatory section that would 
subject a person to the assessment of a civil penalty. Commenters are 
also invited to recommend what penalty amounts may be appropriate, 
based upon the relative seriousness of each type of violation.

V. Regulatory Impact and Notices

A. Executive Orders 12866, 13771, and DOT Regulatory Policies and 
Procedures

    The TCRR high-speed system is modeled on the Tokaido Shinkansen 
high-speed system, which does not meet many of the current requirements 
under the Passenger Equipment Safety Standards final rule, published 
November 21, 2018 (83 FR 59182). TCRR desires to maintain the safety 
record of the Tokaido Shinkansen high-speed system, so it is imperative 
that the system approach to safety and philosophy of the JRC system be 
implemented as it is in Japan. As such, TCRR is requesting, through the 
proposed RPA, that they comply with regulations that are more stringent 
than the current Tier III standards.
    FRA has a regulatory program that addresses equipment, track, 
operating practices, and human factors in the existing, conventional 
railroad environment. However, significant operational and equipment 
differences exist between the system proposed by TCR and existing 
passenger operations in the United States. In many of the railroad 
safety disciplines, FRA's existing regulations do not address the 
operational characteristics of the proposed TCRR system. Therefore, to 
ensure that this new system will operate safely, minimum Federal safety 
standards must be in place when TCRR commences operations.
    FRA is proposing to regulate the TCRR system as a standalone 
system. FRA stated in the Tier III final rule that a standalone system 
would have to combine all aspects of railroad safety (such as operating 
practices, signal and train control, and track) that must be applied to 
the individual system. Such an approach covers more than passenger 
equipment and would likely necessitate particular right-of-way 
intrusion protection and other safety requirements not adequately 
addressed in FRA's regulations. FRA continues to believe that 
addressing proposals for standalone high-speed rail systems on a case-
by-case basis and comprehensively (such as through an RPA or other 
specific regulatory action(s)), is prudent because of the small number 
of potential operations and the possibility of significant differences 
in their designs.
    Without the proposed RPA, TCRR would not be allowed to implement 
their proposed system as it does not meet the requirements outlined 
under the Tier III rule. The proposed regulation, as a rule of 
particular applicability, was not subject to review under Executive 
Order (E.O.) 12866.
    FRA concluded that because the NPRM generally includes only 
voluntary actions or alternative action that would be voluntary, the 
NPRM does not impart additional burdens on regulated entities. This 
proposed rule is expected to be an E.O. 13771 deregulatory action. 
Details on the estimate cost savings of this proposed rule can be found 
below.
1. Costs
    Since TCRR, in its rulemaking petition, requests regulatory 
requirements that may exceed those currently imposed upon other 
railroads, there are no assumed new costs associated with the NPRM, as 
any additional burdens placed onto TCRR are voluntarily assumed. TCRR 
is assuming this burden to ensure that the Tokaido Shinkansen system 
can be fully implemented, as it is currently used by JRC. Both TCRR and 
FRA believe that a complete system approach to safety is needed to 
maintain the over 50-year exemplary safety record that the Tokaido 
Shinkansen system has experienced in Japan. As such, TCRR is willing to 
assume the additional burden by voluntarily requesting regulatory 
requirements that exceed what is currently imposed on other railroads.
2. Benefits
    TCRR will replicate the Tokaido Shinkansen system, adapting the 
system and its essential technologies to the geographic and 
environmental conditions in Texas. The TCRR system is based on accident 
avoidance principles to assure collisions and other operational risks 
and hazards are eliminated or reduced to the highest possible degree. 
The system includes a dedicated, grade-separated, and fully fenced 
right-of-way with intrusion detection capabilities. It will be designed 
only for high-speed trainsets of a specific type on the right-of-way 
during revenue operations, and implements a strict temporal separation 
of maintenance activities (i.e., maintenance will be done at night when 
there are no passenger train operations).
    The safety features of the TCRR system will be unique in this 
country and do not exist in combination on any other existing North 
American railroad. The proposed rule will require the TCRR system to 
implement all service-proven, safety-critical aspects of JRC's Tokaido 
Shinkansen system. Additionally, the proposed rule incorporates the 
structural characteristics of JRC's N700 series trainset in a manner 
that can be regulated and enforced by FRA. The NPRM also requires the 
system to be designed, operated, and maintained in a manner that 
effectively mitigates any hazard that could compromise the integrity of 
the trainset. Implementing the Tokaido Shinkansen N700 series trainsets 
as they are currently designed, along with the accident mitigation 
measures required by a systems approach, and defined in the proposed 
rule, will allow TCRR to replicate the

[[Page 14048]]

service-proven system and operations of the Tokaido Shinkansen system.
    The replication of the Tokaido Shinkansen high-speed system by TCRR 
will allow TCRR to achieve a degree of safety that is at least as great 
or greater than would be achieved while complying with existing FRA 
safety standards and regulations.
    This proposed rule would facilitate the creation of a new high-
speed passenger railroad operating between Dallas and Houston, Texas, 
utilizing the existing Tokaido Shinkansen technology that is currently 
in service in Japan. Without the proposed rulemaking, TCRR would incur 
potentially significant costs (and potentially lower system 
performance) to comply with existing FRA regulations, or would need to 
seek waivers of those regulations that would not provide long term 
regulatory certainty. In either event, such costs and uncertainty could 
potentially leave the project financially infeasible. If that were the 
case, potential users of the new high-speed rail service between Dallas 
and Houston would lose the consumer surplus gains that they would 
otherwise enjoy, and any external societal benefits associated with 
modal shift for passenger travel between the two cities would be lost 
as well.\10\
---------------------------------------------------------------------------

    \10\ Note that FRA has not made any determination regarding the 
potential financial viability of the TCRR proposal, even under the 
terms of this NPRM.
---------------------------------------------------------------------------

    As the Tokaido Shinkansen high-speed system is a service-proven 
system, FRA believes that the proposed rulemaking is the best course of 
action to ensure that the public is provided with the highest level of 
safety, while still providing regulatory clarity to TCRR.
3. Alternatives
    FRA provides two alternatives to the proposed RPA: The ``No 
Action'' alternative where, without the proposed rule, TCRR could 
decide to not pursue the Tokaido Shinkansen high-speed system and 
instead pursue a system that could be built using the current Tier III 
standards, or where TCRR could elect to comply with FRA's existing 
regulations where the TCRR equipment and procedures may conflict, 
necessitating a comprehensive set of waivers from existing FRA 
standards.
``No Build'' Alternative
    Under one of the potential baseline alternatives, the ``No Build'' 
alternative, without the proposed RPA TCRR could decide not to pursue 
the construction of its Tokaido Shinkansen high-speed system and 
instead could pursue to build a high-speed system that complies with 
the current Tier III standards.
    JRC would most likely not allow TCRR to use the Tokaido Shinkansen 
high-speed system if it was modified it to adhere to the current Tier 
III standards. In this event, TCRR would need to design and develop a 
brand new high-speed system. In addition to the high costs of designing 
and developing a new high-speed system, there would be high levels of 
uncertainty associated with the overall safety performance of the 
system, especially when compared to the Tokaido Shinkansen high-speed 
system. Any new system that TCRR creates would lack the proven safety 
record of the Tokaido Shinkansen high-speed system. FRA believes it is 
unlikely that TRR would build this system under this alternative.
Waivers of Compliance
    As an alternative to redesigning the Tokaido Shinkansen system to 
comply with FRA's existing regulations, TCRR could apply for waivers of 
compliance. The continual renewal of waivers would impose a large 
paperwork burden on TCRR as it would need a waiver for a large portion 
of its operations, since the proposed system differs greatly from the 
Tier III standards.\11\ Furthermore, waivers are revocable, and provide 
approval that can be subject to change and conditions.\12\
---------------------------------------------------------------------------

    \11\ On average, waivers would need to be renewed every 5 years; 
however, given the complexity of the TCRR system it is unknown if 
those waivers would need to be renewed more often.
    \12\ Waivers are designed to provide relief from a specific 
regulatory provision and not to provide regulatory oversight for an 
entire railroad system.
---------------------------------------------------------------------------

    This uncertainty of the longevity of waiver approval could hinder 
the financing and implementation of the TCRR system. In addition to 
investor uncertainty, if waivers are revoked in the future, there is 
the potential that the TCRR system would need to stop revenue service, 
which could have a large impact on passengers who desire to use the 
high-speed rail system.
    FRA also believes that not regulating the system holistically could 
impose burdens on the Tokaido Shinkansen system and operations that 
could be detrimental to the overall safety of the system. The Tokaido 
Shinkansen system has a proven safety record with over 50 years of 
service without a single passenger-related injury or fatality. Both 
TCRR and FRA believe that the integration of the whole Tokaido 
Shinkansen system is needed to ensure the historical safety record is 
maintained on TCRR. For example, if TCRR allowed MOW workers to perform 
maintenance during revenue service, there is a potential that the MOW 
workers could be injured or killed. By not allowing the MOW workers to 
perform maintenance during revenue service, JRC removed the risk 
potential entirely. Any deviation from the Tokaido Shinkansen system, 
as it is implemented in Japan, could result in a decrease in the 
overall safety of the system.

B. Regulatory Flexibility Act and Executive Order 13272

    The Regulatory Flexibility Act of 1980 (5 U.S.C. 601 et seq.) and 
Executive Order 13272 (67 FR 53461, Aug. 16, 2002) require agency 
review of proposed and final rules to assess their impacts on small 
entities. An agency must prepare an Initial Regulatory Flexibility 
Analysis (IRFA) unless it determines and certifies that a rule, if 
promulgated, would not have a significant economic impact on a 
substantial number of small entities. As discussed below, FRA does not 
believe this proposed rule would have a significant economic impact on 
a substantial number of small entities. However, FRA is requesting 
comments on whether the proposed rule would impact small entities. 
Therefore, FRA is publishing this IRFA to aid the public in commenting 
on the potential small business impacts of the requirements in this 
NPRM. FRA invites all interested parties to submit data and information 
regarding the potential economic impact on small entities that would 
result from the adoption of the proposals in this NPRM. FRA will 
consider all information, including comments received in the public 
comment process, to determine whether the rule will have a significant 
economic impact on small entities.
1. Reasons FRA Is Considering the Proposed Rule
    The proposed rule takes a systems-approach to safety, and so 
includes standards that address all aspects of the TCRR high-speed 
system, including signal and trainset control, track safety, rolling 
stock, operating rules and practices, system qualification tests, and 
personnel qualifications. In addition, the proposed rule would make 
applicable certain FRA regulations that apply to all railroads, which 
are appropriate for application to TCRR, such as alcohol and drug 
standards, hours of service requirements, and locomotive engineer and 
conductor certification. Consistent with its statement in the most 
recent Passenger Equipment Safety Standards final rule, published 
November 21, 2018 (83 FR 59182), FRA proposes to regulate the TCRR 
system as a standalone system.

[[Page 14049]]

2. Objectives and the Legal Basis for the Proposed Rule
    The Federal railroad statutes apply to all railroads, as defined in 
49 U.S.C. 20102, including the TCRR system proposed to be built in 
Texas.
3. Description and Estimate of the Number of Small Entities Affected
    The Regulatory Flexibility Act of 1980 (5 U.S.C. 601 et seq.) 
requires a review of proposed and final rules to assess their impact on 
small entities, unless the Secretary certifies that the rule would not 
have a significant economic impact on a substantial number of small 
entities. ``Small entity'' is defined in 5 U.S.C. 601 as a small 
business concern that is independently owned and operated, and is not 
dominant in its field of operation. The U.S. Small Business 
Administration (SBA) has authority to regulate issues related to small 
businesses, and stipulates in its size standards that a ``small 
entity'' in the railroad industry is a for profit ``line-haul 
railroad'' that has fewer than 1,500 employees, a ``short line 
railroad'' with fewer than 500 employees, or a ``commuter rail system'' 
with annual receipts of less than seven million dollars. See ``Size 
Eligibility Provisions and Standards,'' 13 CFR part 121, subpart A. 
Additionally, section 601(5) of the Small Business Act defines ``small 
entities'' as governments of cities, counties, towns, townships, 
villages, school districts, or special districts with populations less 
than 50,000 that operate railroads.
    Federal agencies may adopt their own size standards for small 
entities in consultation with SBA and in conjunction with public 
comment. Thus, in consultation with SBA, FRA has published a final 
statement of agency policy that formally establishes ``small entities'' 
or ``small businesses'' as railroads, contractors and shippers that 
meet the revenue requirements of a Class III railroad \13\--$20 million 
or less in inflation-adjusted annual revenue--and commuter railroads or 
small government jurisdictions that serve populations of 50,000 or 
less.\14\
---------------------------------------------------------------------------

    \13\ See 49 CFR 1201.1
    \14\ See 68 FR 24891 (May 9, 2003) (codified at appendix C to 49 
CFR part 209).
---------------------------------------------------------------------------

    The ``universe'' of entities this NPRM would affect includes only 
those small entities that can reasonably be expected to be directly 
affected by the provisions of this rule. In this case, the ``universe'' 
consists of a single railroad, TCRR. For the purposes of this analysis, 
TCRR is not considered a small entity, as it is considered to be a 
passenger railroad, and therefore doesn't meet any of the above 
definitions of a ``small entity'' or a ``small business.''
    FRA requests comments about the impact that the proposed regulation 
would have on TCRR.
4. Description and Estimate of Compliance Requirements Including 
Differences in Cost, if Any, for Different Groups of Small Entities
    As TCRR is not considered a small entity and, furthermore, is the 
only entity being regulated through the proposed regulation, there are 
no compliance requirements that would impact any small entities.
5. Identification of Relevant Federal Rules That May Duplicate, 
Overlap, or Conflict With the Proposed Rule
    The proposed rule takes a systems-approach, and so includes 
standards that address all aspects of the TCRR high-speed system signal 
and trainset control, track safety, rolling stock, operating rules and 
practices, system qualification tests, and personnel qualifications. In 
addition, the proposed rule would make applicable certain existing FRA 
regulations that apply to all railroads, which are appropriate for 
application to TCRR, such as alcohol and drug standards, hours of 
service requirements, and locomotive engineer and conductor 
certification. No new regulations are being created with the proposed 
rule but rather, the thresholds of specific general rules of 
applicability that apply to all railroads are being modified to 
accommodate the unique Tokaido Shinkansen high-speed rail system.
    As no new regulations are being created with the proposed rule, FRA 
doesn't believe there is any overlap or conflict with any rules and 
regulations. FRA requests comments regarding any overlap or conflict 
with other rules and regulations that might result from the proposed 
rule.
6. Significant Regulatory Alternatives
    FRA has a regulatory program in place, pursuant to its statutory 
authority, to address equipment, track, operating practices, and human 
factors in the existing, conventional railroad environment. However, 
significant operational and equipment differences exist between the 
system proposed for Texas and existing passenger operations in the 
United States. In many of the railroad safety disciplines, FRA's 
current regulations do not adequately address the safety concerns and 
operational characteristics of the proposed TCRR system. Therefore, to 
assure the public that this new system will operate safely, minimum 
Federal safety standards must be in place when TCRR commences 
operations.
    Furthermore, as TCRR is not considered a small entity and is the 
only entity being regulated through the proposed rule, there is no 
economic impact to a small entity for which an alternative regulatory 
approach is needed in order to minimize the potential impact to small 
entities.
    FRA invites all interested parties to submit data and information 
regarding the potential economic impact that would result from adoption 
of the proposals in this NPRM. FRA will consider all comments received 
in the public comment process when making a determination.

C. Paperwork Reduction Act

    In accordance with the Paperwork Reduction Act of 1995, 44 U.S.C 
3501-3520, and its implementing regulations, 5 CFR part 1320, when 
information collection requirements pertain to nine or fewer entities, 
Office of Management and Budget (OMB) approval of the collection 
requirements is not required. This regulation pertains to one railroad, 
and therefore, OMB approval of the paperwork collection requirements in 
this proposed rule is not required.

D. Federalism Implications

    E.O. 13132, ``Federalism'' (64 FR 43255, Aug. 10, 1999), requires 
FRA to develop an accountable process to ensure ``meaningful and timely 
input by State and local officials in the development of regulatory 
policies that have federalism implications.'' ``Policies that have 
federalism implications'' are defined in the Executive Order to include 
regulations that have ``substantial direct effects on the States, on 
the relationship between the national government and the States, or on 
the distribution of power and responsibilities among the various levels 
of government.'' Under E.O. 13132, the agency may not issue a 
regulation with federalism implications that imposes substantial direct 
compliance costs and that is not required by statute, unless the 
Federal Government provides the funds necessary to pay the direct 
compliance costs incurred by State and local governments, or the agency 
consults with State and local government officials early in the process 
of developing the regulation. Where a regulation has federalism 
implications and preempts State law, the agency seeks to consult with 
State and local officials in the process of developing the regulation.
    This proposed rule has been analyzed under the principles and 
criteria

[[Page 14050]]

contained in E.O. 13132. This proposed rule will not have a substantial 
effect on the States or their political subdivisions, and it will not 
affect the relationships between the Federal Government and the States 
or their political subdivisions, or the distribution of power and 
responsibilities among the various levels of government. In addition, 
FRA has determined that this regulatory action will not impose 
substantial direct compliance costs on the States or their political 
subdivisions. Therefore, the consultation and funding requirements of 
E.O. 13132 do not apply.
    However, the final rule arising from this rulemaking could have 
preemptive effect by operation of law under certain provisions of the 
Federal railroad safety statutes, specifically the former Federal 
Railroad Safety Act of 1970, repealed and recodified at 49 U.S.C. 
20106, and the former Locomotive Boiler Inspection Act (LIA) at 45 
U.S.C. 22-34, repealed and re-codified at 49 U.S.C. 20701-20703. 
Section 20106 provides that States may not adopt or continue in effect 
any law, regulation, or order related to railroad safety or security 
that covers the subject matter of a regulation prescribed or order 
issued by the Secretary of Transportation (with respect to railroad 
safety matters) or the Secretary of Homeland Security (with respect to 
railroad security matters), except when the State law, regulation, or 
order qualifies under the ``essentially local safety or security 
hazard'' exception to section 20106. Moreover, the former LIA has been 
interpreted by the Supreme Court as preempting the field concerning 
locomotive safety. See Napier v. Atlantic Coast Line R.R., 272 U.S. 605 
(1926).

E. International Trade Impact Assessment

    The Trade Agreements Act of 1979 (Pub. L. 96-39, 19 U.S.C. 2501 et 
seq.) prohibits Federal agencies from engaging in any standards or 
related activities that create unnecessary obstacles to the foreign 
commerce of the United States. Legitimate domestic objectives, such as 
safety, are not considered unnecessary obstacles. The statute also 
requires consideration of international standards and, where 
appropriate, that they be the basis for U.S. standards.
    FRA has assessed the potential effect of this proposed rulemaking 
on foreign commerce and believes that its proposed requirements are 
consistent with the Trade Agreements Act. The requirements are safety 
standards, which, as noted, are not considered unnecessary obstacles to 
trade.

F. Environmental Impact

    FRA is evaluating the potential environmental impacts that may 
result from this proposed rule in accordance with the National 
Environmental Policy Act (NEPA; 42 U.S.C. 4321 et seq.), other 
environmental statutes, related regulatory requirements, and its 
``Procedures for Considering Environmental Impacts'' (FRA's Procedures) 
(64 FR 28545, May 26, 1999). FRA released a draft environmental impact 
statement (EIS) for public comment on December 22, 2017. The public 
comment period on the draft EIS closed on March 9, 2018. FRA is 
addressing public comments received on the draft EIS and conducting 
additional environmental analysis as needed to inform its preparation 
of the final EIS. FRA must issue the final EIS and its record of 
decision before issuing the final rule establishing an alternative 
regulatory framework for safety oversight of the system proposed by 
TCRR. The draft EIS is available on FRA's website at https://www.fra.dot.gov/Page/P0700. FRA will provide notice of publication of 
the final EIS to the public in the Federal Register, through the 
Environmental Protection Agency's weekly Notice of Availability, and on 
its website at the above web address.

G. Executive Order 12898 (Environmental Justice)

    E.O. 12898, ``Federal Actions to Address Environmental Justice in 
Minority Populations and Low-Income Populations,'' and DOT Order 
5610.2(a) (91 FR 27534, May 10, 2012) require DOT agencies to achieve 
environmental justice as part of their mission by identifying and 
addressing, as appropriate, disproportionately high and adverse human 
health or environmental effects, including interrelated social and 
economic effects, of their programs, policies, and activities on 
minority populations and low-income populations. The DOT Order 
instructs DOT agencies to address compliance with E.O. 12898 and 
requirements within the DOT Order in rulemaking activities, as 
appropriate. FRA has evaluated this proposed rule under E.O. 12898 and 
the DOT Order and has determined that it will not cause 
disproportionately high and adverse human health and environmental 
effects on minority populations or low-income populations.

H. Executive Order 13175 (Tribal Consultation)

    FRA has evaluated this proposed rule in accordance with the 
principles and criteria contained in E.O. 13175, ``Consultation and 
Coordination with Indian Tribal Governments,'' dated November 6, 2000. 
This proposed rule will not have a substantial direct effect on one or 
more Indian tribes, will not impose substantial direct compliance costs 
on Indian tribal governments, and will not preempt tribal laws. 
Therefore, the funding and consultation requirements of E.O. 13175 do 
not apply, and a tribal summary impact statement is not required.

I. Unfunded Mandates Reform Act of 1995

    Under section 201 of the Unfunded Mandates Reform Act of 1995 (Pub. 
L. 104-4, 2 U.S.C. 1531), each Federal agency ``shall, unless otherwise 
prohibited by law, assess the effects of Federal regulatory actions on 
State, local, and tribal governments, and the private sector (other 
than to the extent that such regulations incorporate requirements 
specifically set forth in law).'' Section 202 of the Act (2 U.S.C. 
1532) further requires that ``before promulgating any general notice of 
proposed rulemaking that is likely to result in the promulgation of any 
rule that includes any Federal mandate that may result in expenditure 
by State, local, and tribal governments, in the aggregate, or by the 
private sector, of $100,000,000 or more (adjusted annually for 
inflation) in any 1 year, and before promulgating any final rule for 
which a general notice of proposed rulemaking was published, the agency 
shall prepare a written statement'' detailing the effect on State, 
local, and tribal governments and the private sector. This proposed 
rule will not result in the expenditure, in the aggregate, of 
$100,000,000 or more (as adjusted annually for inflation) in any one 
year, and thus preparation of such a statement is not required.

J. Energy Impact

    E.O. 13211, ``Actions Concerning Regulations That Significantly 
Affect Energy Supply, Distribution, or Use,'' requires Federal agencies 
to prepare a Statement of Energy Effects for any ``significant energy 
action.'' See 66 FR 28355, May 22, 2001. FRA has evaluated this 
proposed rule in accordance with E.O. 13211 and determined that this 
regulatory action is not a ``significant energy action'' within the 
meaning of the E.O.
    E.O. 13783, ``Promoting Energy Independence and Economic Growth,'' 
requires Federal agencies to review regulations to determine whether 
they potentially burden the development or use of domestically produced 
energy

[[Page 14051]]

resources, with particular attention to oil, natural gas, coal, and 
nuclear energy resources. See 82 FR 16093, March 31, 2017. FRA has 
determined this regulatory action will not burden the development or 
use of domestically produced energy resources.

K. Privacy Act Statement

    In accordance with 5 U.S.C. 553(c), DOT solicits comments from the 
public to better inform its rulemaking process. DOT posts these 
comments, without edit, to www.regulations.gov, as described in the 
system of records notice, DOT/ALL-14 FDMS, accessible through 
www.dot.gov/privacy. To facilitate comment tracking and response, we 
encourage commenters to provide their name, or the name of their 
organization; however, submission of names is completely optional. 
Whether commenters identify themselves, all timely comments will be 
fully considered. If you wish to provide comments containing 
proprietary or confidential information, please contact the agency for 
alternate submission instructions.

List of Subjects

    High-speed rail, Incorporation by reference, Railroad safety, 
Reporting and recordkeeping requirements, Rule of particular 
applicability, Tokaido Shinkansen.

The Proposed Rule

    For the reasons discussed in the preamble, FRA proposes to add part 
299 to chapter II, subtitle B of title 49, Code of Federal Regulations 
as follows:
    1. Part 299 is added to read as follows:

PART 299--TEXAS CENTRAL RAILROAD HIGH-SPEED RAIL SAFETY STANDARDS

Subpart A--General Requirements
Sec.
299.1 Purpose and scope.
299.3 Applicability.
299.5 Definitions.
299.7 Responsibility for compliance.
299.9 Notifications and filings.
299.11 Electronic recordkeeping.
299.13 System description.
299.15 Special approvals.
299.17 Incorporation by reference.
Subpart B--Signal and Trainset Control System
299.201 Technical PTC system requirements.
299.203 PTC system required.
299.205 PTC System Certification.
299.207 PTC Safety Plan content requirements.
299.209 PTC system use and failures.
299.211 Communications and security requirements.
299.213 Records retention.
299.215 Operations and Maintenance Manual.
Subpart C--Track Safety Standards
299.301 Restoration or renewal of track under traffic conditions.
299.303 Measuring track not under load.
299.305 Drainage.
299.307 Vegetation.
299.309 Classes of track: operating speed limits.
299.311 Track geometry; general.
299.313 Track geometry; performance based.
299.315 Curves; elevations and speed limitations.
299.317 Track strength.
299.319 Track fixation and support.
299.321 Defective rails.
299.323 Continuous welded rail (CWR) plan.
299.325 Continuous welded rail (CWR); general.
299.327 Rail end mismatch.
299.329 Rail joints and torch cut rails.
299.331 Turnouts and crossings generally.
299.333 Frog guard rails and guard faces; gauge.
299.335 Derails.
299.337 Automated vehicle-based inspection systems.
299.339 Daily sweeper inspection.
299.341 Inspection of rail in service.
299.343 Initial inspection of new rail and welds.
299.345 Visual inspections; right-of-way.
299.347 Special inspections.
299.349 Inspection records.
299.351 Qualifications for track maintenance and inspection 
personnel.
299.353 Personnel qualified to supervise track restoration and 
renewal.
299.355 Personnel qualified to inspect track.
299.357 Personnel qualified to inspect and restore continuous welded 
rail.
Subpart D--Rolling Stock
299.401 Clearance requirements.
299.403 Trainset structure.
299.405 Trainset interiors.
299.407 Glazing.
299.409 Brake system.
299.411 Bogies and suspension system.
299.413 Fire safety.
299.415 Doors.
299.417 Emergency lighting.
299.419 Emergency communication.
299.421 Emergency roof access.
299.423 Markings and instructions for emergency egress and rescue 
access.
299.425 Low-location emergency exit path marking.
299.427 Emergency egress windows.
299.429 Rescue access windows.
299.431 Driver's controls and cab layout.
299.433 Exterior lights.
299.435 Electrical system design.
299.437 Automated monitoring.
299.439 Event recorders.
299.441 Trainset electronic hardware and software safety.
299.443 Safety appliances.
299.445 Trainset inspection, testing, and maintenance requirements.
299.447 Movement of defective equipment.
Subpart E--Operating Rules
299.501 Purpose.
299.503 Operating rules; filing and recordkeeping.
299.505 Programs of operational tests and inspections; 
recordkeeping.
299.507 Program of instruction on operating rules; recordkeeping.
Subpart F--System Qualification Tests
299.601 Responsibility for verification demonstrations and tests.
299.603 Preparation of system-wide qualification test plan.
299.605 Functional and performance qualification tests.
299.607 Pre-revenue service systems integration testing.
299.609 Vehicle/track system qualification.
299.611 Simulated revenue operations.
299.613 Verification of compliance.
Subpart G--Inspection, Testing, and Maintenance Program
299.701 General requirements.
299.703 Compliance.
299.705 Standard procedures for safely performing inspection, 
testing, and maintenance, or repairs.
299.707 Maintenance intervals.
299.709 Quality control program.
299.711 Inspection, testing, and maintenance program format.
299.713 Program approval procedures.

Appendix A to Part 299--Criteria for Certification of Crashworthy Event 
Recorder Memory Module

Appendix B to Part 299--Cab Noise Test Protocol

    Authority: 49 U.S.C. 20103, 20107, 20133, 20141, 20302-20303, 
20306, 20701-20702, 21301-21302, 21304; 28 U.S.C. 2461, note; and 49 
CFR 1.89.

Subpart A--General Requirements

Sec.  299.1  Purpose and scope.

    This part prescribes minimum Federal safety standards for the high-
speed transportation system described in detail in Sec.  299.13, known 
as Texas Central Railroad, LLC and hereinafter referred to as the 
``railroad.'' The purpose of this part is to prevent accidents, 
casualties, and property damage which could result from operation of 
this system.

Sec.  299.3  Applicability.

    (a) This part applies only to the railroad, as described in Sec.  
299.13.
    (b) Except as stated in paragraph (c) of this section, this part, 
rather than the generally applicable Federal railroad safety 
regulations, shall apply to the railroad.
    (c) The following Federal railroad safety regulations found in 
Title 49 of the Code of Federal Regulations, and any amendments are 
applicable to the railroad.
    (1) Part 207, Railroad Police Officers;

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    (2) Part 209, Railroad Safety Enforcement Procedures;
    (3) Part 210, Railroad Noise Emission Compliance Regulations;
    (4) Part 211, Rules of Practice;
    (5) Part 212, State Safety Participation Regulations;
    (6) Part 214, Railroad Workplace Safety, except Sec.  214.339;
    (7) Part 216, Special Notice and Emergency Order Procedures;
    (8) Part 218, Railroad Operating Practices;
    (9) Part 219, Control of Alcohol and Drug Use;
    (10) Part 220, Radio Standards and Procedures;
    (11) Part 225, Railroad Accidents/Incidents: Reports, 
Classification, and Investigations;
    (12) Part 227, Occupational Noise Exposure except Sec.  
227.119(c)(10) and (11) with respect to the railroad's high-speed 
trainsets only, which shall comply with 299.431(k) and (l);
    (13) Part 228, Hours of Service of Railroad Employees;
    (14) Part 233, Signal Systems Reporting Requirements;
    (15) Part 235, Instructions Governing Applications for Approval of 
a Discontinuance or Material Modification of a Signal System or Relief 
from the Requirements of Part 236, except Sec.  235.7;
    (16) Part 236, Installation, Inspection, Maintenance and Repair of 
Signal and Train Control System, Devices, and Appliances, subparts A 
through G, as excepted by the railroad's PTC Safety Plan (PTCSP) under 
Sec.  299.201(d);
    (17) Part 237, Railroad Bridge Safety Standards;
    (18) Part 239, Passenger Train Emergency Preparedness;
    (19) Part 240, Qualification and Certification of Locomotive 
Engineers;
    (20) Part 242, Qualification and Certification of Train Conductors;
    (21) Part 243, Training, Qualification, and Oversight for Safety-
Related Railroad Employees;
    (22) Part 270, System Safety Program
    (23) Part 272, Critical Incident Stress Plans; and
    (24) The following parts shall apply to the railroad's maintenance-
of-way equipment as it is used in work trains, rescue operations, yard 
movements, and other non-passenger functions:
    (i) Part 215, Railroad Freight Car Safety Standards;
    (ii) Part 223 Glazing Standards;
    (iii) Part 229, Railroad Locomotive Safety Standards, except--
    (A) Section 229.71. Instead, the railroad's maintenance-of-way 
equipment shall comply with Sec.  299.401(b), except for the sweeper 
vehicle, which shall have a clearance above top of rail no less than 35 
mm (1.77 inches).
    (B) Section 229.73. Instead, the railroad's maintenance-of-way 
equipment shall be designed so as to be compatible with the railroad's 
track structure under subpart C of this part.
    (iv) Part 231, Railroad Safety Appliance Standards; and,
    (v) Part 232, Railroad Power Brakes and Drawbars.
    (d) The Federal railroad safety statutes apply to all railroads, as 
defined in 49 U.S.C. 20102. The railroad covered by this part is a 
railroad under that definition. Therefore, the Federal railroad safety 
statutes, Subtitle V of Title 49 of the United States Code, apply 
directly to the railroad. However, pursuant to authority granted under 
49 U.S.C. 20306, FRA has exempted the railroad from certain 
requirements of 49 U.S.C. ch. 203.

Sec.  299.5  Definitions.

    As used in this part--
    Absolute block means a block of track circuits in which no trainset 
is permitted to enter while occupied by another trainset.
    Adjusting/de-stressing means the procedure by which a rail's 
neutral temperature is readjusted to the desired value. It typically 
consists of cutting the rail and removing rail anchoring devices, which 
provides for the necessary expansion and contraction, and then re-
assembling the track.
    Administrator means the Administrator of the FRA or the 
Administrator's delegate.
    Associate Administrator means FRA's Associate Administrator for 
Safety and Chief Safety Officer, or that person's delegate.
    Automatic train control (ATC) means the signaling system, composed 
of ground and on-board equipment. The on-board equipment continually 
receives a signal from the ground equipment. ATC on-board equipment 
controls the trainset speed to prevent train-to-train collisions and 
overspeed derailments.
    ATC cut-out mode means the mode of ATC on-board equipment used for 
emergency operations to disable the ATC on-board equipment on the 
trainset.
    ATC main line mode means the mode of ATC on-board equipment which 
controls trainset speed on mainlines.
    ATC overrun protection means an overlay of the ATC shunting mode to 
prevent overrun at the end of a track.
    ATC shunting mode means the mode of ATC on-board equipment which 
restricts the trainsets maximum speed to 30 km/h (19 mph).
    Brake, air means a combination of devices operated by compressed 
air, arranged in a system and controlled electrically or pneumatically, 
by means of which the motion of a train or trainset is retarded or 
arrested.
    Brake, disc means a retardation system used on the passenger 
trainsets that utilizes flat discs as the braking surface.
    Brake, electric means a trainset braking system in which the 
kinetic energy of a moving trainset is used to generate electric 
current at the traction motors, which is then returned into the 
catenary system.
    Brake, emergency application means a brake application initiated by 
a de-energized brake command and is retrievable when there is no 
malfunction that initiates an automatic emergency brake application. An 
emergency brake application can be initiated by the driver or 
automatically by ATC. An emergency brake application, as defined here, 
is equivalent to a full-service brake application in the U.S.
    Brake, urgent application means an irretrievable brake application 
designed to minimize the braking distance. An urgent brake application, 
as defined here, is the equivalent of an emergency brake application in 
the U.S.
    Bogie means an assembly that supports the weight of the carbody and 
which incorporates the suspension, wheels and axles, traction motors 
and friction brake components. Each unit of a trainset is equipped with 
two bogies. In the U.S. a bogie is commonly referred to as a truck.
    Broken rail means a partial or complete separation of an otherwise 
continuous section of running rail, excluding rail joints, expansion 
joints, and insulated joints.
    Buckling incident/buckling rail means the formation of a lateral 
misalignment caused by high longitudinal compressive forces in a rail 
sufficient in magnitude to exceed the track geometry alignment safety 
limits defined in Sec.  299.309.
    Buckling-prone condition means a track condition that can result in 
the track being laterally displaced due to high compressive forces 
caused by critical rail temperature combined with insufficient track 
strength and/or train dynamics.
    Cab means the compartment or space within a trainset that is 
designed to be occupied by a driver and contain an operating console 
for exercising control over the trainset.
    Cab car means a rail vehicle at the leading or trailing end, or 
both, of a trainset which has a driver's cab and is

[[Page 14053]]

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

[[Page 14054]]

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

[[Page 14055]]

    Trainset means a passenger train including the cab cars and 
intermediate cars that are semi-permanently coupled to operate as a 
single consist. The individual units of a trainset are uncoupled only 
for emergencies or maintenance conducted in repair facilities.
    Trainset maintenance facility means a location equipped with the 
special tools, equipment, and qualified individuals capable of 
conducting pre-service inspections and regular inspections on the 
trainsets in accordance with the railroad's inspection, testing, and 
maintenance program. Trainset maintenance facilities are also 
considered repair points.
    Transponder means a wayside component of the ATC system used to 
provide trainset position correction on the mainline or to provide an 
overlay of overrun protection within a trainset maintenance facility.
    Underframe means the lower horizontal support structure of a rail 
vehicle.
    Unit, trainset means a cab car or intermediate car of a trainset.
    Vestibule means an area of a passenger car that normally does not 
contain seating, is located adjacent to a side exit door, and is used 
in passing from a seating area to a side exit door.
    Yard means a system of tracks within defined limits and outside of 
the territory controlled by signals, which can be used for the making 
up of non-passenger trains or the storing of maintenance-of-way 
equipment.
    Yield strength means the ability of a structural member to resist a 
change in length caused by a applied load. Exceeding the yield strength 
will cause permanent deformation of the member.

Sec.  299.7  Responsibility for compliance.

    (a) The railroad shall not--
    (1) Use, haul, or permit to be used or hauled on its line(s) any 
trainset--
    (i) With one or more defects not in compliance with this part; or
    (ii) That has not been inspected and tested as required by a 
provision of this part.
    (2) Operate over any track, except as provided in paragraph (e) of 
this section, with one or more conditions not in compliance this part, 
if the railroad has actual knowledge of the facts giving rise to the 
violation, or a reasonable person acting in the circumstances and 
exercising reasonable care would have that knowledge.
    (3) Violate any other provision of this part or any provision of 
the applicable FRA regulations listed under Sec.  299.3(c).
    (b) For purposes of this rule, a trainset shall be considered in 
use prior to the trainset's departure as soon as it has received, or 
should have received the inspection required under this part for 
movement and is ready for service.
    (c) Although many of the requirements of this part are stated in 
terms of the duties of the railroad, when any person (including, but 
not limited to, a contractor performing safety-related tasks under 
contract to the railroad subject to this part) performs any function 
required by this part, that person (whether or not the railroad) is 
required to perform that function in accordance with this part.
    (d) For purposes of this part, the railroad shall be responsible 
for compliance with all track safety provisions set forth in subpart C 
of this part. When the railroad and/or its assignee have actual 
knowledge of the facts giving rise to a violation, or a reasonable 
person acting in the circumstances and exercising reasonable care would 
have knowledge that the track does not comply with the requirements of 
this part, it shall--
    (1) Bring the track into compliance;
    (2) Halt operations over that track; or
    (3) Continue operations over the segment of non-complying track in 
accordance with the provisions of Sec.  299.309(b) or (c).
    (e) The FRA Administrator may hold the railroad, the railroad's 
contractor, or both responsible for compliance with the requirements of 
this part and subject to civil penalties.

Sec.  299.9   Notification and filings.

    All notifications and filings to the FRA required by this part 
shall be submitted to the Associate Administrator for Railroad Safety 
and Chief Safety Officer, 1200 New Jersey Avenue SE, Washington, DC 
20590, unless otherwise specified.

Sec.  299.11   Electronic recordkeeping.

    The railroad's electronic recordkeeping shall be retained such 
that--
    (a) The railroad maintains an information technology security 
program adequate to ensure the integrity of the electronic data storage 
system, including the prevention of unauthorized access to the program 
logic or individual records;
    (b) The program and data storage system must be protected by a 
security system that utilizes an employee identification number and 
password, or a comparable method, to establish appropriate levels of 
program access meeting all of the following standards:
    (1) No two individuals have the same electronic identity; and
    (2) A record cannot be deleted or altered by any individual after 
the record is certified by the employee who created the record.
    (c) Any amendment to a record is either--
    (1) Electronically stored apart from the record that it amends; or
    (2) Electronically attached to the record as information without 
changing the original record;
    (d) Each amendment to a record uniquely identifies the person 
making the amendment;
    (e) The system employed by the railroad for data storage permits 
reasonable access and retrieval; and
    (f) Information retrieved from the system can be easily produced in 
a printed format which can be readily provided to FRA representatives 
in a timely manner and authenticated by a designated representative of 
the railroad as a true and accurate copy of the railroad's records if 
requested to do so by FRA representatives.

Sec.  299.13  System description.

    (a) General. This section describes the components, operations, 
equipment, and systems of the railroad's high-speed rail system. The 
railroad shall adhere to the following general requirements:
    (1) The railroad shall not exceed the maximum trainset speed 
approved by FRA under Sec.  299.609(g) while in revenue service, up to 
a maximum speed of 330 km/h (205 mph).
    (2) The railroad shall not transport or permit to be transported in 
revenue service any product that has been established to be a hazardous 
material pursuant to 49 CFR part 172, as amended.
    (3) The railroad shall not conduct scheduled right-of-way 
maintenance on a section of the right-of-way prior to that section of 
the right-of-way being cleared of all revenue service trainsets 
(including any trainset repositioning moves), and proper action is 
taken by the general control center staff to protect incursion into 
established maintenance zones by revenue trainsets. Additionally, the 
railroad shall not commence revenue service prior to completion of the 
maintenance activities, that section of the right-of-way being cleared 
of all maintenance-of-way equipment. Further, the railroad is 
prohibited from commencing revenue operations until after conclusion of 
the daily sweeper inspection, under Sec.  299.339, and the general 
control center returning the signal and trainset control system to the 
state required to protect revenue operations.
    (b) Right-of-way. (1) The railroad shall operate on a completely 
dedicated right-of-way and shall not operate or conduct joint 
operations with any other freight

[[Page 14056]]

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

[[Page 14057]]

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

[[Page 14058]]

on the N700's design and shall meet the following standards:
    (i) Each trainset shall be equipped with an electronically 
controlled brake system that shall ensure that each unit in the 
trainset responds independently to a brake command. The brake command 
shall be transmitted through the on-board internal trainset control 
network, as well as through the trainline for redundancy.
    (A) Motorized cars shall be equipped with regenerative and 
electronically controlled pneumatic brakes. The system shall be 
designed to maximize the use of regenerative brakes.
    (B) Non-motorized cars shall be equipped with electronically 
controlled pneumatic brakes.
    (C) The friction brakes on each bogie shall be cheek mounted disc 
brakes.
    (D) Each car shall be equipped with an electronic and pneumatic 
brake control unit and a main reservoir. The system shall be designed 
that in the event of a failure of an electronic control unit in a car, 
brake control shall be provided by the electronic control unit on the 
adjacent car. Each car in the trainset shall be equipped with a backup 
wheel slide protection controller that will provide wheel slide 
protection in the event of a wheel slide protection controller failure.
    (ii) The braking system shall be designed with the following brake 
controls: Service, emergency, urgent, and rescue brake.
    (iii) The service and emergency brake shall be applied 
automatically by ATC or manually by the driver.
    (iv) The urgent brake control shall be independent of the service 
and emergency brake control and shall be automatically applied if the 
trainset is parted. Application of the urgent brake shall produce an 
irretrievable stop. The urgent brake force shall be designed to vary 
according to speed in order to minimize the braking distance and avoid 
excessive demand of adhesion at higher speeds.
    (v) A disabled trainset shall be capable of having its brake system 
controlled electronically by a rescue trainset.
    (vi) Independent of the driver's brake handle in the cab, each 
trainset shall be equipped with two urgent brake switches in each cab 
car, accessible only to the crew; located adjacent to the door control 
station and that can initiate an urgent brake application. If door 
control stations are provided in intermediate cars that are accessible 
only to crew members, then the urgent brake switches must also be 
included adjacent to the door control stations.
    (vii) The railroad shall establish a maximum safe operating speed 
to address brake failures that occur in revenue service as required by 
Sec.  299.409(f)(4). In the event of any friction brake failure on a 
trainset, the speed shall be limited by ATC on-board equipment in 
accordance with the brake failure switch position selected by the 
driver and as required by Sec.  299.447.

Sec.  299.15   Special approvals.

    (a) General. The following procedures govern consideration and 
action upon requests for special approval of alternative standards to 
this part.
    (b) Petitions for special approval of alternative standard. Each 
petition for special approval of an alternative standard shall 
contain--
    (1) The name, title, address, and telephone number of the primary 
person to be contacted with regard to review of the petition;
    (2) The alternative proposed, in detail, to be substituted for the 
particular requirements of this part; and
    (3) Appropriate data or analysis, or both, establishing that the 
alternative will provide at least an equivalent level of safety.
    (c) Petitions for special approval of alternative compliance. Each 
petition for special approval of alternative compliance shall contain--
    (1) The name, title, address, and telephone number of the primary 
person to be contacted with regard to the petition;
    (2) High-speed core systems and system components of special design 
shall be deemed to comply with this part, if the FRA Associate 
Administrator determines under paragraph (d) of this section that the 
core system or system components provide at least an equivalent level 
of safety in the environment defined within Sec.  299.13 with respect 
to the protection of railroad employees and the public. In making a 
determination under paragraph (d) of this section the Associate 
Administrator shall consider, as a whole, all of those elements of 
casualty prevention or mitigation relevant to the integrity of the core 
system or components that are addressed by the requirements of this 
part.
    (d) Petition contents. The Associate Administrator may only make a 
finding of equivalent safety and compliance with this part, based upon 
a submission of data and analysis sufficient to support that 
determination. The petition shall include--
    (1) The information required by Sec.  299.15(b) or (c), as 
appropriate; Information, including detailed drawings and materials 
specifications, sufficient to describe the actual construction and 
function of the core systems or system components of special design;
    (2) A quantitative risk assessment, incorporating the design 
information and engineering analysis described in this paragraph, 
demonstrating that the core systems or system components, as utilized 
in the service environment defined in Sec.  299.13, presents no greater 
hazard of serious personal injury than existing core system or system 
components that conform to the specific requirements of this part.
    (e) Federal Register notice. FRA will publish a notice in the 
Federal Register concerning each petition under paragraphs (b) and (c) 
of this section.
    (f) Comment. Not later than 30 days from the date of publication of 
the notice in the Federal Register concerning a petition under 
paragraphs (b) and (c) of this section, any person may comment on the 
petition.
    (1) Each comment shall set forth specifically the basis upon which 
it is made, and contain a concise statement of the interest of the 
commenter in the proceeding.
    (2) Each comment shall be submitted to the U.S. Department of 
Transportation, Docket Operations (M-30), West Building Ground Floor, 
Room W12-140, 1200 New Jersey Avenue SE, Washington, DC 20590, and 
shall contain the assigned docket number for that proceeding. The form 
of such submission may be in written or electronic form consistent with 
the standards and requirements established by the Federal Docket 
Management System and posted on its website at http://www.regulations.gov.
    (g) Disposition of petitions. (1) FRA will conduct a hearing on a 
petition in accordance with the procedures provided in Sec.  211.25 of 
this chapter.
    (2) If FRA finds that the petition complies with the requirements 
of this section or that the proposed plan is acceptable the petition 
will be granted, normally within 90 days of its receipt. If the 
petition is neither granted nor denied within 90 days, the petition 
remains pending for decision. FRA may attach special conditions to the 
approval of the petition. Following the approval of a petition, FRA may 
reopen consideration of the petition for cause stated.
    (3) If FRA finds that the petition does not comply with the 
requirements of this section, or that the proposed plan is not 
acceptable or that the proposed changes are not justified, or both, the 
petition will be denied, normally within 90 days of its receipt.

[[Page 14059]]

    (4) When FRA grants or denies a petition, or reopens consideration 
of the petition, written notice is sent to the petitioner and other 
interested parties.

Sec.  299.17   Incorporation by reference.

    Certain material is incorporated by reference into this part with 
the approval of the Director of the Federal Register under 5 U.S.C. 
552(a) and 1 CFR part 51. All approved material is available for 
inspection at Federal Railroad Administration, Docket Clerk, 1200 New 
Jersey Avenue SE, Washington, DC 20590 (telephone: 202-493-6052); 
email: FRALegal@dot.gov and is available from the sources indicated in 
this section. It is also available for inspection at the National 
Archives and Records Administration (NARA). For information on the 
availability of this material at NARA, email fedreg.legal@nara.gov or 
go to www.archives.gov/federal-register/cfr/ibr-locations.html.
    (a) ASTM International, 100 Barr Harbor Drive, PO Box C700, West 
Conshohocken, PA 19428-2959, www.astm.org.
    (1) ASTM D 4956-07 [epsiv]1, Standard Specification for 
Retroreflective Sheeting for Traffic Control, approved March 15, 2007; 
into Sec.  299.423.
    (2) ASTM E 810-03, Standard Test Method for Coefficient of 
Retroreflection of Retroreflective Sheeting Utilizing the Coplanar 
Geometry, approved February 10, 2003; into Sec.  299.423.
    (3) ASTM E 2073-07, Standard Test Method for Photopic Luminance of 
Photoluminescent (Phosphorescent) Markings, approved July 1, 2007; into 
Sec.  299.423.
    (b) Japanese Standards Association 4-1-24, Akasaka, Minato-ku, 
Tokyo, 107-8440 Japan, www.jsa.or.jp (Japanese site), or www.jsa.or.jp/en (English site).
    (1) JIS E 7105:2006(E), ``Rolling Stock--Test methods of static 
load for body structures,'' Published February 20, 2006; into Sec.  
299.403.
    (2) JIS E 7105:2011(E), ``Rolling Stock--Test methods of static 
load for body structures,'' (Amendment 1) Published September 7, 2011; 
into Sec.  299.403.
    (3) JIS E 1101:2001(E), ``Flat bottom railway rails and special 
rails for switches and crossings of non-treated steel,'' Published June 
30, 2001; into Sec.  299.13.
    (4) JIS E 1101:2006(E) ``Flat bottom railway rails and special 
rails for switches and crossings of non-treated steel,'' (Amendment 1), 
Published March 25, 2006; into Sec.  299.13.
    (5) JIS E 1101:2012(E) ``Flat bottom railway rails and special 
rails for switches and crossings of non-treated steel,'' (Amendment 2), 
Published February 20, 2012; into Sec.  299.13.
    (6) JIS B 8265 ``Construction of pressure vessels-general 
principles,'' Published December 27, 2010; into Sec.  299.409.

Subpart B--Signal and Trainset Control System

Sec.  299.201   Technical PTC system requirements.

    (a) The railroad shall comply with all applicable requirements 
under 49 U.S.C. 20157, including, but not limited to, the statutory 
requirement to fully implement an FRA-certified PTC system prior to 
commencing revenue service.
    (b) The railroad's PTC system shall be designed to reliably and 
functionally prevent train-to-train collisions, over-speed derailments, 
incursions into established work zone limits, and movements of trainset 
through switches left in the wrong position, in accordance with Sec.  
236.1005(a) and (c) through (f) of this chapter.
    (c) The railroad is authorized to conduct field testing of its PTC 
system on its system, prior to obtaining PTC System Certification from 
FRA, in accordance with its system-wide qualification plan under Sec.  
299.603. During any field testing of its uncertified PTC system and 
regression testing of its FRA-certified PTC system, FRA may oversee the 
railroad's testing, audit any applicable test plans and procedures, and 
impose additional testing conditions that FRA believes may be necessary 
for the safety of trainset operations.
    (d) The railroad is not exempted from compliance with any 
requirement of subparts A through G of 49 CFR part 236, or parts 233, 
and 235 of this chapter, unless the railroad's FRA-approved PTCSP 
provides for such an exception.
    (e)(1) All materials filed in accordance with this subpart must be 
in the English language, or have been translated into English and 
attested as true and correct.
    (2) Each filing referenced in this subpart may include a request 
for full or partial confidentiality in accordance with Sec.  209.11 of 
this chapter. If confidentiality is requested as to a portion of any 
applicable document, then in addition to the filing requirements under 
Sec.  209.11 of this chapter, the person filing the document shall also 
file a copy of the original unredacted document, marked to indicate 
which portions are redacted in the document's confidential version 
without obscuring the original document's contents.

Sec.  299.203   PTC system required.

    The railroad shall not commence revenue service prior to installing 
and making operative its FRA-certified PTC system.

Sec.  299.205   PTC System Certification.

    (a) Prior to operating its PTC system in revenue service, the 
railroad must first obtain a PTC System Certification from FRA by 
submitting an acceptable PTCSP and obtaining FRA's approval of its 
PTCSP.
    (b) Each PTCSP requirement under this subpart shall be supported by 
information and analysis sufficient to establish that the PTC system 
meets the requirements of Sec.  236.1005(a) and (c) through (f) of this 
chapter.
    (c) If the Associate Administrator finds that the PTCSP and its 
supporting documentation support a finding that the PTC system complies 
with Sec. Sec.  236.1005(a) and (c) through (f) of this chapter, and 
299.211, the Associate Administrator shall approve the PTCSP. If the 
Associate Administrator approves the PTCSP, the railroad shall receive 
PTC System Certification for its PTC system and shall implement the PTC 
system according to the PTCSP.
    (d) Issuance of a PTC System Certification is contingent upon FRA's 
confidence in the implementation and operation of the subject PTC 
system. This confidence may be based on FRA-monitored field testing or 
an independent assessment performed in accordance with Sec.  236.1017 
of this chapter.
    (e)(1) As necessary to ensure safety, FRA may attach special 
conditions to its certification of the railroad's PTC System.
    (2) After granting a PTC System Certification, FRA may reconsider 
the PTC System Certification upon revelation of any of the following 
factors concerning the contents of the PTCSP:
    (i) Potential error or fraud;
    (ii) Potentially invalidated assumptions determined as a result of 
in-service experience or one or more unsafe events calling into 
question the safety analysis supporting the approval.
    (3) During FRA's reconsideration in accordance with this paragraph, 
the PTC system may remain in use if otherwise consistent with the 
applicable law and regulations, and FRA may impose special conditions 
for use of the PTC system.
    (4) After FRA's reconsideration in accordance with this paragraph, 
FRA may:
    (i) Dismiss its reconsideration and continue to recognize the 
existing PTC System Certification;

[[Page 14060]]

    (ii) Allow continued operations under such conditions the Associate 
Administrator deems necessary to ensure safety; or
    (iii) Revoke the PTC System Certification and direct the railroad 
to cease operations.
    (f) FRA shall be afforded reasonable access to monitor, test, and 
inspect processes, procedures, facilities, documents, records, design 
and testing materials, artifacts, training materials and programs, and 
any other information used in the design, development, manufacture, 
test, implementation, and operation of the system, as well as interview 
any personnel.
    (g) Information that has been certified under the auspices of a 
foreign regulatory entity recognized by the Associate Administrator 
may, at the Associate Administrator's sole discretion, be accepted as 
independently verified and validated and used to support the railroad's 
PTCSP.
    (h) The railroad shall file its PTCSP in FRA's Secure Information 
Repository at https://sir.fra.dot.gov, consistent with Sec.  
299.201(e).

Sec.  299.207   PTC Safety Plan content requirements.

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

[[Page 14061]]

PTC system, the PTCSP will be approved provided that the PTCSP 
establishes with a high degree of confidence that the new PTC system 
will provide a level of safety not less than the level of safety 
provided by the system to be replaced.

Sec.  299.209   PTC system use and failures.

    (a) When any safety-critical PTC system component fails to perform 
its intended function, the cause must be determined and the faulty 
component adjusted, repaired, or replaced without undue delay. Until 
repair of such essential components is completed, the railroad shall 
take appropriate action as specified in its PTCSP.
    (b) Where a trainset that is operating in, or is to be operated 
within, a PTC-equipped track segment experiences a PTC system failure 
or the PTC system is otherwise cut out while en route (i.e., after the 
trainset has departed its initial terminal), the trainset may only 
continue in accordance with all of the following:
    (1) Except as provided in paragraph (b)(4) of this section, when no 
absolute block protection is established, the trainset may proceed at a 
speed not to exceed restricted speed.
    (2) When absolute block protection can be established in advance of 
the trainset, the trainset may proceed at a speed not to exceed 120 km/
h (75 mph), and the trainset shall not exceed restricted speed until 
the absolute block in advance of the trainset is established.
    (3) A report of the failure or cut-out must be made to a designated 
railroad officer of the railroad as soon as safe and practicable.
    (4) Where the PTC system is the exclusive method of delivering 
mandatory directives, an absolute block must be established in advance 
of the trainset as soon as safe and practicable, and the trainset shall 
not exceed restricted speed until the absolute block in advance of the 
trainset is established.
    (5) Where the failure or cut-out is a result of a defective onboard 
PTC apparatus, the trainset may be moved in passenger service only to 
the next forward location where the necessary repairs can be made; 
however, if the next forward location where the necessary repairs can 
be made does not have the facilities to handle the safe unloading of 
passengers, the trainset may be moved past the repair location in 
service only to the next forward passenger station in order to 
facilitate the unloading of passengers. When the passengers have been 
safely unloaded, the defective trainset shall be moved to the nearest 
location where the onboard PTC apparatus can be repaired or exchanged.
    (c) The railroad shall comply with all provisions in its PTCSP for 
each PTC system it uses and shall operate within the scope of initial 
operational assumptions and predefined changes identified.
    (d) The normal functioning of any safety-critical PTC system must 
not be interfered with in testing or otherwise without first taking 
measures to provide for the safe movement of trainsets that depend on 
the normal functioning of the system.
    (e) Annually, by April 16 of each year following the commencement 
of the railroad's revenue service, the railroad shall provide FRA with 
a report of the number of PTC failures that occurred during the 
previous calendar year. The report shall identify failures by category, 
including but not limited to locomotive, wayside, communications, and 
back office system failures.
    (f) The railroad and the PTC system vendors and/or suppliers must 
comply with each applicable requirement under Sec.  236.1023 of this 
chapter.

Sec.  299.211   Communications and security requirements.

    (a) All wireless communications between the office, wayside, and 
onboard components in a PTC system shall provide cryptographic message 
integrity and authentication.
    (b) Cryptographic keys required under this section shall--
    (1) Use an algorithm approved by the National Institute of 
Standards or a similarly recognized and FRA-approved standards body;
    (2) Be distributed using manual or automated methods, or a 
combination of both; and
    (3) Be revoked--
    (i) If compromised by unauthorized disclosure of the cleartext key; 
or
    (ii) When the key algorithm reaches its lifespan as defined by the 
standards body responsible for approval of the algorithm.
    (c) The cleartext form of the cryptographic keys shall be protected 
from unauthorized disclosure, modification, or substitution, except 
during key entry when the cleartext keys and key components may be 
temporarily displayed to allow visual verification. When encrypted keys 
or key components are entered, the cryptographically protected 
cleartext key or key components shall not be displayed.
    (d) Access to cleartext keys shall be protected by a tamper-
resistant mechanism.
    (e) If the railroad elects to also provide cryptographic message 
confidentiality, it shall:
    (1) Comply with the same requirements for message integrity and 
authentication under this section; and
    (2) Only use keys meeting or exceeding the security strength 
required to protect the data as defined in the railroad's PTCSP.
    (f) The railroad, or its vendor or supplier, shall have a 
prioritized service restoration and mitigation plan for scheduled and 
unscheduled interruptions of service. This plan shall be made available 
to FRA upon request, without undue delay, for restoration of 
communication services that support PTC system services.

Sec.  299.213   Records retention.

    (a) The railroad shall maintain at a designated office on the 
railroad--
    (1) A current copy of each FRA-approved PTCSP that it holds;
    (2) Adequate documentation to demonstrate that the PTCSP meets the 
safety requirements of this RPA, including the risk assessment;
    (3) An Operations and Maintenance Manual, pursuant to Sec.  
299.215; and
    (4) Training and testing records pursuant to Sec.  236.1043(b) of 
this chapter.
    (b) Results of inspections and tests specified in the PTCSP must be 
recorded pursuant to Sec.  236.110 of this chapter.
    (c) Each contractor providing services relating to the testing, 
maintenance, or operation of the railroad's PTC system shall maintain 
at a designated office training records required under Sec. Sec.  
236.1043(b) of this chapter, and 299.207(a)(6).
    (d) After the PTC system is placed in service, the railroad shall 
maintain a database of all safety-relevant hazards as set forth in its 
PTCSP and those that had not been previously identified in its PTCSP. 
If the frequency of the safety-relevant hazards exceeds the threshold 
set forth in its PTCSP, then the railroad shall--
    (1) Report the inconsistency in writing to FRA's Secure Information 
Repository at https://sir.fra.dot.gov, within 15 days of discovery;
    (2) Take prompt countermeasures to reduce the frequency of each 
safety-relevant hazard to below the threshold set forth in its PTCSP; 
and
    (3) Provide a final report when the inconsistency is resolved to 
FRA's Secure Information Repository at https://sir.fra.dot.gov, on the 
results of the analysis and countermeasures taken to reduce the 
frequency of the safety-relevant hazard(s) below the threshold set 
forth in its PTCSP.

[[Page 14062]]

Sec.  299.215   Operations and Maintenance Manual.

    (a) The railroad shall catalog and maintain all documents as 
specified in its PTCSP for the operation, installation, maintenance, 
repair, modification, inspection, and testing of the PTC system and 
have them in one Operations and Maintenance Manual, readily available 
to persons required to perform such tasks and for inspection by FRA and 
FRA-certified state inspectors.
    (b) Plans required for proper maintenance, repair, inspection, and 
testing of safety-critical PTC systems must be adequate in detail and 
must be made available for inspection by FRA and FRA-certified state 
inspectors where such PTC systems are deployed or maintained. They must 
identify all software versions, revisions, and revision dates. Plans 
must be legible and correct.
    (c) Hardware, software, and firmware revisions must be documented 
in the Operations and Maintenance Manual according to the railroad's 
configuration management control plan and any additional configuration/
revision control measures specified in its PTCSP.
    (d) Safety-critical components, including spare equipment, must be 
positively identified, handled, replaced, and repaired in accordance 
with the procedures specified in the railroad's PTCSP.
    (e) The railroad shall designate in its Operations and Maintenance 
Manual an appropriate railroad officer responsible for issues relating 
to scheduled interruptions of service.

Subpart C--Track Safety Standards

Sec.  299.301   Restoration or renewal of track under traffic 
conditions.

    (a) Restoration or renewal of track, other than in yards and 
trainset maintenance facilities, under traffic conditions is 
prohibited.
    (b) Restoration or renewal of track under traffic conditions on 
track Class H2 in yards and trainset maintenance facilities is limited 
to the replacement of worn, broken, or missing components or fastenings 
that do not affect the safe passage of trainset.
    (c) The following activities are expressly prohibited on track 
Class H2 trainset maintenance facilities under traffic conditions:
    (1) Any work that interrupts rail continuity, e.g., as in joint bar 
replacement or rail replacement;
    (2) Any work that adversely affects the lateral or vertical 
stability of the track with the exception of spot tamping an isolated 
condition where not more than 4.5 m (15 feet) of track are involved at 
any one time and the ambient air temperature is not above 35 C (95 F); 
and
    (3) Removal and replacement of the rail fastenings on more than one 
tie at a time within 4.5 m (15 feet).

Sec.  299.303   Measuring track not under load.

    When unloaded track is measured to determine compliance with 
requirements of this part, evidence of rail movement, if any, that 
occurs while the track is loaded shall be added to the measurements of 
the unloaded track.

Sec.  299.305   Drainage.

    Each drainage or other water carrying facility under or immediately 
adjacent to the roadbed shall be maintained and kept free of 
obstruction, to accommodate expected water flow for the area concerned.

Sec.  299.307   Vegetation.

    Vegetation on railroad property which is on or immediately adjacent 
to roadbed shall be controlled so that it does not--
    (a) Become a fire hazard to track-carrying structures;
    (b) Obstruct visibility of railroad signs and signals along the 
right-of-way;
    (c) Interfere with railroad employees performing normal trackside 
duties;
    (d) Prevent proper functioning of signal and communication lines.
    (e) Prevent railroad employees from visually inspecting moving 
equipment from their normal duty stations.

Sec.  299.309   Classes of track: operating speed limits.

    (a) Except as provided in paragraph (b) of this section and as 
otherwise provided in this part, the following maximum allowable 
operating speeds apply--

                        Table 1 to Paragraph (a)
------------------------------------------------------------------------
     Over track that meets all of the           The maximum allowable
requirements prescribed in this part  for--    operating speed in km/h
                                                        (mph)
------------------------------------------------------------------------
Class H0 track............................  20 (12)
Class H1 track............................  30 (19)
Class H2 track............................  70 (44)
Class H3 track............................  120 (75)
Class H4 track............................  170 (106)
Class H5 track............................  230 (143)
Class H6 track............................  285 (177)
Class H7 track............................  330 (205)
------------------------------------------------------------------------

    (b) Except as provided in paragraph (c) of this section, if a 
segment of track does not meet all of the requirements for its intended 
Class, it is to be reclassified to the next lower track Class for which 
it does meet all of the requirements of this part. However, if the 
segment of track does not at least meet the requirements for track 
Class H1 track, operations may continue at Class H1 speeds for a period 
of not more than 30 days without bringing the track into compliance, 
under the authority of an individual designated under Sec.  299.353, 
after that individual determines that operations may safely continue 
and subject to any limiting conditions specified by such individual.
    (c) If a segment of track designated as track Class H0 does not 
meet all of the requirements for its intended class, operations may 
continue at Class H0 speeds for a period of not more than 30 days 
without bringing the track into compliance, under the authority of an 
individual designated under Sec.  299.353, after that individual 
determines that operations may safely continue and subject to any 
limiting conditions specified by such individual.
    (d) No high-speed passenger trainset shall operate over track Class 
H0.

Sec.  299.311   Track geometry; general.

    If the values listed in the following table are exceeded, the 
railroad shall initiate remedial action. A reduction in operating speed 
so that the condition complies with the limits listed for a lower speed 
shall constitute bringing the track into compliance.

                                                                Table 1 to Sec.   299.311
--------------------------------------------------------------------------------------------------------------------------------------------------------
        Track geometry parameter (mm)                     Track class                H0       H1       H2       H3       H4       H5       H6       H7
--------------------------------------------------------------------------------------------------------------------------------------------------------
Gauge is measured between the heads of the    Min...............................     1429     1429     1429     1429     1429     1429     1429     1429
 rails at right angles to the rails in a      Max...............................     1454     1454     1454     1454     1454     1454     1454     1454
 plane 14 mm (0.55 inches) below the top of
 the rail head and may not exceed--.

[[Page 14063]]

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

Sec.  299.313   Track geometry; performance based.

    (a) For all track of Class H4 and above, vibration in the lateral 
and vertical directions measured on the carbody of a vehicle 
representative of the service fleet traveling at a speed no less than 
10 km/h (6.2 mph) below the maximum speed permitted for the class of 
track, shall not exceed the limits prescribed in the following table:

                        Table 1 to paragraph (A)
------------------------------------------------------------------------
                   Carbody acceleration limits \1\ \2\
-------------------------------------------------------------------------
           Lateral vibration \3\               Vertical vibration \3\
------------------------------------------------------------------------
<=0.35 g peak-to-peak.....................  <=0.45 g peak-to-peak.
1 sec window..............................  1 sec window.
excluding peaks <50 msec..................  excluding peaks <50 msec.
------------------------------------------------------------------------
\1\ Carbody accelerations in the vertical and lateral directions shall
  be measured by accelerometers oriented and located in accordance with
  Sec.   299.331(c)(3).
\2\ Acceleration measurements shall be processed through an LPF with a
  minimum cut-off frequency of 10 Hz. The sample rate for acceleration
  data shall be at least 200 samples per second.
\3\ Peak-to-peak accelerations shall be measured as the algebraic
  difference between the two extreme values of measured acceleration in
  any 1-second time period, excluding any peak lasting less than 50
  milliseconds.

    (b) If the carbody acceleration requirements are not met on a 
segment of track, the segment of track is to be reclassified to the 
next lower Class of track for which it does meet the requirements of 
this part.

Sec.  299.315   Curves; elevation and speed limitations.

    (a) The maximum elevation of the outside rail of a curve may not be 
more than 200 mm (7\7/8\ inches). The outside rail of a curve may not 
be lower than the inside rail by design, except when engineered to 
address specific track or operating conditions; the limits in Sec.  
299.311 apply in all cases.
    (b) The maximum allowable posted timetable operating speed for each 
curve is determined by the following formula:
[GRAPHIC] [TIFF OMITTED] TP10MR20.000

Where--

Vmax = Maximum allowable posted timetable operating speed 
(km/h).
Ea = Actual elevation of the outside rail (mm). Actual 
elevation, Ea, for each 50-meter track segment in the 
body of the curve is determined by averaging the elevation for 11 
points through the segment at 5-meter spacing. If the curve length 
is less than 50-meters, average the points through the full length 
of the body of the curve.
Eu = Qualified cant deficiency (mm) of the vehicle type.
R = Radius of curve (m). Radius of curve, R, is determined by 
averaging the radius of the curve over the same track segment as the 
elevation.

    (c) All vehicles are considered qualified for operating on track 
with a cant deficiency, Eu, not exceeding 75 mm (3 inches).
    (d) Each vehicle type must be approved by FRA, under Sec.  299.609, 
to operate on track with a qualified cant deficiency, Eu, 
greater than 75 mm (3 inches). Each vehicle type must demonstrate in a 
ready-for-service load condition, compliance with the requirements of 
either paragraph (d)(1) or (2) of this section.
    (1) When positioned on a track with a uniform superelevation equal 
to the proposed cant deficiency:
    (i) No wheel of the vehicle unloads to a value less than 60 percent 
of its static value on perfectly level track; and
    (ii) For passenger cars, the roll angle between the floor of the 
equipment and the horizontal does not exceed 8.6 degrees; or
    (2) When operating through a constant radius curve at a constant 
speed corresponding to the proposed cant deficiency, and a test plan is 
submitted and approved by FRA in accordance with Sec.  299.609(d)--
    (i) The steady-state (average) load on any wheel, throughout the 
body of the curve, is not less than 60 percent of its static value on 
perfectly level track; and
    (ii) For passenger cars, the steady-state (average) lateral 
acceleration measured on the floor of the carbody does not exceed 0.15 
g.
    (e) The railroad shall transmit the results of the testing 
specified in paragraph (d) of this section to FRA in accordance with 
Sec. Sec.  299.9 and 299.613 requesting approval under Sec.  299.609(g) 
for the vehicle type to operate at the desired curving speeds allowed 
under the formula in paragraph (b) of this section. The request shall 
be made in writing and shall contain, at a minimum, the following 
information:
    (1) A description of the vehicle type involved, including schematic 
diagrams of the suspension system(s) and the estimated location of the 
center of gravity above top of rail; and
    (2) The test procedure, including the load condition under which 
the testing was performed, and description of the instrumentation used 
to qualify the vehicle type, as well as the maximum values for wheel 
unloading and roll angles or accelerations that were observed during 
testing.

    Note 1 to paragraph (e)(2).  The test procedure may be conducted 
whereby all the wheels on one side (right or left) of the vehicle 
are raised to the proposed cant deficiency and lowered, and then the 
vertical wheel loads under each wheel are measured and a level is 
used to record the angle through which the floor of the vehicle has 
been rotated.

    (f) Upon FRA approval of the request to approve the vehicle type to 
operate at

[[Page 14064]]

the desired curving speeds allowed under the formula in paragraph (b) 
of this section, the railroad shall notify FRA in accordance with Sec.  
299.9 in writing no less than 30 calendar days prior to the proposed 
implementation of the approved higher curving speeds allowed under the 
formula in paragraph (b) of this section. The notification shall 
contain, at a minimum, identification of the track segment(s) on which 
the higher curving speeds are to be implemented.
    (g) As used in this section, and Sec. Sec.  299.331 and 299.609, 
vehicle type means like vehicles with variations in their physical 
properties, such as suspension, mass, interior arrangements, and 
dimensions that do not result in significant changes to their dynamic 
characteristics.

Sec.  299.317   Track strength.

    (a) Track shall have a sufficient vertical strength to withstand 
the maximum vehicle loads generated at maximum permissible trainset 
speeds, cant deficiencies and surface limitations. For purposes of this 
section, vertical track strength is defined as the track capacity to 
constrain vertical deformations so that the track shall, under maximum 
load, remain in compliance with the track performance and geometry 
requirements of this part.
    (b) Track shall have sufficient lateral strength to withstand the 
maximum thermal and vehicle loads generated at maximum permissible 
trainset speeds, cant deficiencies and lateral alignment limitations. 
For purposes of this section lateral track strength is defined as the 
track capacity to constrain lateral deformations so that track shall, 
under maximum load, remain in compliance with the track performance and 
geometry requirements of this part.

Sec.  299.319   Track fixation and support.

    (a) Crossties, if used shall be of concrete or composite 
construction, unless otherwise approved by FRA under Sec.  299.15, for 
all tracks over which trainsets run in revenue service.
    (b) Each 25 m (82 feet) segment of track that contains crossties 
shall have--
    (1) A sufficient number of crossties to provide effective support 
that will--
    (i) Hold gauge within limits prescribed in Sec.  299.311;
    (ii) Maintain surface within the limits prescribed in Sec.  
299.311;
    (iii) Maintain alignment within the limits prescribed in Sec.  
299.311; and
    (iv) Maintain longitudinal rail restraint.
    (2) The minimum number and type of crossties specified in paragraph 
(b)(4) of this section and described in paragraph (c) or (d) of this 
section, as applicable, effectively distributed to support the entire 
segment;
    (3) At least one non-defective crosstie of the type specified in 
paragraphs (c) and (d) of this section that is located at a joint 
location as specified in paragraph (e) of this section; and
    (4) The minimum number of crossties as indicated in the following 
table:

                                           Table 1 to Paragraph (b)(4)
----------------------------------------------------------------------------------------------------------------
                                    Minimum number of non-defective crossties
-----------------------------------------------------------------------------------------------------------------
                                                  Other than on non-ballasted     Non-ballasted
                 Track class                           bridge & turnout              bridge          Turnout
----------------------------------------------------------------------------------------------------------------
H0...........................................  20..............................              26               24
H1...........................................  28..............................              36               33
H2...........................................  31, unless inside a TMF, then 28              36               33
H3...........................................  35..............................              40               37
H4-H7........................................  39..............................              45               41
----------------------------------------------------------------------------------------------------------------

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

[[Page 14065]]

[GRAPHIC] [TIFF OMITTED] TP10MR20.001

    (2) Each rail joint in Classes H2 and H3 track shall be supported 
by at least one crosstie specified in paragraphs (c) and (d) of this 
section whose centerline is within 0.92 m (36.2 inches) as shown in 
Figure 2 to this paragraph.
[GRAPHIC] [TIFF OMITTED] TP10MR20.002

    (3) Each rail joint in Classes H4-H7 track shall be supported by at 
least one crosstie specified in paragraphs (c) and (d) of this section 
whose centerline is within 0.64 m (25.2 inches) as shown in Figure 3 to 
this paragraph.
[GRAPHIC] [TIFF OMITTED] TP10MR20.003

    (f) In Class H3 track there shall be at least two non-defective 
ties each side of a defective tie.
    (g) In Classes H4 to H7 track and at any expansion joints there 
shall be at least three non-defective ties each side of a defective 
tie.
    (h) Defective ties shall be replaced in accordance with the 
railroad's inspection, testing, and maintenance program.
    (i) Track shall be fastened by a system of components that 
effectively maintains gauge within the limits prescribed in Sec.  
299.311. Each component of each such system shall be evaluated to 
determine whether gauge is effectively being maintained.
    (j) For track constructed without crossties, such as slab track and 
track connected directly to bridge structural components, track over 
servicing pits, etc., the track structure shall be sufficient to 
maintain the geometry limits specified in Sec.  299.311.

Sec.  299.321   Defective rails.

    (a) The railroad's inspection, testing, and maintenance program 
shall include a description of defective rails consistent with the 
practice on the Tokaido Shinkansen system. The inspection, testing, and 
maintenance program shall include identification of rail defect types, 
definition of the inspection criteria, time required for verification 
and the corresponding remedial action.

[[Page 14066]]

    (b) When the railroad learns that a rail in that track contains any 
of the defects listed in the railroad's inspection, testing, and 
maintenance program, a person designated under Sec.  299.353 or 299.355 
shall determine whether the track may continue in use. If the 
designated person determines that the track may continue in use, 
operation over the defective rail is not permitted until--
    (1) The rail is replaced or repaired; or
    (2) The remedial action prescribed in the inspection, testing, and 
maintenance program is initiated.

Sec.  299.323   Continuous welded rail (CWR) plan.

    (a) The railroad shall have in effect and comply with a plan that 
contains written procedures which address: The installation, 
adjustment, maintenance, and inspection of CWR; and inspection of CWR 
joints.
    (b) The railroad shall file its CWR plan with FRA pursuant to Sec.  
299.9. The initial CWR plan shall be filed 60 days prior to 
installation of any CWR track. The effective date of the plan is the 
date the plan is filed with FRA.
    (c) The railroad's existing plan shall remain in effect until the 
railroad's new plan is developed and filed with FRA.

Sec.  299.325   Continuous welded rail (CWR); general.

    The railroad shall comply with the contents of the CWR plan 
developed under Sec.  299.323. The plan shall contain the following 
elements--
    (a) Procedures for the installation and adjustment of CWR which 
include--
    (1) Designation of a desired rail installation temperature range 
for the geographic area in which the CWR is located;
    (2) De-stressing procedures/methods which address proper attainment 
of the desired rail installation temperature range when adjusting CWR; 
and
    (3) Glued insulated or expansion joint installation and maintenance 
procedures.
    (b) Rail anchoring, if used, or fastening requirements that will 
provide sufficient restraint to limit longitudinal rail and crosstie 
movement to the extent practical, and that specifically address CWR 
rail anchoring or fastening patterns on bridges, bridge approaches, and 
at other locations where possible longitudinal rail and crosstie 
movement associated with normally expected trainset-induced forces--is 
restricted.
    (c) CWR joint installation and maintenance procedures.
    (d) Procedures which specifically address maintaining a desired 
rail installation temperature range when cutting CWR including rail 
repairs, in-track welding, and in conjunction with adjustments made in 
the area of tight track, a track buckle, or a pull-apart.
    (e) Procedures which control trainset speed on CWR track when--
    (1) Maintenance work, track rehabilitation, track construction, or 
any other event occurs which disturbs the roadbed or ballast section 
and reduces the lateral or longitudinal resistance of the track; and
    (2) The difference between the rail temperature and the rail 
neutral temperature is in a range that causes buckling-prone conditions 
to be present at a specific location.
    (f) Procedures which prescribe when and where physical track 
inspections are to be performed under extreme temperature conditions.
    (g) Scheduling and procedures for inspections to detect cracks and 
other indications of potential failures in CWR joints.
    (h) The railroad shall have in effect a comprehensive training 
program for the application of these written CWR procedures, with 
provisions for periodic retraining for those individuals designated as 
qualified in accordance with this subpart to supervise the 
installation, adjustment, and maintenance of CWR track and to perform 
inspections of CWR track.
    (i) The plan shall prescribe and require compliance with 
recordkeeping requirements necessary to provide an adequate history of 
track constructed with CWR. At a minimum, these records shall include--
    (1) The rail laying temperature, location, and date of CWR 
installations. Each record shall be retained until the rail neutral 
temperature has been adjusted; and
    (2) A record of any CWR installation or maintenance work that does 
not conform to the written procedures. Such record must include the 
location of the rail and be maintained until the CWR is brought into 
conformance with such procedures.

Sec.  299.327   Rail end mismatch.

    Any mismatch of rails at joints may not be more than that 
prescribed by the following table:

                                            Table 1 to Sec.   299.327
----------------------------------------------------------------------------------------------------------------
                                         Any mismatch of rails at joints may not be more than the following:
            Track class             ----------------------------------------------------------------------------
                                        On the tread of the rail ends       On the gauge side of the rail ends
----------------------------------------------------------------------------------------------------------------
H0.................................                               6 mm                                     5 mm
H1-H2..............................                               4 mm                                     4 mm
H3-H7..............................                               2 mm                                     2 mm
----------------------------------------------------------------------------------------------------------------

Sec.  299.329   Rail joints and torch cut rails.

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

Sec.  299.331   Turnouts and crossings generally.

    (a) In turnouts and track crossings, the fastenings shall be intact 
and

[[Page 14067]]

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

Sec.  299.333   Frog guard rails and guard faces; gauge.

    The guard check and guard face gauges in frogs shall be within the 
limits prescribed in the following table:

                        Table 1 to Sec.   299.333
------------------------------------------------------------------------
                              Guard check gauge
                             The distance between
                             the gauge line of a   Guard face gauge  The
                              frog to the guard     distance between the
                            line \1\ of its guard     guard lines,\1\
        Track class            rail or guarding     measured across the
                            face, measured across  track at right angles
                              the track at right   to the gauge line,\2\
                             angles to the gauge   may not be more than--
                             line,\2\ may not be
                                 less than--
------------------------------------------------------------------------
H0-H7.....................  1393 mm                1358 mm
------------------------------------------------------------------------
\1\ A line along that side of the flangeway which is nearer to the
  center of the track and at the same elevation as the gauge line.
\2\ A line 14 mm (0.55 inches) below the top of the center line of the
  head of the running rail, or corresponding location of the tread
  portion of the track structure.

  [GRAPHIC] [TIFF OMITTED] TP10MR20.004
  
Sec.  299.335   Derails.

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

Sec.  299.337   Automated vehicle-based inspection systems.

    (a) A qualifying Track Geometry Measurement System (TGMS) and a 
qualifying Track Acceleration Measurement System (TAMS) shall be 
operated over the route at the following frequency:

[[Page 14068]]

    (1) For track Class H3, at least twice per calendar year with not 
less than 120 days between inspections; and
    (2) For track Classes H4, H5, H6, and H7, at least twice within any 
60-day period with not less than 12 days between inspections.
    (b) The qualifying TGMS shall meet or exceed minimum design 
requirements which specify that--
    (1) Track geometry measurements shall be taken no more than 1 meter 
(3.3 feet) away from the contact point of wheels carrying a vertical 
load of no less than 4,500 kg (10,000 lb) per wheel;
    (2) Track geometry measurements shall be taken and recorded on a 
distance-based sampling interval not exceeding 0.60 m (2 feet), 
preferably 0.30 m (1 foot);
    (3) Calibration procedures and parameters are assigned to the 
system which assures that measured and recorded values accurately 
represent track conditions. Track geometry measurements recorded by the 
system shall not differ on repeated runs at the same site at the same 
speed more than 3 mm (\1/8\ inch); and
    (4) The TGMS shall be capable of measuring and processing the 
necessary track geometry parameters to determine compliance with 
Sec. Sec.  299.311 and 299.315.
    (5) A qualifying TAMS shall be on a vehicle having dynamic response 
characteristics that are representative of other vehicles assigned to 
the service and shall--
    (i) Be operated at the revenue speed profile in accordance with 
Sec.  299.309;
    (ii) Be capable of measuring and processing carbody acceleration 
parameters to determine compliance with Carbody Acceleration Limits per 
Sec.  299.313; and
    (iii) Monitor lateral and vertical accelerations of the carbody. 
The accelerometers shall be attached to the carbody on or under the 
floor of the vehicle, as near the center of a bogie as practicable.
    (d) The qualifying TGMS and TAMS shall be capable of producing, 
within 24 hours of the inspection, output reports that--
    (1) Provide a continuous plot, on a constant-distance axis, of all 
measured track geometry and carbody acceleration parameters required in 
paragraph (b) and (c) of this section;
    (2) Provide an exception report containing a systematic listing of 
all track geometry and all acceleration conditions which constitute an 
exception to the class of track over the segment surveyed.
    (e) The output reports required under paragraph (d) of this section 
shall contain sufficient location identification information which 
enables field personnel to easily locate indicated exceptions.
    (f) Following a track inspection performed by a qualifying TGMS or 
TAMS, the railroad shall, institute remedial action for all exceptions 
to the class of track in accordance with the railroad's inspection, 
testing, and maintenance program.
    (g) The railroad shall maintain for a period of one year following 
an inspection performed by a qualifying TGMS and TAMS, a copy of the 
plot and the exception report for the track segment involved, and 
additional records which--
    (1) Specify the date the inspection was made and the track segment 
involved; and,
    (2) Specify the location, remedial action taken, and the date 
thereof, for all listed exceptions to the class.

Sec.  299.339   Daily sweeper inspection.

    A sweeper vehicle shall be operated each morning after the 
overnight maintenance over all tracks except track Class H2 in 
stations, prior to commencing revenue service over that track. The 
sweeper vehicle shall operate at a speed no greater than 120 km/h (75 
mph) to conduct a visual inspection to ensure the right-of-way is clear 
of obstacles within the clearance envelope and to identify conditions 
that could cause accidents, and shall have a minimum clearance of no 
less than 35 mm above top of rail.

Sec.  299.341   Inspection of rail in service.

    (a) Prior to revenue service the railroad shall submit written 
procedures for the inspection of rails in accordance with the 
inspection, testing, and maintenance program.
    (b) On track Classes H4 to H7, and H2 within stations, a continuous 
search for internal defects shall be made of all rail within 180 days 
after initiation of revenue service and, thereafter, at least annually, 
with not less than 240 days between inspections.
    (c) Each defective rail shall be marked with a highly visible 
marking on both sides of the rail.
    (d) Inspection equipment shall be capable of detecting defects 
between joint bars and within the area enclosed by joint bars.
    (e) If the person assigned to operate the rail defect detection 
equipment being used determines that, due to rail surface conditions, a 
valid search for internal defects could not be made over a particular 
length of track, the test on that particular length of track cannot be 
considered as a search for internal defects under this section.
    (f) When the railroad learns, through inspection or otherwise, that 
a rail in that track contains any of the defects in accordance with 
Sec.  299.321, a qualified individual designated under Sec.  299.353 or 
299.355 shall determine whether or not the track may continue in use. 
If the qualified individual so designated determines that the track may 
continue in use, operation over the defective rail is not permitted 
until--
    (1) The rail is replaced; or
    (2) The remedial action as prescribed in Sec.  299.321 has been 
taken.
    (g) The person assigned to operate the rail defect detection 
equipment must be a qualified operator as defined in this subpart and 
have demonstrated proficiency in the rail flaw detection process for 
each type of equipment the operator is assigned.

Sec.  299.343   Initial inspection of new rail and welds.

    (a) The railroad shall provide for the initial inspection of newly 
manufactured rail, and for initial inspection of new welds made in 
either new or used rail. The railroad may demonstrate compliance with 
this section by providing for--
    (1) Mill inspection. A continuous inspection at the rail 
manufacturer's mill shall constitute compliance with the requirement 
for initial inspection of new rail, provided that the inspection 
equipment meets the applicable requirements as specified under the 
railroads inspection testing and maintenance program and Sec.  299.321. 
The railroad shall obtain a copy of the manufacturer's report of 
inspection and retain it as a record until the rail receives its first 
scheduled inspection under Sec.  299.341;
    (2) Welding plant inspection. A continuous inspection at a welding 
plant, if conducted in accordance with the provisions of paragraph 
(a)(1) of this section, and accompanied by a plant operator's report of 
inspection which is retained as a record by the railroad, shall 
constitute compliance with the requirements for initial inspection of 
new rail and plant welds, or of new plant welds made in used rail; and
    (3) Inspection of field welds. Initial inspection of new field 
welds, either those joining the ends of CWR strings or those made for 
isolated repairs, shall be conducted before the start of revenue 
service in accordance with the railroad's inspection, testing, and 
maintenance program. The initial inspection may be conducted by means 
of portable test equipment. The railroad shall retain a record of such 
inspections until the

[[Page 14069]]

welds receive their first scheduled inspection under Sec.  299.341.
    (b) Each defective rail found during inspections conducted under 
paragraph (a)(3) of this section shall be marked with highly visible 
markings on both sides of the rail and the appropriate remedial action 
as set forth in Sec.  299.341 will apply.

Sec.  299.345   Visual inspections; right of way.

    (a) General. All track shall be visually inspected in accordance 
with the schedule prescribed in paragraph (c) of this section by an 
individual qualified under this subpart. The visual inspection shall be 
conducted in accordance with the requirements set forth in the 
inspection, testing, and maintenance program under subpart G of this 
part.
    (b) Inspection types and frequency--(1) Safe walkway inspection. 
Except for track located inside trainset maintenance facilities and MOW 
yards and the associated portions of the right-of-way, the right-of-way 
and all track shall be inspected from the safe walkway during daytime 
hours, in accordance with the following conditions:
    (i) Ballasted track shall be inspected at least once every two 
weeks, with a minimum of six calendar days in between inspections.
    (ii) Non-ballasted track shall be inspected at least once every 
four weeks, with a minimum of twelve calendar days in between 
inspections.
    (iii) No two consecutive visual inspections from the safe walkway 
shall be performed from the same safe walkway. Safe walkway inspections 
shall alternate between safe walkways on each side of the right-of-way.
    (iv) In stations, the safe walkway inspection may be performed from 
either the safe walkway or the station platform.
    (v) An additional on-track visual inspection conducted during 
maintenance hours under paragraph (b)(2) of this section performed in 
place of a visual inspection from the safe walkway under paragraph 
(b)(1) of this section will satisfy the visual inspection requirement 
of paragraph (b)(1) of this section. However, a safe walkway visual 
inspection performed under paragraph (b)(1) of this section cannot 
replace an on-track visual inspection conducted during maintenance 
hours under paragraph (b)(2) of this section.
    (vi) Except for paragraph (b)(2)(v) of this section, inspections 
performed under paragraph (b)(1) of this section shall not occur during 
the same week as inspections performed under paragraph (b)(2) of this 
section.
    (2) On-track inspections; other than trainset maintenance 
facilities and MOW yards. Except for track located inside trainset 
maintenance facilities and MOW yards and the associated portions of the 
right-of-way, on-track visual inspections, conducted on foot during 
maintenance hours, shall be performed on all track in accordance with 
the following conditions:
    (i) Ballasted track shall be inspected at least once every two 
weeks, with a minimum of six calendar days in between inspections.
    (ii) Non-ballasted track shall be inspected at least once every 
four weeks, with a minimum of twelve calendar days in between 
inspections.
    (iii) Turn-outs and track crossings shall be inspected at least 
once a week, with a minimum of three calendar days in between 
inspections.
    (3) On-track inspections; trainset maintenance facilities and MOW 
yards. For track located inside trainset maintenance facilities and MOW 
yards and the associated portions of the right-of-way, including turn-
outs and track crossings, on-track visual inspections, conducted on 
foot during maintenance hours, shall be performed on all track in 
accordance with the following conditions:
    (i) Ballasted track shall be inspected at least twice during any 
60-day period, with a minimum of twelve calendar days in between 
inspections.
    (ii) Non-ballasted track shall be inspected at least twice within 
any 120-day period, with a minimum of twenty-four calendar days in 
between inspections.
    (4) Visual inspections from trainset cab. Visual inspections from 
trainset cab shall be performed for the right-of-way and track for 
track Class H3 and above, except of track leading to a trainset 
maintenance facility, at least twice weekly with a minimum of two 
calendar days between inspections.
    (c) If a deviation from the requirements of this subpart is found 
during the visual inspection, remedial action shall be initiated 
immediately in accordance with the railroad's inspection, testing, and 
maintenance program required under subpart G of this part.

Sec.  299.347   Special inspections.

    In the event of fire, flood, severe storm, temperature extremes, or 
other occurrence which might have damaged track structure, a special 
inspection shall be made of the track and right-of-way involved as soon 
as possible after the occurrence, prior to the operation of any 
trainset over that track.

Sec.  299.349   Inspection records.

    (a) The railroad shall keep a record of each inspection required to 
be performed on that track under this subpart.
    (b) Except as provided in paragraph (f) of this section, each 
record of an inspection under Sec. Sec.  299.325 and 299.345 shall be 
prepared on the day the inspection is made and signed by the person 
making the inspection.
    (c) Records shall specify the track inspected, date of inspection, 
location, and nature of any deviation from the requirements of this 
part, name of qualified individual who made the inspection, and the 
remedial action, if any, taken by the person making the inspection.
    (d) Rail inspection records shall specify the date of inspection, 
the location and nature of any internal defects found, name of 
qualified individual who made the inspection, the remedial action taken 
and the date thereof, and the location of any intervals of track not 
tested pursuant to Sec.  299.341 of this part. The railroad shall 
retain a rail inspection record for at least two years after the 
inspection and for one year after remedial action is taken.
    (e) The railroad shall make inspection records required by this 
section available for inspection and copying by the FRA.
    (f) For purposes of compliance with the requirements of this 
section, the railroad may maintain and transfer records through 
electronic transmission, storage, and retrieval provided that--
    (1) The electronic system is compliant with the requirements of 
Sec.  299.11;
    (2) The electronic storage of each record shall be initiated by the 
person making the inspection within 24 hours following the completion 
of that inspection;
    (3) Track inspection records shall be kept available to persons who 
performed the inspection and to persons performing subsequent 
inspections.
    (g) Each track/vehicle performance record required under Sec.  
299.337 shall be made available for inspection and copying by the FRA.

Sec.  299.351   Qualifications for track maintenance and inspection 
personnel.

    (a) General. The railroad shall designate qualified individuals 
responsible for the maintenance and inspection of track in compliance 
with the safety requirements prescribed in this subpart. Each 
designated individual, including contractors and their employees, must 
meet the minimum qualifications set forth in this subpart.

[[Page 14070]]

    (b) Recordkeeping. In addition to the requirements contained in 
Sec.  243.203 of this chapter, the railroad shall also maintain, with 
respect to the designation of individuals under this subpart, the track 
inspection records made by each individual as required by Sec.  
299.347.

Sec.  299.353   Personnel qualified to supervise track restoration and 
renewal.

    Each individual designated to supervise restorations and renewals 
of track, shall have--
    (a) Successfully completed a course offered by the employer or by a 
college level engineering program, supplemented by special on-the-job 
training emphasizing the techniques to be employed in the supervision, 
restoration, and renewal of high-speed track;
    (b) Demonstrated to the railroad, at least once per calendar year, 
that the individual--
    (1) Knows and understands the requirements of this subpart that 
apply to the restoration and renewal of the track for which he or she 
is responsible;
    (2) Can detect deviations from those requirements; and,
    (3) Can prescribe appropriate remedial action to correct or safely 
compensate for those deviations.
    (c) Written authorization from the railroad or the employer to 
prescribe remedial actions to correct or safely compensate for 
deviations from the requirements of this subpart and shall have 
successfully completed a recorded examination on this subpart as part 
of the qualification process.

Sec.  299.355   Personnel qualified to inspect track.

    Each individual designated to inspect track for defects, shall 
have--
    (a) Successfully completed a course offered by the railroad or by a 
college level engineering program, supplemented by special on-the-job 
training emphasizing the techniques to be employed in the inspection of 
high-speed track;
    (b) Demonstrated to the railroad, at least once per calendar year, 
that the individual--
    (1) Knows and understands the requirements of this subpart that 
apply to the inspection of the track for which he or she is 
responsible;
    (2) Can detect deviations from those requirements; and,
    (3) Can prescribe appropriate remedial action to correct or safely 
compensate for those deviations.
    (c) Written authorization from the railroad or the employer to 
prescribe remedial actions to correct or safely compensate for 
deviations from the requirements in this subpart and shall have 
successfully completed a recorded examination on this subpart as part 
of the qualification process.

Sec.  299.357   Personnel qualified to inspect and restore continuous 
welded rail.

    Individuals designated under Sec.  299.353 or 299.355 that inspect 
continuous welded rail (CWR) or supervise the installation, adjustment, 
and maintenance of CWR in accordance with the written procedures 
established by the railroad shall have--
    (a) Current qualifications under either Sec.  299.353 or 299.355;
    (b) Successfully completed a training course of at least eight 
hours duration specifically developed for the application of written 
CWR procedures issued by the railroad;
    (c) Demonstrated to the railroad that the individual--
    (1) Knows and understands the requirements of those written CWR 
procedures;
    (2) Can detect deviations from those requirements;
    (3) Can prescribe appropriate remedial action to correct or safely 
compensate for those deviations.
    (d) Written authorization from the railroad or the employer to 
prescribe remedial actions to correct or safely compensate for 
deviations from the requirements in those procedures and must have 
successfully completed a recorded examination on those procedures as 
part of the qualification process. The recorded examination may be 
written, or in the form of a computer file with the results of an 
interactive training course.

Subpart D--Rolling Stock

Sec.  299.401   Clearance requirements.

    (a) General. The rolling stock shall be designed to meet all 
applicable clearance requirements of the railroad. The railroad shall 
make its clearance diagrams available to FRA upon request.
    (b) Clearance above top of rail. No part or appliance of a trainset 
except the wheels, sander tips, wheel guards, and other components 
designed to be in the path of the wheel (i.e., above the rail and 
aligned inside the wheel width path) may be less than 60 mm (2.36 
inches) above the top of rail.
    (c) Obstacle deflector. The leading end of a trainset shall be 
equipped with an obstacle deflector that extends across both rails of 
the track. The minimum clearance above the rail of the obstacle 
deflector shall be 76 mm (3 inches), and the maximum clearance shall be 
229 mm (9 inches).
    (d) Flexible wheel guards. The lead axle of a trainset shall be 
equipped with flexible wheel guards mounted on the bogie below the 
primary suspension with a maximum clearance above the rail of 15 mm 
(0.59 inches).

Sec.  299.403   Trainset structure.

    (a) Occupied volume integrity. To demonstrate resistance to loss of 
occupied volume, the trainsets shall comply with both the compression 
load requirement in paragraph (b) of this section and the dynamic 
collision requirements in paragraph (c) of this section.
    (b) Compression load requirement. The end compression load shall be 
applied to the vehicle as defined in JIS E 7105:2006 as amended by JIS 
E 7105:2011 (all incorporated by reference, see Sec.  299.17), with an 
end load magnitude no less than 980 kN (220,300 lbf) without permanent 
deformation of the occupied volume.
    (c) Dynamic collision scenario. In addition to the requirements of 
paragraph (b) of this section, occupied volume integrity shall also be 
demonstrated for the trainset through an evaluation of a dynamic 
collision scenario in which a moving trainset impacts a proxy object 
under the following conditions:
    (1) The initially-moving trainset is made up of the equipment 
undergoing evaluation at its AW0 ready-to-run weight;
    (2) The scenario shall be evaluated on tangent, level track;
    (3) The trainset shall have an initial velocity of 32 km/h (20 mph) 
and shall not be braked;
    (4) The proxy object shall have the following characteristics:
    (i) The object shall be a solid circular cylinder that weighs 6350 
kg (14,000 pounds);
    (ii) The object shall have a width of 914 mm (36 inches) and a 
diameter of 1219 mm (48 inches);
    (iii) The axis of the cylinder shall be perpendicular to the 
direction of trainset motion and parallel to the ground; and
    (iv) The center of the object shall be located 762 mm (30 inches) 
above the top of the underframe.
    (5) Collision configurations. Two collision configurations shall be 
evaluated.
    (i) The center of the object shall be located 483 mm (19 inches) 
from the longitudinal centerline of the trainset; and
    (ii) The center of the object shall be aligned with the side of the 
cab car at the point of maximum width.
    (6) Model validation. The model used to demonstrate compliance with 
the

[[Page 14071]]

dynamic collision requirements must be validated. Model validation 
shall be demonstrated and submitted to FRA for review and approval.
    (7) Dynamic collision requirements. As a result of the impact 
described in paragraphs (c)(5)(i) and (ii) of this section--
    (i) One of the following two conditions must be met for the 
occupied volume:
    (A) There shall be no more than 254 mm (10 inches) of longitudinal 
permanent deformation; or
    (B) Global vehicle shortening shall not exceed 1 percent over any 
4.6 m (15-feet) length of occupied volume.
    (ii) Compliance with each of the following conditions shall also be 
demonstrated for the cab after the impact:
    (A) Each seat provided for an employee regularly assigned to occupy 
the cab, and any floor-mounted seat in the cab, shall maintain a 
survival space where there is no intrusion for a minimum of 305 mm (12 
inches) from each edge of the seat. Walls or other items originally 
within this defined space shall not further intrude more than 38 mm 
(1.5 inches) towards the seat under evaluation.
    (B) There shall be a clear exit path for the occupants of the cab;
    (C) The vertical height of the cab (floor to ceiling) shall not be 
reduced by more than 20 percent; and
    (D) The operating console shall not have moved closer to the 
driver's seat by more than 51 mm (2 inches).
    (d) Equipment override. (1) Using the dynamic collision scenarios 
described in paragraph (c) of this section, and with all units in the 
trainset are positioned at their nominal running heights, the anti-
climbing performance shall be evaluated for each of the following sets 
of initial conditions:
    (2) For the initial conditions specified in paragraphs (c)(1) 
through (3) of this section, compliance with the following conditions 
shall be demonstrated after a dynamic impact:
    (i) The relative difference in elevation between the underframes of 
the connected equipment shall not change by more than 102 mm (4 
inches); and
    (ii) The tread of any wheel of the trainset shall not rise above 
the top of rail by more than 102 mm (4 inches).
    (e) Roof and side structure integrity. To demonstrate roof and side 
structure integrity, each passenger car shall comply with the 
following:
    (1) Rollover strength. (i) Each passenger car shall be designed to 
rest on its side and be uniformly supported at the top and bottom cords 
of the vehicle side. The allowable stress in the structural members of 
the occupied volumes for this condition shall be one-half yield or one-
half the critical buckling stress, whichever is less. Local yielding to 
the outer skin of the passenger car is allowed provided that the 
resulting deformations in no way intrude upon the occupied volume of 
the car.
    (ii) Each passenger car shall also be designed to rest on its roof 
so that any damage in occupied areas is limited to roof extrusions. 
Other than roof extrusions, the allowable stress in the structural 
members of the occupied volumes for this condition shall be one-half 
yield or one-half the critical buckling stress, whichever is less. 
Local yielding to the outer skin, including the floor structure, of the 
car is allowed provided that the resulting deformations in no way 
intrude upon the occupied volume of the car. Deformation to the roof 
extrusions is allowed to the extent necessary to permit the vehicle to 
be supported directly on the top chords of the sides and ends.
    (2) Side structure. (i) The sum of the section moduli about a 
longitudinal axis, taken at the weakest horizontal section between the 
side sill and roof, of the extrusions on each side of the car located 
between the inside edge of the doors shall be not less than 3.95x105 
mm\3\ (24.1 in\3\).
    (ii) The sum of the section moduli about a transverse axis, taken 
at the weakest horizontal section on each side of the car located 
between body corners shall be not less than 2.64x105 mm\3\ (16.1 
in\3\).
    (iii) The minimum section moduli or thicknesses specified in 
paragraph (f)(2)(i) of this section shall be adjusted in proportion to 
the ratio of the yield strength of the material used to a value of 172 
MPa (25 ksi).
    (iv) The combined thickness of the skin of the side structure 
extrusions shall not be less than 3 mm (0.125 inch) nominal thickness. 
The thicknesses shall be adjusted in proportion to the ratio of the 
yield strength of the material used to a value of 172 MPa (25 ksi).
    (f) Bogie-to-carbody attachment. (1) The bogie-to-carbody 
attachment shall utilize the service proven design as used on the N700.
    (2) The bogie shall be securely attached to the carbody and 
designed to operate without failure under the operating conditions of 
the railroad, including expected mechanical shocks and vibrations.

Sec.  299.405   Trainset interiors.

    (a) Interior fittings. Interior fittings of trainsets shall be--
    (1) Securely attached and designed to operate without failure under 
the conditions typically found in passenger rail equipment including 
expected mechanical vibrations, and shock.
    (2) To the extent possible, all interior fittings shall be recessed 
or flush mounted. Corners and/or sharp edges shall be either avoided or 
padded to mitigate the consequence of impact with such surfaces.
    (b) Luggage stowage. (1) Luggage stowage racks shall slope downward 
in the outboard direction at a minimum ratio of 1:8 with respect to a 
horizontal plane to provide lateral restraint for stowed articles.
    (2) Luggage stowage compartments shall provide longitudinal 
restraint for stowed articles.

Sec.  299.407   Glazing.

    (a) General. The railroad shall install glazing systems compliant 
with the requirements defined in this section.
    (b) Trainset glazing; end-facing. (1) Each end-facing exterior 
window of the trainset shall comply with the requirements for large 
object and ballistic impact scenarios as defined in this section.
    (2) Each end-facing exterior window of the trainset shall 
demonstrate compliance with the following requirements for the large 
object impact test.
    (i) The glazing article shall be impacted with a cylindrical 
projectile that complies with the following design specifications as 
depicted in Figure 6 to paragraph (b)(2)(i)(D) of this section:
    (A) The projectile shall be constructed of aluminum alloy such as 
ISO 6362-2:1990, grade 2017A, or its demonstrated equivalent;
    (B) The projectile end cap shall be made of steel;
    (C) The projectile assembly shall weigh 1 kilogram (kg) (-0, +0.020 
kg) or 2.2 lbs (-0, +0.044 lbs) and shall have a hemispherical tip. 
Material may be removed from the interior of the aluminum portion to 
adjust the projectile mass according to the prescribed tolerance. The 
hemispherical tip shall have a milled surface with 1 mm (0.04 inches) 
grooves; and
    (D) The projectile shall have an overall diameter of 94 mm (3.7 
inches) with a nominal internal diameter of 70 mm (2.76 inches).

[[Page 14072]]

[GRAPHIC] [TIFF OMITTED] TP10MR20.005

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

[[Page 14073]]

projectile test under the following conditions:
    (i) An annealed aluminum witness plate of maximum thickness 0.15 mm 
(0.006 inches) and of dimension 500 mm by 500 mm (19.7 by 19.7 inches) 
is placed vertically behind the sample under test, at a horizontal 
distance of 500 mm (19.7 inches) from the point of impact in the 
direction of travel of the projectile or the distance between the point 
of impact of the projectile and the location of the driver's eyes in 
the driver's normal operating position, whichever is less. The center 
of the witness plate is aligned with the point of impact.
    (ii) Spalling performance shall be deemed satisfactory if the 
aluminum witness plate is not marked.
    (iii) For the purposes of this part, materials used specifically to 
protect the cab occupants from spall (i.e., spall shields) shall not be 
required to meet the flammability and smoke emission performance 
requirements of Sec.  299.413.
    (5) Each end-facing exterior window in a cab shall, at a minimum, 
provide ballistic penetration resistance that meets the requirements of 
appendix A to part 223 of this chapter.
    (c) Trainset glazing; side-facing. Except as provided in paragraph 
(d) of this section, each side-facing exterior window in a trainset 
shall comply with the requirements for Type II glazing as defined in 
part 223 of this chapter or other alternative standard approved by FRA.
    (d) Side-facing breakable glazing. A side-facing exterior window 
intended to be breakable and serve as an emergency window exit may 
comply with an alternative standard approved for use by FRA under Sec.  
299.15.
    (e) Certification of Glazing Materials. Glazing materials shall be 
certified in accordance with the following procedures:
    (1) Each manufacturer that provides glazing materials, intended by 
the manufacturer for use in achieving compliance with the requirements 
of this subpart, shall certify that each type of glazing material being 
supplied for this purpose has been successfully tested in accordance 
with this section and that test verification data are available to the 
railroad or to FRA upon request.
    (2) Tests performed on glazing materials for compliance with this 
part shall be conducted by either--
    (i) An independent third party (lab, facility, underwriter); or
    (ii) The glazing manufacturer, providing FRA with the opportunity 
to witness all tests by written notice, a minimum of 30 days prior to 
testing.
    (3) Any glazing material certified to meet the requirements of this 
part shall be re-certified if any change is made to the glazing that 
may affect its mechanical properties or its mounting arrangement on the 
vehicle.
    (4) All certification/re-certification documentation shall be made 
available to FRA upon request. The test verification data shall contain 
all pertinent original data logs and documentation that the selection 
of material samples, test set-ups, test measuring devices, and test 
procedures were performed by qualified individuals using recognized and 
acceptable practices and in accordance with this section.
    (5) Glazing shall be marked in the following manner:
    (i) Each end-facing exterior window in a cab shall be permanently 
marked, prior to installation, in such a manner that the marking is 
clearly visible after the material has been installed. The marking 
shall include:
    (A) The words ``FRA TYPE IHS'' to indicate that the material meets 
the requirements specified in paragraph (b) of this section;
    (B) The manufacturer of the material; and
    (C) The type or brand identification of the material.
    (ii) Each side-facing exterior window in a trainset shall be 
permanently marked, prior to installation, in such a manner that the 
marking is clearly visible after the material has been installed. The 
marking shall include:
    (A) The words ``FRA TYPE II'' to indicate that the material meets 
the requirements specified in paragraph (c) of this section;
    (B) The manufacturer of the material; and
    (C) The type or brand identification of the material.
    (f) Glazing securement. Each exterior window shall remain in place 
when subjected to--
    (1) The forces due to air pressure differences caused when two 
trainsets pass at the minimum separation for two adjacent tracks, while 
traveling in opposite directions, each trainset traveling at the 
maximum approved trainset speed in accordance with Sec.  299.609(g); 
and
    (2) The impact forces that the exterior window is required to 
resist as specified in this section.

Sec.  299.409   Brake system.

    (a) General. The railroad shall demonstrate through analysis and 
testing the maximum safe operating speed for its trainsets that results 
in no thermal damage to equipment or infrastructure during normal 
operation of the brake system.
    (b) Minimum performance requirement for brake system. Each 
trainset's brake system, under the worst-case adhesion conditions as 
defined by the railroad, shall be capable of stopping the trainset from 
its maximum operating speed within the signal spacing existing on the 
track over which the trainset is operating.
    (c) Urgent brake system. A trainset shall be provided with an 
urgent brake application feature that produces an irretrievable stop. 
An urgent brake application shall be available at any time, and shall 
be initiated by an unintentional parting of the trainset or by the 
trainset crew from the conductor rooms.
    (d) Application/release indication. The brake system shall be 
designed so that an inspector may determine whether the brake system is 
functioning properly without being placed in a dangerous position on, 
under or between the equipment. This determination may be made through 
automated monitoring system that utilizes sensors to verify that the 
brakes have been applied and released.
    (e) Passenger brake alarm. (1) A means to initiate a passenger 
brake alarm shall be provided at two locations in each unit of a 
trainset. The words ``Passenger Brake Alarm'' shall be legibly 
stenciled or marked on each device or on an adjacent badge plate.
    (2) All passenger brake alarms shall be installed so as to prevent 
accidental activation.
    (3) When a passenger brake alarm is activated, it shall initiate an 
emergency brake application. The emergency brake application can be 
overridden by the driver so that the trainset can be stopped at a safe 
location.
    (4) To retrieve the emergency brake application described in 
paragraph (e)(3) of this section, the driver must activate appropriate 
controls to issue a command for brake application as specified in the 
railroad's operating rules.
    (f) Degraded brake system performance. The following requirements 
address degraded brake system performance on the railroad's high-speed 
trainsets--
    (1) Loss of power or failure of regenerative brake shall not result 
in exceeding the allowable stopping distance as defined by the 
railroad;
    (2) The available friction braking shall be adequate to stop the 
trainset safely under the operating conditions defined by the railroad;

[[Page 14074]]

    (3) The operational status of the trainset brake system shall be 
displayed for the driver in the operating cab; and
    (4) Under Sec.  299.607(b)(5), the railroad shall demonstrate 
through analysis and testing the maximum speed for safely operating its 
trainsets using only the friction brake system with no thermal damage 
to equipment or infrastructure. The analysis and testing shall also 
determine the maximum safe operating speed for various percentages of 
operative friction brakes.
    (g) Main reservoir system. The main reservoirs in a trainset shall 
be designed and tested to meet the requirements set forth in JIS B 8265 
(incorporated by reference, see Sec.  299.17). Reservoirs shall be 
certified based on their size and volume requirements.
    (h) Main reservoir tests. Prior to initial installation, each main 
reservoir shall be subjected to a pneumatic or hydrostatic pressure 
test based on the maximum working pressure defined in paragraph (g) of 
this section unless otherwise established by the railroad's mechanical 
officer. Records of the test date, location, and pressure shall be 
maintained by the railroad for the life of the equipment. Periodic 
inspection requirements for main reservoirs shall be defined in the 
railroad's inspection, testing, and maintenance program required by 
Sec.  299.445.
    (i) Brake gauges. All mechanical gauges and all devices providing 
electronic indication of air pressure that are used by the driver to 
aid in the control or braking of a trainset shall be located so that 
they can be conveniently read from the driver's normal position during 
operation of the trainset.
    (j) Brake application/release. (1) Brake actuators shall be 
designed to provide brake pad clearance when the brakes are released.
    (2) The minimum brake cylinder pressure shall be established to 
provide adequate adjustment from minimum service to emergency for 
proper trainset operation.
    (k) Leakage. The method of inspection for main reservoir pipe and 
brake cylinder pipe leakage shall be prescribed in the railroad's 
inspection, testing, and maintenance program required by Sec.  299.445.
    (l) Slide alarm. (1) A trainset shall be equipped with an adhesion 
control system designed to automatically adjust the braking force on 
each wheel to prevent sliding during braking.
    (2) A wheel slide alarm that is visual or audible, or both, shall 
alert the driver in the operating cab to wheel-slide conditions on any 
axle of the trainset.
    (3) Operating restrictions for a trainset with wheel slide 
protection devices that are not functioning as intended shall be 
defined by the railroad under its requirements for movement of 
defective equipment required by Sec.  299.447, and within the 
railroad's operating rules, as appropriate.
    (m) Monitoring and diagnostic system. Each trainset shall be 
equipped with a monitoring and diagnostic system that is designed to 
automatically assess the functionality of the brake system for the 
entire trainset. Details of the system operation and the method of 
communication of brake system functionality prior to the dispatch of 
the trainset shall be described in detail in the railroad's Operating 
Rules and inspection, testing, and maintenance program required by 
Sec.  299.445.
    (n) Trainset securement. Each trainset shall be equipped with a 
means of securing the equipment, independent of the friction brake, on 
the grade condition defined by the railroad. The railroad's operating 
rules shall define procedures for trainset securement and the railroad 
shall demonstrate that these procedures effectively secure the 
equipment in accordance with Sec.  299.607(b)(5).
    (o) Rescue operation; brake system. A trainset's brake system shall 
be designed so as to allow a rescue vehicle or trainset to control its 
brakes when the trainset is disabled.

Sec.  299.411   Bogies and suspension system.

    (a) Wheel climb. (1) Suspension systems shall be designed to 
reasonably prevent wheel climb, wheel unloading, rail rollover, rail 
shift, and a vehicle from overturning to ensure safe, stable 
performance and ride quality. These requirements shall be met--
    (i) In all operating environments, and under all track conditions 
and loading conditions as determined by the railroad; and
    (ii) At all track speeds and over all track qualities consistent 
with the requirements in subpart C of this part, up to the maximum 
trainset speed and maximum cant deficiency of the equipment in 
accordance with Sec.  299.609(g).
    (2) All passenger equipment shall meet the safety performance 
standards for suspension systems contained in Sec.  299.609(h). In 
particular--
    (i) Vehicle/track system qualification. All trainsets shall 
demonstrate safe operation during pre-revenue service qualification in 
accordance with Sec.  299.609 and is subject to the requirements of 
Sec.  299.313.
    (ii) Revenue service operation. All passenger equipment in service 
is subject to the requirements of Sec.  299.313.
    (b) Lateral accelerations. The trainsets shall not operate under 
conditions that result in a steady-state lateral acceleration greater 
than 0.15g, as measured parallel to the car floor inside the passenger 
compartment.
    (c) Journal bearing overheat sensors. Bearing overheat sensors 
shall be provided on all journal bearings on each trainset.

Sec.  299.413   Fire safety.

    (a) General. All materials used in constructing the interior of the 
trainset shall meet the flammability and smoke emission characteristics 
and testing standards contained in appendix B to part 238 of this 
chapter. For purposes of this section, the interior of the trainset 
includes walls, floors, ceilings, seats, doors, windows, electrical 
conduits, air ducts, and any other internal equipment.
    (b) Certification. The railroad shall require certification that a 
representative sample of combustible materials to be--
    (1) Used in constructing a passenger car or a cab, or
    (2) Introduced in a passenger car or a cab, as part of any kind of 
rebuild, refurbishment, or overhaul of the car or cab, has been tested 
by a recognized independent testing laboratory and that the results 
show the representative sample complies with the requirements of 
paragraph (a) of this section at the time it was tested.
    (c) Fire safety analysis. The railroad shall ensure that fire 
safety considerations and features in the design of the trainsets 
reduce the risk of personal injury caused by fire to an acceptable 
level in its operating environment using a formal safety methodology. 
To this end, the railroad shall complete a written fire safety analysis 
for the passenger equipment being procured. In conducting the analysis, 
the railroad shall--
    (1) Identify, analyze, and prioritize the fire hazards inherent in 
the design of the equipment.
    (2) Take effective steps to design the equipment and select 
materials which help provide sufficient fire resistance to reasonably 
ensure adequate time to detect a fire and safely evacuate the 
passengers and crewmembers, if a fire cannot be prevented. Factors to 
consider include potential ignition sources; the type, quantity, and 
location of the materials; and availability of rapid and safe egress to 
the exterior of the equipment under conditions secure from fire, smoke, 
and other hazards.
    (3) Reasonably ensure that a ventilation system in the equipment

[[Page 14075]]

does not contribute to the lethality of a fire.
    (4) Identify in writing any trainset component that is a risk of 
initiating fire and which requires overheat protection. An overheat 
detector shall be installed in any component when the analysis 
determines that an overheat detector is necessary.
    (5) Identify in writing any unoccupied trainset compartment that 
contains equipment or material that poses a fire hazard, and analyze 
the benefit provided by including a fire or smoke detection system in 
each compartment so identified. A fire or smoke detector shall be 
installed in any unoccupied compartment when the analysis determines 
that such equipment is necessary to ensure sufficient time for the safe 
evacuation of passengers and crewmembers from the trainset. For 
purposes of this section, an unoccupied trainset compartment means any 
part of the equipment structure that is not normally occupied during 
operation of the trainset, including a closet, baggage compartment, 
food pantry, etc.
    (6) Determine whether any occupied or unoccupied space requires a 
portable fire extinguisher and, if so, the proper type and size of the 
fire extinguisher for each location. As required by Sec.  239.101 of 
this chapter, each passenger car is required to have a minimum of one 
portable fire extinguisher. If the analysis performed indicates that 
one or more additional portable fire extinguishers are needed, such 
shall be installed.
    (7) Analyze the benefit provided by including a fixed, automatic 
fire-suppression system in any unoccupied trainset compartment that 
contains equipment or material that poses a fire hazard, and determine 
the proper type and size of the automatic fire-suppression system for 
each such location. A fixed, automatic fire-suppression system shall be 
installed in any unoccupied compartment when the analysis determines 
that such equipment is practical and necessary to ensure sufficient 
time for the safe evacuation of passengers and crewmembers from the 
trainset.
    (8) Explain how safety issues are resolved in the design of the 
equipment and selection of materials to reduce the risk of each fire 
hazard.
    (9) Describe the analysis and testing necessary to demonstrate that 
the fire protection approach taken in the design of the equipment and 
selection of materials meets the fire protection requirements of this 
part.
    (d) Inspection, testing, and maintenance. The railroad shall 
develop and adopt written procedures for the inspection, testing, and 
maintenance of all fire safety systems and fire safety equipment on the 
passenger equipment it operates under Sec.  299.445(b), and subpart G 
of this part. The railroad shall comply with those procedures that it 
designates as mandatory for the safety of the equipment and its 
occupants.

Sec.  299.415   Doors.

    (a) Each powered, exterior side door in a vestibule that is 
partitioned from the passenger compartment of a trainset shall have a 
manual override device that is--
    (1) Capable of releasing the door to permit it to be opened without 
power.
    (2) Located such that--
    (i) Interior access is provided adjacent to each manual door 
release mechanism; and,
    (ii) Exterior access is provided on each side of each car.
    (3) Designed and maintained so that a person may readily access and 
operate the override device without requiring the use of a tool or 
other implement.
    (4) The railroad may protect a manual override device used to open 
a powered, exterior door with a cover or a screen.
    (5) When a manual override device is activated, door panel 
friction, including seals and hangers, shall allow the doors to be 
opened or closed manually with as low a force as practicable.
    (6) The emergency release mechanism shall require manual reset.
    (b) Each passenger car shall have a minimum of one exterior side 
door per side. Each such door shall provide a minimum clear opening 
with dimensions of 813 mm (32 inches) horizontally by 1850 mm (72.8 
inches) vertically.
    (c) Door exits shall be marked, and instructions provided for their 
use, as specified in Sec.  299.423.
    (d) All doors intended for access by emergency responders shall be 
marked, and instructions provided for their use, as specified in Sec.  
299.423.
    (e) Vestibule doors and other interior doors intended for passage 
through a passenger car.
    (1) General. Except for a door providing access to a control 
compartment each powered vestibule door and any other powered interior 
door intended for passage through a passenger car shall have a manual 
override device that conforms with the requirements of paragraphs 
(e)(2) and (3) of this section.
    (2) Manual override devices. Each manual override device shall be:
    (i) Capable of releasing the door to permit it to be opened without 
power;
    (ii) Located adjacent to the door it controls; and
    (iii) Designed and maintained so that a person may readily access 
and operate the override device from each side of the door without the 
use of a tool or other implement.
    (3) Marking and instructions. Each manual override device and each 
retention mechanism shall be marked, and instructions provided for 
their use, as specified in Sec.  299.423.
    (f) The status of each powered, exterior side door in a passenger 
car shall be displayed to the driver in the operating cab. Door 
interlock sensors shall be provided to detect trainset motion and shall 
be nominally set to operate at 5 km/h.
    (g) All powered exterior side passenger doors shall:
    (1) Be equipped with the service-proven door safety system utilized 
by the N700 or an alternate door safety system designed subject to a 
Failure Modes, Effects, Criticality Analysis (FMECA);
    (2) Be designed with an obstruction detection system capable of 
detecting a rigid flat bar, 6.4 mm (\1/4\ inches) wide and 76 mm (3 
inches) high and a rigid rod, 9.5 mm (\3/8\ inches) in diameter;
    (3) Incorporate an obstruction detection system sufficient to 
detect large obstructions;
    (4) Be designed so that activation of a door by-pass feature does 
not affect the operation of the obstruction detection system on all the 
other doors on the trainset;
    (5) The door control station shall be located in a secured area 
that is only accessible to crewmembers or maintenance personnel;
    (6) The door open or closed circuit shall not be affected by the 
throttle position; and,
    (7) Discrete, dedicated trainlines shall be used for door-open and 
door-close commands, door-closed summary circuit, and no motion, if 
trainlined.
    (h) All powered exterior side door systems in a trainset shall:
    (1) Be designed with a door summary circuit. The door summary 
circuit shall be connected or interlocked to prohibit the trainset from 
developing tractive power if an exterior side door in a passenger car, 
other than a door under the direct physical control of a crewmember for 
his or her exclusive use, is not closed;
    (2) Be connected to side door status indicators located on the 
exterior of each unit of the trainset;
    (3) Be connected to a door summary status indicator that is readily 
viewable to the driver from his or her normal position in the operating 
cab;
    (4) If equipped with a trainset-wide door by-pass device, be 
designed so that the trainset-wide door by-pass functions

[[Page 14076]]

only when activated from the operating cab of the trainset;
    (5) A lock (cut-out/lock-out) mechanism shall be installed at each 
door panel to secure a door in the closed and locked position. When the 
lock mechanism is utilized to secure the door in the closed position, a 
door-closed indication shall be provided to the door summary circuit; 
and,
    (6) A crew key or other secure device shall be required to lock-out 
an exterior side door to prevent unauthorized use.
    (i)(1) Visual inspections and functional tests. The inspection and 
functional tests required for the door safety system, including the 
trainset-wide by-pass verification, shall be conducted in accordance 
with the railroad's trainset inspection, testing, and maintenance 
program in accordance with Sec.  299.445, and operating rules under 
subpart E.
    (2) Face-to-face relief. Crewmembers taking control of a trainset 
do not need to perform a visual inspection or a functional test of the 
door by-pass devices in cases of face-to-face relief of another 
trainset crew and notification by that crew as to the functioning of 
the door by-pass devices.
    (j) The railroad shall maintain a record of each door by-pass 
activation and each unintended opening of a powered exterior side door, 
including any repair(s) made, in the defect tracking system as required 
by Sec.  299.445(h).

Sec.  299.417   Emergency lighting.

    (a) General. Emergency lighting shall be provided in each unit of a 
trainset. The emergency lighting system shall be designed to facilitate 
the ability of passengers and trainset crew members, and/or emergency 
responders to see and orient themselves, to identify obstacles, in 
order to assist them to safely move through and out of a passenger rail 
car.
    (1) Emergency lighting shall illuminate the following areas:
    (i) Passenger car aisles, passageways, and toilets;
    (ii) Door emergency exit controls/manual releases;
    (iii) Vestibule floor near the door emergency exits (to facilitate 
safe entrance/exit from the door);
    (iv) Within the car diaphragm and adjacent area; and
    (v) Specialty car locations such as crew offices.
    (b) Minimum illumination levels. (1) A minimum, average 
illumination level of 10.7 lux (1 foot-candle) measured at floor level 
adjacent to each exterior door and each interior door providing access 
to an exterior door (such as a door opening into a vestibule);
    (2) A minimum, average illumination level of 10.7 lux (1 foot-
candle) measured 635 mm (25 inches) above floor level along the center 
of each aisle and passageway;
    (3) A minimum illumination level of 1.1 lux (0.1 foot-candle) 
measured 635 mm (25 inches) above floor level at any point along the 
center of each aisle and passageway;
    (c) Lighting activation. Each emergency lighting fixture shall 
activate automatically or be energized continuously whenever the car is 
in revenue service and normal lighting is not available.
    (d) Independent power source. Emergency lighting system shall have 
an independent power source(s) that is located in or within one half a 
car length of each light fixture it powers.
    (e) Functional requirements. Emergency lighting system components 
shall be designed to operate without failure and capable of remaining 
attached under the conditions typically found in passenger rail 
equipment including expected mechanical vibrations, and shock in 
accordance with Sec.  299.405(a)(1), as well as comply with 
electromagnetic interference criteria in Sec.  299.435(e).
    (1) All emergency lighting system components shall be capable to 
operate in all railcar orientations.
    (2) All emergency lighting system components shall be capable to 
operate when normal power is unavailable for 90 minutes without a loss 
of more than 40% of the minimum illumination levels specified in 
paragraph (b) of this section.
    (f) Inspection. (1) The railroad shall inspect the emergency 
lighting system as required by its inspection, testing, and maintenance 
program in accordance with Sec.  299.445.
    (2) If batteries are used as independent power sources, they shall 
have automatic self-diagnostic modules designed to perform discharge 
tests.

Sec.  299.419   Emergency communication.

    (a) PA (public address) system. Each passenger car shall be 
equipped with a PA system that provides a means for a trainset 
crewmember to communicate by voice to passengers of his or her trainset 
in an emergency situation. The PA system shall also provide a means for 
a trainset crewmember to communicate by voice in an emergency situation 
to persons in the immediate vicinity of his or her trainset (e.g., 
persons on the station platform). The PA system may be part of the same 
system as the intercom system.
    (b) Intercom system. Each passenger car shall be equipped with an 
intercom system that provides a means for passengers and crewmembers to 
communicate by voice with each other in an emergency situation. Except 
as further specified, at least one intercom that is accessible to 
passengers without using a tool or other implement shall be located in 
each end (half) of each car.
    (c) Marking and instructions. The following requirements apply to 
all units of a trainset:
    (1) The location of each intercom intended for passenger use shall 
be conspicuously marked with HPPL material in accordance with Sec.  
299.423; and
    (2) Legible and understandable operating instructions shall be made 
of HPPL material in accordance with Sec.  299.423 and posted at or near 
each such intercom.
    (d) Back-up power. PA and intercom systems shall have a back-up 
power system capable of--
    (1) Powering each system to allow intermittent emergency 
communication for a minimum period of 90 minutes. Intermittent 
communication shall be considered equivalent to continuous 
communication during the last 15 minutes of the 90-minute minimum 
period; and
    (2) Operating in all equipment orientations within 90 degrees of 
vertical.
    (e) Additional requirements. The PA and intercom systems shall be 
designed to operate without failure and remain attached under the 
conditions typically found in passenger rail equipment including 
expected mechanical vibrations, and shock in accordance with Sec.  
299.405(a)(1), as well as comply with electromagnetic interference 
criteria in Sec.  299.435(e).

Sec.  299.421   Emergency roof access.

    (a) Number and dimensions. Each passenger car shall have a minimum 
of two emergency roof access locations, each providing a minimum 
opening of 660 mm (26 inches) longitudinally (i.e., parallel to the 
longitudinal axis of the car) by 610 mm (24 inches) laterally.
    (b) Means of access. Emergency roof access shall be provided by 
means of a conspicuously marked structural weak point in the roof for 
access by properly equipped emergency response personnel.
    (c) Location. Emergency roof access locations shall be situated so 
that when a car is on its side--
    (1) One emergency access location is situated as close as 
practicable within each half of the roof as divided top from bottom; 
and
    (2) One emergency access location is situated as close as 
practicable within

[[Page 14077]]

each half of the roof as divided left from right. (See Figure 2 to this 
paragraph.)
[GRAPHIC] [TIFF OMITTED] TP10MR20.006

    (d) Obstructions. The ceiling space below each emergency roof 
access location shall be free from wire, cabling, conduit, and piping. 
This space shall also be free of any rigid secondary structure (e.g., a 
diffuser or diffuser support, lighting back fixture, mounted PA 
equipment, or luggage rack) where practicable. It shall be permissible 
to cut through interior panels, liners, or other non-rigid secondary 
structures after making the cutout hole in the roof, provided any such 
additional cutting necessary to access the interior of the vehicle 
permits a minimum opening of the dimensions specified in paragraph (a) 
of this section to be maintained.
    (e) Marking instructions. Each emergency roof access location shall 
be conspicuously marked with retroreflective material of contrasting 
color meeting the minimum requirements specified in Sec.  299.423. 
Legible and understandable instructions shall be posted at or near each 
such location.

Sec.  299.423   Markings and instructions for emergency egress and 
rescue access.

    (a) General. Instructions and markings shall be provided in each 
unit of a trainset in accordance with the minimum requirements of this 
section to provide instructions for passengers and trainset crewmembers 
for regarding emergency egress, and rescue access instructions for 
emergency responders.
    (b) Visual identity and recognition. Emergency exit signage/marking 
systems shall enable passengers and trainset crewmembers to make 
positive identification of emergency exits.
    (1) Each interior emergency exit sign and emergency exit locator 
sign shall be conspicuous (i.e., clearly recognizable/distinguishable) 
or become conspicuous to passengers and trainset crewmembers 
immediately and automatically upon the loss of power for normal 
lighting, from a minimum distance of 1.52 m (5 feet).
    (2) The signs and markings shall operate independently of the car's 
normal and emergency lighting systems, for a minimum of 90 minutes 
after loss of all power for normal lighting.
    (3) An emergency exit locator sign shall be located in close 
proximity of each emergency exit and shall work in conjunction with the 
emergency exit sign. The location of the sign, directional arrow(s), or 
wording shall guide passengers and trainset crewmembers to the 
emergency exit route.
    (c) Rescue access signage/marking systems. (1) Rescue access 
signage and marking systems shall enable emergency responders to make 
positive identification of rescue access points.
    (2) Rescue access information for emergency responders placed on 
the exterior of the carbody shall, at a minimum, consist of the 
following:
    (i) Each door intended for use by emergency responders for rescue 
access shall be identified with emergency access signs, symbols, or 
other conspicuous marking consisting of retroreflective material that 
complies with paragraphs (d) and (e) of this section.
    (ii) Rescue access door control locator signs/markings and 
instructions;
    (A) Each door intended for use by emergency responders for rescue 
access shall have operating instructions for opening the door from 
outside the car placed on or immediately adjacent to the door on the 
carbody. If a power door does not function with an integral release 
mechanism, the instructions shall indicate the location of the exterior 
manual door control.
    (B) Each power door intended for use by emergency responders for 
rescue access which has a non-integral release mechanism located away 
from the door, shall have a door control sign/marking placed at the 
location of this control that provides instructions for emergency 
operation, either as part of the access sign/marking or as another 
sign/marking.
    (C) Each car equipped with manual doors shall have operating 
instructions for opening the door from the exterior, either as part of 
the access sign/marking or as another sign/marking.
    (iii) Rescue access window locator signs/markings and instructions;
    (A) Each rescue access window shall be identified with a unique 
retroreflective and easily recognizable sign, symbol, or other 
conspicuous marking that complies with paragraphs (d) and (e) of this 
section.
    (B) Signs, symbols, or marking shall be placed at the bottom of 
each such window, on each window, or adjacent

[[Page 14078]]

to each window, utilizing arrows, where necessary, to clearly designate 
rescue assess window location. Legible and understandable window-access 
instructions, including any pictogram/instructions for removing the 
window, shall be posted at or near each rescue access window.
    (iv) Roof access locator signs/markings and instructions.
    (A) The location of each emergency access point provided on the 
roof of a passenger car shall be clearly marked with retroreflective 
material of contrasting color that complies with paragraphs (d) and (e) 
of this section.
    (B) Legible and understandable instructions shall be posted at or 
near each such location.
    (C) If emergency roof access is provided by means of a structural 
weak point:
    (1) The retroreflective material shall clearly mark the line along 
which the roof skin shall be cut; and
    (2) A sign plate with a retroreflective border shall also state:

    CAUTION--DO NOT USE FLAME CUTTING DEVICES.
    CAUTION--WARN PASSENGERS BEFORE CUTTING.
    CUT ALONG DASHED LINE TO GAIN ACCESS.
    ROOF CONSTRUCTION--[STATE RELEVANT DETAILS].

    (d) Color contrast. Exterior signs/markings shall provide luminance 
contrast ratio of not less than 0.5, as measured by a color-corrected 
photometer.
    (e) Materials--(1) Retroreflective material. Exterior emergency 
rescue access locator signs/markings shall be constructed of 
retroreflective material that conforms to the specifications for Type I 
material sheeting, as specified in ASTM D 4956-07 [egr]1 (incorporated 
by reference, see Sec.  299.17), ``as tested in accordance with ASTM E 
810-03 (incorporated by reference, see Sec.  299.17).
    (2) HPPL materials. All HPPL materials used in finished component 
configurations shall comply with the minimum luminance criterion of 7.5 
mcd/m\2\ after 90 minutes when tested according to the provisions of 
ASTM E 2073-07 (incorporated by reference, see Sec.  299.17), with the 
following three modifications:
    (i) Activation. The HPPL material shall be activated with a 
fluorescent lamp of 40W or less and a color temperature of 4000-4500K 
that provides no more than 10.7 lux (1 fc) of illumination as measured 
on the material surface. The activation period shall be for no more 
than 60 minutes.
    (ii) Luminance. The photopic luminance of all specimens of the HPPL 
material shall be measured with a luminance meter as defined in section 
5.2 of ASTM E 2073-07, a minimum of 90 minutes after activation has 
ceased.
    (iii) Luminance in mcd/m \2\. The test report shall include a 
luminance measurement 90 minutes after activation has ceased.
    (f) Recordkeeping. (1) The railroad shall retain a copy of the car 
manufacturer/supplier provided independent laboratory certified test 
report results showing that the illuminance or luminance measurements, 
as appropriate, on the active area of the signage/marking component. 
Such records shall be kept until all cars with those components are 
retired, transferred, leased, or conveyed to another railroad for use 
in revenue service. A copy of such records shall be transferred to the 
accepting railroad along with any such cars.
    (2) The railroad shall retain a copy of the railroad-approved 
illuminance test plan(s) and test results until the next periodic test, 
or other test specified in accordance with the railroad's inspection, 
testing, and maintenance program is conducted on a representative car/
area, or until all cars of that type are retired, or are transferred, 
leased, or conveyed to another railroad. A copy of such records shall 
be transferred to the accepting railroad along with such car(s).
    (3) The railroad shall retain a copy of the certified independent 
laboratory test report results that certify that the retroreflective 
material complies with Type I materials per ASTM D-4956-07 \[epsiv]1\ 
until all cars containing the retroreflective material are retired, or 
are transferred, leased, or conveyed to another railroad. A copy of 
such records shall be provided to the accepting railroad along with any 
car(s) that are transferred, leased, or conveyed.

Sec.  299.425   Low-location emergency exit path marking.

    (a) General. Low-location emergency exit path marking (LLEEPM) 
shall be provided in each unit of a trainset. The LLEEPM system shall 
be designed to identify the location of primary door exits and the exit 
path to be used to reach such doors by passengers and trainset 
crewmembers under conditions of darkness when normal and emergency 
sources of illumination are obscured by smoke or are inoperative.
    (b) Visual identity and recognition. The LLEEPM system shall be 
conspicuous (i.e., clearly recognizable/distinguishable), or become 
conspicuous immediately and automatically from a low-location upon loss 
of power for normal lighting, and under the minimum general emergency 
light illumination levels as specified in Sec.  299.423.
    (c) Signage and markings. At a minimum, the LLEEPM system shall 
have the following three components:
    (1) Primary door exit signs. (i) Each primary door exit shall be 
clearly marked with an exit sign;
    (ii) The exit sign shall be visible from a low-location from the 
exit along the exit path; and
    (iii) Each exit sign shall be located on or immediately adjacent to 
each door and placed between 152.4 and 457.2 mm (6 and 18 inches) above 
the floor.
    (2) Primary door exit marking/delineators. (i) The location of the 
exit path shall be marked using electrically powered (active) marking/
delineators or light fixtures, HPPL (passive) marking/delineators or a 
combination of these two systems.
    (ii) The requirements in this section apply for both electrical and 
HPPL components, whether installed on the walls, floors, or seat 
assemblies.
    (iii) Each primary door shall be marked on or around the door's 
operating handle.
    (3) Exit path marking/delineators. (i) The marking/delineator 
components shall be positioned so as to identify an exit path to all 
primary exits that is clearly visible and easily recognizable from any 
seat or compartment in the trainset, when normal lighting and emergency 
lighting are unavailable in conditions of darkness and/or smoke.
    (ii) Markings/delineators shall be located on the floor or no 
higher than 457.2 mm (18 inches) on the seat assembly, or walls/
partitions of aisles, and/or passageways.
    (iii) Changes in the direction of the exit path shall be indicated 
by the LLEEPM and be placed within 102 mm (4 inches) of the corner of 
the exit path.
    (d) Material--(1) HPPL passive systems. HPPL strip marking/
delineator material used for LLEEPM components shall be capable of 
providing a minimum luminance level of 7.5 mcd/m\2\, measured 90 
minutes after normal power has ceased.
    (2) Electroluminescent marking/delineator strips. The luminance 
value of the electroluminescent (EL) marking/delineator strip shall be 
at least 1,000 mcd/m\2\, as measured on the strip surface.
    (e) Conspicuity of markings. LLEEPM signs shall comply with the 
text, color and respective illuminance or luminance requirements 
specified in Sec.  299.423 and in this section.

[[Page 14079]]

    (f) Emergency performance duration. The LLEEPM system shall operate 
independently of the car's normal and emergency lighting systems for 90 
minutes after loss of all power for normal lighting.
    (g) Recordkeeping. (1) The railroad shall retain a copy of the car 
manufacturer/supplier provided certified independent laboratory test 
report results showing that the illuminance or luminance measurements, 
as appropriate, on the active area of the signage/marking/delineator 
component comply with the criteria specified in Sec.  299.423 and in 
this section.
    (2) The railroad shall retain a copy of the railroad-approved 
illuminance test plan(s) and test results until the next periodic test, 
or other test specified in accordance with the railroad's inspection, 
testing, and maintenance program and ensure that tests are conducted on 
a representative car, or until all cars of that type are retired, 
transferred, leased, or conveyed to another railroad. A copy of such 
records shall be provided to the accepting railroads along with any 
car(s) that are transferred, leased, or conveyed.
    (3) Illegible, broken, damaged, missing, or non-functioning 
components of the LLEEPM system, including the normal and emergency 
power systems, shall be reported and repaired in accordance with the 
railroad's inspection, testing, and maintenance program as specified in 
Sec.  299.445.

Sec.  299.427   Emergency egress windows.

    (a) Number and location. Each unit in a trainset shall have a 
minimum of four emergency window exits. At least one emergency window 
exit shall be located in each side of each end (half) of the car, in a 
staggered configuration where practicable. (See Figure 3 to this 
paragraph.)
[GRAPHIC] [TIFF OMITTED] TP10MR20.007

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

Sec.  299.429   Rescue access windows.

    (a) General. Each emergency egress window required by Sec.  299.427 
shall also serve as a means of rescue access.
    (b) Ease of operability. Each rescue access window must be capable 
of being removed without unreasonable delay by an emergency responder 
using tools or implements that are commonly available to the responder 
in a passenger trainset emergency.
    (c) Marking and instructions. (1) Each rescue access window shall 
be marked with retroreflective material on the exterior of each car as 
specified in Sec.  299.423. A unique and easily recognizable symbol, 
sign, or other conspicuous marking shall also be used to identify each 
such window.
    (2) Legible and understandable window-access instructions, 
including instructions for removing the window, shall be posted at or 
near each rescue

[[Page 14080]]

access window as specified in Sec.  299.423.

Sec.  299.431   Driver's controls and cab layout.

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

Sec.  299.433   Exterior lights.

    (a) Headlights. Each leading end of a trainset shall be equipped 
with two or more headlights.
    (1) Each headlight shall produce 80,000 candela.
    (2) Headlights shall be arranged to illuminate signs in the right-
of-way.
    (3) Headlights shall be recognized 600 m (1,968 feet) ahead of the 
cab car by a driver in another trainset or a maintenance person 
standing in the right-of-way under clear weather conditions.
    (b) Taillights (marking devices). (1) The trailing end of the 
trainset shall be equipped with two red taillights;
    (2) Each taillight shall be located at least 1.2 m (3.9 feet) above 
rail;
    (3) Each taillight shall be recognizable 200 m (656 feet) ahead of 
the cab car by a driver in another trainset or a maintenance person 
standing in the

[[Page 14081]]

right-of-way under clear weather conditions;
    (4) Taillights of the trailing end of the trainset shall be on when 
the trainset is in operation;
    (5) Taillights shall not be on in the direction of trainset travel, 
except if the driver shall re-position the trainset in a station. Such 
re-positioning operations shall be done in accordance with the 
railroad's operating rules; and
    (6) In an emergency situation, the headlight on the rear of the 
trainset may serve as the taillights in accordance with the railroad's 
operating rules.

Sec.  299.435   Electrical system design.

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

Sec.  299.437   Automated monitoring.

    (a) Each trainset shall be equipped to monitor the performance of 
the following systems or components:
    (1) Reception of cab and trainset control signals;
    (2) Electric brake status;
    (3) Friction brake status;
    (4) Fire detection systems, if so equipped;
    (5) Auxiliary power status;
    (6) Wheelslide;
    (7) On-board bearing-temperature sensors;
    (8) Door open/closed status; and,
    (9) Bogie vibration detection.
    (b) When any of the monitored parameters are out of predetermined 
limits, an alert shall be sent immediately to the driver. The 
railroad's operating rules shall control trainset movement when the 
monitored parameters are out of predetermined limits.

[[Page 14082]]

    (c) The railroad shall develop appropriate operating rules to 
address driver and equipment performance in the event that the 
automatic monitoring system becomes defective.
    (d) The monitoring system shall be designed with an automatic self-
test feature that notifies the driver that the monitoring capability is 
functioning correctly and alerts the driver when a system failure 
occurs.

Sec.  299.439   Event recorders.

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

[[Page 14083]]

penalty as provided in part 218 of this chapter, and to 
disqualification from performing safety-sensitive functions on a 
railroad under subpart D of part 209 of this chapter.

Sec.  299.441   Trainset electronic hardware and software safety.

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

[[Page 14084]]

    (i) The results of tests that pertain to installation or 
modification of a product shall be retained for the life-cycle of the 
product tested and may be kept in any office designated by the 
railroad;
    (ii) The results of periodic tests required for the maintenance or 
repair of the product tested shall be retained until the next record is 
filed and in no case less than one year; and
    (iii) The results of all other tests and training shall be retained 
until the next record is filed and in no case less than one year.
    (f) Review of safety analysis. (1) Prior to the initial planned use 
of a new product as defined by paragraphs (b)(2) or (3) of this 
section, the railroad shall notify FRA in accordance with Sec.  299.9 
of the intent to place this product in service. The notification shall 
provide a description of the product, and identify the location where 
the complete safety analysis documentation and the testing are 
maintained.
    (2) The railroad shall maintain and make available to FRA upon 
request all railroad or vendor documentation used to demonstrate that 
the product meets the safety requirements of the safety analysis for 
the life-cycle of the product.
    (g) Hazard tracking. After a new product is placed in service in 
accordance with paragraphs (b)(2) or (3) of this section, the railroad 
shall maintain a database of all safety-relevant hazards encountered 
with the product. The database shall include all hazards identified in 
the safety analysis and those that had not been previously identified 
in the safety analysis. If the frequency of the safety-relevant hazards 
exceeds the threshold set forth in the safety analysis, then the 
railroad shall--
    (1) Report the inconsistency to the Associate Administrator, within 
15 days of discovery in accordance with Sec.  299.9;
    (2) Take immediate countermeasures to reduce the frequency of the 
safety-relevant hazard(s) below the threshold set forth in the safety 
analysis; and
    (3) Provide a final report to the Associate Administrator, on the 
results of the analysis and countermeasures taken to mitigate the 
hazard to meet the threshold set forth in the safety analysis when the 
problem is resolved. For hazards not identified in the safety analysis 
the threshold shall be exceeded at one occurrence.
    (4) Electronic or automated tracking systems used to meet the 
requirements contained in paragraph (g) of this section shall be in 
accordance with Sec.  299.11.
    (h) Operations and maintenance manual. The railroad shall maintain 
all supplier or vendor documents pertaining to the operation, 
installation, maintenance, repair, modification, inspection, and 
testing of the safety-critical electronic control systems, subsystems 
and components.
    (i) Training and qualification program. Under Sec.  299.13(c)(3), 
the railroad shall establish and implement a training and qualification 
program for the safety-critical electronic control systems, subsystems, 
and components subject to subpart G of this part prior to the safety-
critical electronic control systems, subsystems, and components being 
placed in use.
    (j) Operating personnel training. The training program required by 
Sec.  299.13(c)(3) for any driver or other person who participates in 
the operation of a trainset using the safety-critical electronic 
control systems, subsystems and components shall address all the 
following elements:
    (1) Familiarization with the electronic control system equipment 
on-board the trainset and the functioning of that equipment as part of 
the system and in relation to other on-board systems under that 
person's control;
    (2) Any actions required of the operating personnel to enable or 
enter data into the system and the role of that function in the safe 
operation of the trainset;
    (3) Sequencing of interventions by the system, including 
notification, enforcement, and recovery from the enforcement as 
applicable;
    (4) Railroad operating rules applicable to control systems, 
including provisions for movement and protection of any unequipped 
passenger equipment, or passenger equipment with failed or cut-out 
controls;
    (5) Means to detect deviations from proper functioning of on-board 
electronic control system equipment and instructions explaining the 
proper response to be taken regarding control of the trainset and 
notification of designated railroad personnel; and
    (6) Information needed to prevent unintentional interference with 
the proper functioning of on-board electronic control equipment.

Sec.  299.443   Safety appliances.

    (a) Couplers. (1) The leading and trailing ends of each trainset 
shall be equipped with an automatic rescue coupler that couples on 
impact.
    (i) Uncoupling of the rescue coupler shall be done only at a 
trainset maintenance facility or other location where personnel can 
safely get under or between units.
    (ii) The leading and the trailing ends of a trainset are not 
required to be equipped with sill steps or end or side handholds.
    (2) The leading and trailing end couplers and uncoupling devices 
may be stored within a removable shrouded housing.
    (3) Leading and trailing automatic couplers of trainsets shall be 
compatible with the railroad's rescue vehicles. A coupler adaptor can 
be used to meet this requirement.
    (4) The railroad shall develop and implement rescue procedures that 
assure employee safety during rescue operations and shall be contained 
in the railroad's operating rules.
    (5) Each unit within a trainset shall be semi-permanently coupled 
and shall only be uncoupled at a trainset maintenance facility or other 
locations identified by the railroad where the protections afforded in 
subpart B of part 218 of this chapter can be applied.
    (6) The ends of units in a trainset that are semi-permanently 
coupled are not required to be equipped with automatic couplers, sill 
steps, end handholds or side handholds.
    (b) Crew access. (1) Each trainset shall provide a minimum of two 
(2) locations per side, where crew members can board or disembark the 
trainset safely from ground level.
    (2) Each location used for crew access shall be equipped with 
retractable stairs with handrails designed for safe access to the 
trainset from ground level.

Sec.  299.445   Trainset inspection, testing, and maintenance 
requirements.

    (a) General. (1) The railroad shall develop a written inspection 
program for the rolling stock, in accordance with and approved under 
the requirements of Sec.  299.713. As further specified in this 
section, the program shall describe in detail the procedures, 
equipment, and other means necessary for the safe operation of the 
passenger equipment, including all inspections set forth in paragraph 
(e) of this section. This information shall include a detailed 
description of the methods of ensuring accurate records of required 
inspections.
    (2) The initial inspection, testing, and maintenance program 
submitted under Sec.  299.713 shall, as a minimum, address the specific 
safety inspections contained in paragraphs (e)(1) through (4) of this 
section. The railroad may submit the procedures detailing the bogie 
inspections or general overhaul requirements contained in paragraph 
(e)(3) and (4) of this section, respectively, at a later date than the 
initial inspection, testing, and maintenance program, but not less than 
180 days prior to the scheduled date of the first bogie inspection or 
general overhaul.

[[Page 14085]]

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

Sec.  299.447   Movement of defective equipment.

    (a) A trainset with one or more conditions not in compliance with 
the list of safety critical defects identified in accordance with Sec.  
299.445(b) during a pre-service inspection required by Sec.  
299.445(e)(1) shall not be moved in revenue service and shall only be 
moved in accordance with paragraph (e) of this section.
    (b) Except as provided in paragraph (c) of this section, and after 
departure in compliance with the pre-service inspection required by 
Sec.  299.445(e)(1), a trainset with one or more conditions not in 
compliance with the list of safety critical defects identified in 
accordance with Sec. Sec.  299.445(b) and 299.711(b) may be moved in 
revenue service only after the railroad has complied with all of the 
following:
    (1) A qualified individual determines that it is safe to move the 
trainset, consistent with the railroad's operating rules;
    (i) If appropriate, these determinations may be made based upon a 
description of the defective condition provided by a crewmember.
    (ii) If the determinations required by this paragraph are made by 
an off-site qualified individual based on a

[[Page 14086]]

description of the defective condition by on-site personnel, then a 
qualified individual shall perform a physical inspection of the 
defective equipment, at the first location possible, in accordance with 
the railroad's inspection, testing, and maintenance program and 
operating rules, to verify the description of the defect provided by 
the on-site personnel.
    (2) The qualified individual who made the determination in 
paragraph (b)(1) of this section, notifies the driver in charge of 
movement of the trainset, in accordance with the railroad's operating 
rules, of the maximum authorized speed, authorized destination, and any 
other operational restrictions that apply to the movement of the non-
compliant trainset. This notification may be achieved through the tag 
required by paragraph (b)(3) of this section; and
    (3) A tag bearing the words ``non-complying trainset'' and 
containing the following information, are securely attached to the 
control stand on each control cab of the trainset:
    (i) The trainset number and unit or car number;
    (ii) The name of the qualified individual making the determination 
in paragraph (b)(1) of this section;
    (iii) The location and date of the inspection that led to the 
discovery of the non-compliant item;
    (iv) A description of each defect;
    (v) Movement restrictions, if any;
    (vi) The authorized destination of the trainset; and,
    (vii) The signature, if possible, as well as the job title and 
location of the person making the determinations required by this 
section.
    (4) Automated tracking systems used to meet the tagging 
requirements contained in paragraph (b)(3) of this section may be 
reviewed and monitored by FRA at any time to ensure the integrity of 
the system. FRA's Associate Administrator may prohibit or revoke the 
railroad's ability to utilize an automated tracking system in lieu of 
tagging if FRA finds that the automated tracking system is not properly 
secure, is inaccessible to FRA or the railroad's employees, or fails to 
adequately track or monitor the movement of defective equipment. Such a 
determination will be made in writing and will state the basis for such 
action.
    (c) A trainset that develops a non-complying condition in service 
may continue in revenue service, so long as the requirements of 
paragraph (b) of this section are otherwise fully met, until the next 
pre-service inspection.
    (d) In the event of an in-service failure of the braking system, 
the trainset may proceed in accordance with the railroad's operating 
rules relating to the percentage of operative brakes and at a speed no 
greater than the maximum authorized speed as determined by Sec.  
299.409(f)(4) so long as the requirements of paragraph (b) of this 
section are otherwise fully met, until the next pre-service inspection.
    (e) A non-complying trainset may be moved without passengers within 
a trainset maintenance facility, at speeds not to exceed 16 km/h (10 
mph), without meeting the requirements of paragraph (a) of this section 
where the movement is solely for the purpose of repair. The railroad 
shall ensure that the movement is made safely.
    (f) Nothing in this section authorizes the movement of equipment 
subject to a Special Notice for Repair under part 216 of this chapter 
unless the movement is made in accordance with the restrictions 
contained in the Special Notice.

Subpart E--Operating Rules

Sec.  299.501   Purpose.

    Through the requirements of this subpart, FRA learns the condition 
of the operating rules and practices in use by the railroad. The rules 
and practices covered by this subpart include the procedures for 
instruction and testing of all employees involved with the movement of 
rail vehicles, including drivers, on-board attendants, station platform 
attendants, general control center staff, and all maintenance staff, 
which are necessary to ensure that they possess the requisite skill and 
knowledge of the rules and operating practices to maintain the safety 
of the system.

Sec.  299.503   Operating rules; filing and recordkeeping.

    (a) Prior to commencing operations, the railroad shall develop a 
code of operating rules, timetables, and timetable special 
instructions. The initial code of operating rules, timetables, and 
timetable special instructions shall be based on practices and 
procedures proven on the Tokaido Shinkansen system.
    (b) The railroad shall keep one copy of its current code of 
operating rules, timetables, timetable special instruction, at its 
system headquarters, and shall make them available to FRA for 
inspection and copying during normal business hours. If the railroad 
elects to maintain an electronic record, the railroad must satisfy the 
conditions listed in Sec.  299.11.

Sec.  299.505   Programs of operational tests and inspections; 
recordkeeping.

    (a) Requirement to conduct operational tests and inspections. The 
railroad shall periodically conduct operational tests and inspections 
to determine the extent of employee knowledge, application, and 
compliance with its code of operating rules, timetables, and timetable 
special instructions in accordance with a written program retained at 
its system headquarters.
    (b) Railroad and railroad testing officer responsibilities. (1) 
Each railroad officer who conducts operational tests and inspections 
(railroad testing officer) shall--
    (i) Be qualified on the railroad's operating rules in accordance 
with Sec.  299.507;
    (ii) Be qualified on the operational testing and inspection program 
requirements and procedures relevant to the testing and inspections the 
officer will conduct;
    (iii) Receive appropriate field training, as necessary to achieve 
proficiency, on each operational test or inspection that the officer is 
authorized to conduct; and
    (iv) Conduct operational tests and inspections in accordance with 
the railroad's program of operational tests and inspections.
    (2) The railroad shall maintain a record documenting qualification 
of each railroad testing officer. The record shall be retained by the 
railroad and shall be made available to representatives of the FRA for 
inspection and copying during normal business hours. If the railroad 
elects to maintain an electronic record, the railroad must satisfy the 
conditions listed in Sec.  299.11.
    (c) Written program of operational tests and inspections. Within 30 
days of commencing operations, the railroad shall have a written 
program of operational tests and inspections in effect. The railroad 
shall maintain one copy of its current program for periodic performance 
of the operational tests and inspections required by paragraph (a) of 
this section, and shall maintain one copy of each subsequent amendment 
to the program as amendments are made. These records shall be retained 
at the system headquarters of the railroad for three calendar years 
after the end of the calendar year to which they relate. These records 
shall be made available to representatives of the FRA for inspection 
and copying during normal business hours. The program shall--
    (1) Provide for operational testing and inspection under the 
various operating conditions on the railroad;

[[Page 14087]]

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

Sec.  299.507   Program of instruction on operating rules; 
recordkeeping.

    (a) To ensure that each railroad employee whose activities are 
governed by the railroad's operating rules understands those rules, the 
railroad shall periodically instruct each such employee on the meaning 
and application of its operating rules with a written program developed 
under Sec.  299.13(c)(3) and retained at its system headquarters.
    (b) Prior to commencing operations, the railroad shall file and 
retain one copy of its current program for the periodic instruction of 
its employees as required by paragraph (a) of this section and shall 
file and retain one copy of any amendment to that program as amendments 
are made. These records shall be retained at the railroad's system 
headquarters for one calendar year after the end of the calendar year 
to which they relate. These records shall be made available to 
representatives of the FRA for inspection and copying during normal 
business hours. This program shall--
    (1) Describe the means and procedures used for instruction of the 
various classes of affected employees;

[[Page 14088]]

    (2) State the frequency of instruction and the basis for 
determining that frequency;
    (3) Include a schedule for completing the initial instruction of 
employees who are already employed when the program begins;
    (4) Begin on the date of commencing operations; and
    (5) Provide for initial instruction of each employee hired after 
the program begins.
    (c) The railroad is authorized to retain by electronic 
recordkeeping its program for periodic instruction of its employees on 
operating rules, provided that the requirements stated in Sec.  299.11 
are satisfied.

Subpart F--System Qualification Tests

Sec.  299.601   Responsibility for verification demonstrations and 
tests.

    The railroad shall comply with the pre-revenue qualification tests 
and verification requirements set forth in this subpart to demonstrate 
the overall safety of the system, prior to revenue operations.

Sec.  299.603   Preparation of system-wide qualification test plan.

    (a) Prior to execution of any tests as defined in this subpart, the 
railroad shall develop a system-wide qualification test plan, that 
identifies the tests that will be carried out, to demonstrate the 
operability of all system elements, including track and infrastructure, 
signal and train control, communications, rolling stock, software, and 
operating practices, and the system as a whole.
    (b) The system-wide qualification test plan shall be submitted to 
FRA in accordance with Sec.  299.9 for review at least 180 days prior 
to testing. FRA shall notify the railroad, in writing, within 45 days 
of receipt of the railroad's submission, and identify any deficiencies 
in the test plan. FRA will notify the railroad of any procedures to be 
submitted for review. The plan shall include the following:
    (1) A list of all tests to be conducted;
    (2) A summary statement of the test objectives;
    (3) A planned schedule for conducting the tests which indicates the 
sequence of testing and interdependencies; and
    (4) The approach taken for--
    (i) Verifying results of installation tests performed by 
contractors and manufacturers;
    (ii) Functional and performance qualification testing of individual 
safety-related equipment, facilities, and subsystems in accordance with 
Sec.  299.605;
    (iii) Pre-revenue service systems integration testing of the system 
per Sec.  299.607, that includes vehicle/track system qualification 
testing per Sec.  299.609;
    (iv) Simulated revenue operations of the system per Sec.  299.611;
    (v) Compliance with operating rules as per subpart E of this part;
    (vi) Training and qualification of all personnel involved in the 
test program to conduct tests safely and in accordance with operating 
rules;
    (vii) Verification of all emergency preparedness procedures; and,
    (viii) Field testing of the railroad's uncertified PTC system and 
regression testing of its FRA-certified PTC system, under Sec.  
299.201.
    (c) The railroad shall adopt and comply with the system-wide 
qualification test plan, including completion of all tests required by 
the plan.
    (d) After FRA review of the system-wide test plan, detailed test 
procedures as required by paragraph (b) of this section shall be 
submitted 15 days prior to testing to FRA in accordance with Sec.  
299.9 for review.
    (e) Each test procedure shall include the following elements:
    (1) A clear statement of the test objectives. One of the principal 
test objectives shall be to demonstrate that the railroad's system 
meets the safety design and performance requirements specified in this 
part when operated in the environment in which it will be used;
    (2) Any special safety precautions to be observed during the 
testing;
    (3) A description of the railroad property or facilities to be used 
to conduct the tests;
    (4) Prerequisites for conducting each test;
    (5) A detailed description of how the tests are to be conducted. 
This description shall include--
    (i) An identification of the systems and equipment to be tested;
    (ii) The method by which the systems and equipment shall be tested;
    (iii) The instrumentation to be used and calibration procedures;
    (iv) The means by which the test results will be recorded, analyzed 
and reported to FRA;
    (v) A description of the information or data to be obtained;
    (vi) A description of how the information or data obtained is to be 
analyzed or used;
    (vii) A description of any criteria to be used as safety limits 
during the testing;
    (viii) The criteria to be used to evaluate the systems' and 
equipments' performance. If system qualification is to be based on 
extrapolation of less than full-level testing results, the analysis 
done to justify the validity of the extrapolation shall be described; 
and
    (ix) Inspection, testing, and maintenance procedures to be followed 
to ensure that testing is conducted safely.
    (f) The railroad shall provide FRA notice at least 30 days in 
advance of the times and places of any domestic testing and notice at 
least 90 days in advance for testing not conducted domestically to 
permit FRA observation of such tests.

Sec.  299.605   Functional and performance qualification tests.

    The railroad shall conduct functional and performance qualification 
tests, prior to commencing revenue operations, to verify that all 
safety-critical components meet all functional and all performance 
specifications.

Sec.  299.607   Pre-revenue service system integration testing.

    (a) Prior to commencing revenue operations, the railroad shall 
conduct tests of the trainsets throughout the system to--
    (1) Verify mechanical positioning of the overhead catenary system; 
and
    (2) Verify performance of the trainset, track, and signal and 
trainset control systems.
    (b) The railroad shall demonstrate safe operation of the system 
during normal and degraded-mode operating conditions. At a minimum, the 
following operation tests shall be performed:
    (1) Slow-speed operation of a trainset;
    (2) Verification of correct overhead catenary and pantograph 
interaction;
    (3) Verification of trainset clearance at structures and passenger 
platforms;
    (4) Incremental increase of trainset speed;
    (5) Performance tests on trainsets to verify braking rates in 
accordance with Sec.  299.409;
    (6) Verification of vehicle noise;
    (7) Verification of correct vehicle suspension characteristics;
    (8) Vehicle/track system qualification as defined in Sec.  299.609;
    (9) Load tests with vehicles to verify relay settings and signal 
and communication system immunization;
    (10) Monitoring of utility supply circuits and telephone circuits 
to ensure the adequacy of power supplies, and to verify that transient-
related disturbances are within acceptable limits;
    (11) Verification of vehicle detection due to shunting of signal 
system circuits;
    (12) Verification of safe operation of the signal and trainset 
control system as required by subpart B of this part;

[[Page 14089]]

    (13) Tests of trainset radio reception during system-wide vehicle 
operation; and
    (14) Verification of EMI/EMC compatibility between various 
subsystems.

Sec.  299.609   Vehicle/track system qualification.

    (a) General. All vehicles intended to operate in revenue service 
shall be qualified for operation in accordance with this subpart. A 
qualification program shall be used to demonstrate that the vehicle/
track system will not exceed the wheel/rail force safety limits, and 
the carbody and bogie acceleration criteria specified in paragraph (h) 
of this section--
    (1) At any speed up to and including 10 km/h (6 mph) above the 
proposed maximum operating speed; and
    (2) On track meeting the requirements for the class of track 
associated with the proposed maximum operating speed as defined in 
Sec.  299.309. For purposes of qualification testing, speeds may exceed 
the maximum allowable operating speed for the class of track in 
accordance with the test plan approved by FRA.
    (b) New vehicle/track system qualification. Vehicle types not 
previously qualified under this subpart shall be qualified in 
accordance with the requirements of this paragraph (b).
    (1) Carbody acceleration. For vehicle types intended to operate in 
revenue service at track class H4 speeds or above, qualification 
testing conducted over a representative segment of the route shall 
demonstrate that the vehicle type will not exceed the carbody lateral 
and vertical acceleration safety limits specified in paragraph (h) of 
this section.
    (2) Bogie lateral acceleration. For vehicle types intended to 
operate at track class H4 speeds or above, qualification testing 
conducted over a representative segment of the route shall demonstrate 
that the vehicle type will not exceed the bogie lateral acceleration 
safety limit specified in paragraph (h) of this section.
    (3) Measurement of wheel/rail forces. For vehicle types intended to 
operate at track class H4 speeds or above, qualification testing 
conducted over a representative segment of the route shall demonstrate 
that the vehicle type will not exceed the wheel/rail force safety 
limits specified in paragraph (h) of this section.
    (c) Previously qualified vehicle/track system. Vehicle/track 
systems previously qualified under this subpart for a track class and 
cant deficiency on one route may be qualified for operation at the same 
class and cant deficiency on another route through testing to 
demonstrate compliance with paragraph (a) of this section in accordance 
with the following:
    (1) Carbody acceleration. For vehicle types intended to operate at 
track class H4 speeds and above, qualification testing conducted over a 
representative segment of the new route shall demonstrate that the 
vehicle type will not exceed the carbody lateral and vertical 
acceleration safety limits specified in paragraph (h) of this section.
    (2) Bogie lateral acceleration. For vehicle types intended to 
operate at track class H4 speeds or above, measurement of bogie lateral 
acceleration during qualification testing shall demonstrate that the 
vehicle type will not exceed the bogie lateral acceleration safety 
limit specified in paragraph (h) of this section. Measurement of bogie 
lateral acceleration, if conducted, shall be performed over a 
representative segment of the new route.
    (d) Vehicle/track system qualification testing plan. To obtain the 
data required to support the qualification program outlined in 
paragraphs (b) and (c) of this section, the railroad shall submit a 
qualification testing plan as required by Sec.  299.603(b) at least 60 
days prior to testing, requesting approval to conduct the testing at 
the desired speeds and cant deficiencies. This test plan shall provide 
for a test program sufficient to evaluate the operating limits of the 
track and vehicle type and shall include--
    (1) Identification of the representative segment of the route for 
qualification testing;
    (2) Consideration of the operating environment during qualification 
testing, including operating practices and conditions, the signal 
system, and trainset on adjacent tracks;
    (3) The maximum angle found on the gauge face of the designed 
(newly-profiled) wheel flange referenced with respect to the axis of 
the wheelset that will be used for the determination of the Single 
Wheel L/V Ratio safety limit specified in paragraph (h) of this 
section; and
    (4) A target maximum testing speed in accordance with paragraph (a) 
of this section and the maximum testing cant deficiency.
    (e) Qualification testing.Upon FRA approval of the vehicle/track 
system qualification testing plan, qualification testing shall be 
conducted in two sequential stages as required in this subpart.
    (1) Stage-one testing shall include demonstration of acceptable 
vehicle dynamic response of the subject vehicle as speeds are 
incrementally increased--
    (i) On a segment of tangent track, from acceptable track class H4 
speeds to the target maximum test speed; and
    (ii) On a segment of curved track, from the speeds corresponding to 
76 mm (3 inches) of cant deficiency to the maximum testing cant 
deficiency.
    (2) When stage-one testing has successfully demonstrated a maximum 
safe operating speed and cant deficiency, stage-two testing shall 
commence with the subject equipment over a representative segment of 
the route as identified in paragraph (d)(1) of this section.
    (i) A test run shall be conducted over the route segment at the 
speed the railroad will request FRA to approve for such service.
    (ii) An additional test run shall be conducted at 10 km/h (6 mph) 
above this speed.
    (3) When conducting stage-one and stage-two testing, if any of the 
monitored safety limits are exceeded on any segment of track, testing 
may continue provided that the track location(s) where any of the 
limits are exceeded be identified and test speeds be limited at the 
track location(s) until corrective action is taken. Corrective action 
may include making adjustments to the track, to the vehicle, or to both 
of these system components.
    (4) Prior to the start of the qualification testing program, a 
qualifying Track Geometry Measurement System (TGMS) shall be operated 
over the intended route within 30 calendar days prior to the start of 
the qualification testing program to verify compliance with the track 
geometry limits specified in Sec.  299.311.
    (f) Qualification testing results. The railroad shall submit a 
report to FRA detailing all the results of the qualification program in 
accordance with Sec.  299.613. The report shall be submitted at least 
60 days prior to the intended operation of the equipment in revenue 
service over the route.
    (g) Cant deficiency. Based on the test results and all other 
required submissions, FRA will approve a maximum trainset speed and 
value of cant deficiency for revenue service, normally within 45 days 
of receipt of all the required information. FRA may impose conditions 
necessary for safely operating at the maximum approved trainset speed 
and cant deficiency.
    (h) Vehicle/track interaction regulatory limits. The following 
vehicle/track interaction regulatory limits shall not be exceeded 
during qualification testing in accordance with this section.
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Sec.  299.611   Simulated revenue operations.

    (a) The railroad shall conduct simulated revenue operations for a 
minimum period of two weeks prior to revenue operations to verify 
overall system performance, and provide operating and maintenance 
experience.
    (b) The railroad shall maintain a log of tests conducted during the 
simulated revenue operations period. This log of tests shall identify 
any problems encountered during testing, and actions necessary to 
correct defects in workmanship, materials, equipment, design, or 
operating parameters.
    (c) The railroad shall implement all actions necessary to correct 
safety defects, as identified by the log prior to the initiation of 
revenue service.

Sec.  299.613   Verification of compliance.

    (a) The railroad shall prepare a report detailing the results of 
pre-operational qualification, pre-revenue service testing, and 
vehicle/track system qualification tests required under Sec. Sec.  
299.605, 299.607, and 299.609 respectively. The report shall identify 
any problems encountered during testing, and alternative actions 
necessary to correct defects in workmanship, materials, equipment, 
design, or operating parameters.
    (b) The railroad shall implement all actions necessary to correct 
defects, as identified by the report.
    (c) The railroad shall submit the report(s) required by paragraph 
(a) of this section to FRA prior to commencing simulated revenue 
operations and at least 60 days prior to the intended start of full 
revenue service per Sec.  299.609(f).
    (d)(1) Prior to implementing a major upgrade to any safety-critical 
system component or sub-system, or prior to introducing any new safety-
critical technology, the railroad shall submit for FRA approval the 
detailed test procedures and/or analysis in accordance with Sec.  
299.603(d).
    (2) The railroad shall prepare a report detailing the results of 
pre-operational qualification, pre-revenue service testing, and 
vehicle/track system qualification tests required under Sec. Sec.  
299.605, 299.607, and 299.609 respectively pertaining to a major 
upgrade to any safety-critical system component or sub-system, or 
introduction of any new safety-critical technology. The report shall 
identify any problems encountered during testing, and alternative 
actions necessary to correct defects in workmanship, materials, 
equipment, design, or operating parameters.

Subpart G--Inspection, Testing, and Maintenance Program

Sec.  299.701   General requirements.

    Under the procedures provided in Sec.  299.713, the railroad shall 
obtain FRA approval of a written inspection, testing, and maintenance 
program. The program shall provide detailed information, consistent 
with the requirements set forth in Sec. Sec.  299.337 through 299.349, 
and 299.447(a), on the inspection, testing, and maintenance procedures 
necessary for the railroad to safely operate its system. This 
information shall include a detailed description of--
    (a) Safety inspection procedures, intervals, and criteria;
    (b) Test procedures and intervals;
    (c) Scheduled preventive maintenance intervals;
    (d) Maintenance procedures; and
    (e) Special testing equipment or measuring devices required to 
perform safety inspections and tests.

Sec.  299.703   Compliance.

    After the railroad's inspection, testing, and maintenance program 
is approved

[[Page 14093]]

by FRA pursuant to the requirements and procedures set forth in Sec.  
299.713, the railroad shall adopt and comply with the program, and 
shall perform--
    (a) All inspections and tests described in the program in 
accordance with the procedures and criteria that the railroad 
identified as safety-critical; and
    (b) All maintenance tasks and procedures described in the program 
in accordance with the procedures and intervals that the railroad 
identified as safety-critical.

Sec.  299.705   Standard procedures for safely performing inspection, 
testing, and maintenance, or repairs.

    (a) The railroad shall establish written standard procedures for 
performing all safety-critical or potentially hazardous inspection, 
testing, maintenance, and repair tasks. These standard procedures 
shall--
    (1) Describe in detail each step required to safely perform the 
task;
    (2) Describe the knowledge necessary to safely perform the task;
    (3) Describe any precautions that shall be taken to safely perform 
the task;
    (4) Describe the use of any safety equipment necessary to perform 
the task;
    (5) Be approved by the railroad's official responsible for safety;
    (6) Be enforced by the railroad's supervisors responsible for 
accomplishing the tasks; and
    (7) Be reviewed annually by the railroad. The railroad shall 
provide written notice to FRA in accordance with Sec.  299.9 at least 
one month prior to the annual review. If the Associate Administrator or 
their designee indicates a desire to be present, the railroad shall 
provide a scheduled date and location for the annual review. If the 
Associate Administrator requests the annual review be performed on 
another date but the railroad and the Associate Administrator are 
unable to agree on a date for rescheduling, the annual review may be 
performed as scheduled.
    (b) The inspection, testing, and maintenance program required by 
this section is not intended to address and should not include 
procedures to address employee working conditions that arise in the 
course of conducting the inspections, tests, and maintenance set forth 
in the program. When reviewing the railroad's program, FRA does not 
intend to review or approve any portion of the program that relates to 
employee working conditions.

Sec.  299.707   Maintenance intervals.

    (a) The initial scheduled maintenance intervals shall be based on 
those in effect on the Tokaido Shinkansen system as required under 
Sec.  299.13(c)(1).
    (b) The maintenance interval of safety-critical components shall be 
changed only when justified by accumulated, verifiable operating data, 
and approved by FRA under paragraph Sec.  299.713.

Sec.  299.709   Quality control program.

    The railroad shall establish an inspection, testing, and 
maintenance quality control program enforced by the railroad or its 
contractor(s) to reasonably ensure that inspections, testing, and 
maintenance are performed in accordance with inspection, testing, and 
maintenance program established under this subpart.

Sec.  299.711   Inspection, testing, and maintenance program format.

    The submission to FRA for each identified subsystem shall consist 
of two parts--
    (a) The complete inspection, testing, and maintenance program, in 
its entirety, including all required information prescribed in Sec.  
299.701, and all information and procedures required for the railroad 
and its personnel to implement the program.
    (b) A condensed version of the program that contains only those 
items identified as safety-critical, per Sec.  299.703 submitted for 
approval by FRA under Sec.  299.713.

Sec.  299.713   Program approval procedure.

    (a) Submission. Except as provided in Sec.  299.445(a)(2), the 
railroad shall submit for approval an inspection, testing, and 
maintenance program as described in Sec.  299.711(b) not less than 180 
days prior to pre-revenue service testing. The program shall be 
submitted to FRA in accordance with Sec.  299.9. If the railroad seeks 
to amend an approved program as described in Sec.  299.711(b), the 
railroad shall file with FRA in accordance with Sec.  299.9 for 
approval of such amendment not less than 60 days prior to the proposed 
effective date of the amendment. A program responsive to the 
requirements of this subpart or any amendment to the program shall not 
be implemented prior to FRA approval.
    (b) Contents. Each program or amendment shall contain:
    (1) The information prescribed in Sec.  299.701 for such program or 
amendment;
    (2) The name, title, address, and telephone number of the primary 
person to be contacted with regard to review of the program, its 
content, or amendments.
    (c) Approval. (1) Within 90 days of receipt of the initial 
inspection, testing, and maintenance program, FRA will review the 
program. The Associate Administrator will notify the primary railroad 
contact person in writing whether the inspection, testing, and 
maintenance program is approved and, if not approved, the specific 
points in which the program is deficient. Deficiencies identified shall 
be addressed as directed by FRA prior to implementing the program.
    (2) FRA will review each proposed amendment to the program that 
relaxes an FRA-approved requirement within 45 days of receipt. The 
Associate Administrator will then notify the primary railroad contact 
person in writing whether the proposed amendment has been approved by 
FRA and, if not approved, the specific points in which the proposed 
amendment is deficient. The railroad shall correct any deficiencies as 
directed by FRA prior to implementing the amendment. For amendments 
proposing to make an FRA-approved program requirement more stringent, 
the railroad is permitted to implement the amendment prior to obtaining 
FRA approval.
    (3) Following initial approval of a program or amendment, FRA may 
reopen consideration of the program or amendment for cause stated.
    (4) The railroad may, subject to FRA review and approval under 
Sec.  299.15, implement inspection, testing, maintenance procedures and 
criteria, incorporating new or emerging technology.

Appendix A to Part 299--Criteria for Certification of Crashworthy Event 
Recorder Memory Module

    Section 299.439(c) requires that trainsets be equipped with an 
event recorder that includes a certified crashworthy event recorder 
memory module. This appendix prescribes the requirements for 
certifying an event recorder memory module (ERMM) as crashworthy, 
including the performance criteria and test sequence for 
establishing the crashworthiness of the ERMM as well as the marking 
of the event recorder containing the crashworthy ERMM.

A. General Requirements

    (a) Each manufacturer that represents its ERMM as crashworthy 
shall, by marking it as specified in section B of this appendix, 
certify that the ERMM meets the performance criteria contained in 
this appendix and that test verification data are available to the 
railroad or to FRA upon request.
    (b) The test verification data shall contain, at a minimum, all 
pertinent original data logs and documentation that the test sample 
preparation, test set up, test measuring devices and test procedures 
were performed by designated, qualified individuals using recognized 
and acceptable practices. Test verification data shall be retained 
by the manufacturer or its successor as long as the specific model 
of ERMM remains in service on any trainset.

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    (c) A crashworthy ERMM shall be marked by its manufacturer as 
specified in section B of this appendix.

B. Marking Requirements

    (a) The outer surface of the event recorder containing a 
certified crashworthy ERMM shall be colored international orange. In 
addition, the outer surface shall be inscribed, on the surface 
allowing the most visible area, in black letters on an international 
orange background, using the largest type size that can be 
accommodated, with the words ``CERTIFIED DOT CRASHWORTHY'', followed 
by the ERMM model number (or other such designation), and the name 
of the manufacturer of the event recorder. This information may be 
displayed as follows:

CERTIFIED DOT CRASHWORTHY
Event Recorder Memory Module Model Number
Manufacturer's Name

    Marking ``CERTIFIED DOT CRASHWORTHY'' on an event recorder designed 
for installation in the railroad's trainsets is the certification that 
all performance criteria contained in this appendix have been met and 
all functions performed by, or on behalf of, the manufacturer whose 
name appears as part of the marking, conform to the requirements 
specified in this appendix.
    (b) Retro-reflective material shall be applied to the edges of each 
visible external surface of an event recorder containing a certified 
crashworthy ERMM.

C. Performance Criteria for the ERMM

    An ERMM is crashworthy if it has been successfully tested for 
survival under conditions of fire, impact shock, static crush, fluid 
immersion, and hydro-static pressure contained in one of the two tables 
shown in this section of appendix B. (See Tables 1 and 2.) Each ERMM 
must meet the individual performance criteria in the sequence 
established in section D of this appendix. A performance criterion is 
deemed to be met if, after undergoing a test established in this 
appendix B for that criterion, the ERMM has preserved all of the data 
stored in it. The data set stored in the ERMM to be tested shall 
include all the recording elements required by Sec.  299.439(c). The 
following tables describe alternative performance criteria that may be 
used when testing an ERMM's crashworthiness. A manufacturer may utilize 
either table during its testing but may not combine the criteria 
contained in the two tables.

                  Table 1 to Appendix A of Part 299--Acceptable Performance Criteria--Option A
----------------------------------------------------------------------------------------------------------------
              Parameter                         Value                   Duration                 Remarks
----------------------------------------------------------------------------------------------------------------
Fire, High Temperature...............  750 [deg]C (1400         60 minutes.............  Heat source: Oven.
                                        [deg]F).
Fire, Low Temperature................  260 [deg]C (500 [deg]F)  10 hours...............  .......................
Impact Shock.........................  55g....................  100 ms.................  \1/2\ sine crash pulse.
Static Crush.........................  110kN (25,000 lbf).....  5 minutes..............  .......................
Fluid Immersion......................  #1 Diesel, #2 Diesel,    Any single fluid, 48     .......................
                                        Water, Salt Water,       hours.
                                        Lube Oil.
                                       Fire Fighting Fluid....  10 minutes, following    Immersion followed by
                                                                 immersion above.         48 hours in a dry
                                                                                          location without
                                                                                          further disturbance.
Hydrostatic Pressure.................  Depth equivalent = 15    48 hours at nominal      .......................
                                        m. (50 ft.).             temperature of 25
                                                                 [deg]C (77 [deg]F).
----------------------------------------------------------------------------------------------------------------

                  Table 2 to Appendix A to Part 299--Acceptable Performance Criteria--Option B
----------------------------------------------------------------------------------------------------------------
              Parameter                         Value                   Duration                 Remarks
----------------------------------------------------------------------------------------------------------------
Fire, High Temperature...............  1000 [deg]C (1832        60 minutes.............  Heat source: Open
                                        [deg]F).                                          flame.
Fire, Low Temperature................  260 [deg]C (500 [deg]F)  10 hours...............  Heat source: Oven.
Impact Shock--Option 1...............  23gs...................  250 ms.................  .......................
Impact Shock--Option 2...............  55gs...................  100 ms.................  \1/2\ sine crash pulse.
Static Crush.........................  111.2kN (25,000 lbf)...  5 minutes..............  Applied to 25% of
                                       44.5kN (10,000 lbf)....  (single ``squeeze'')...   surface of largest
                                                                                          face.
Fluid Immersion......................  #1 Diesel, #2 Diesel,    48 hours each..........  .......................
                                        Water, Salt Water,
                                        Lube Oil, Fire
                                        Fighting Fluid.
Hydrostatic Pressure.................  46.62 psig.............  48 hours at nominal      .......................
                                       (= 30.5 m. or 100 ft.).   temperature of 25
                                                                 [deg]C (77 [deg]F).
----------------------------------------------------------------------------------------------------------------

D. Testing Sequence

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

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E. Testing Exception

    If a new model ERMM represents an evolution or upgrade from an 
older model ERMM that was previously tested and certified as meeting 
the performance criteria contained in section C of this appendix, the 
new model ERMM need only be tested for compliance with those 
performance criteria contained in section C of this appendix that are 
potentially affected by the upgrade or modification. FRA will consider 
a performance criterion not to be potentially affected if a preliminary 
engineering analysis or other pertinent data establishes that the 
modification or upgrade will not change the performance of the older 
model ERMM against the performance criterion in question. The 
manufacturer shall retain and make available to FRA upon request any 
analysis or data relied upon to satisfy the requirements of this 
paragraph to sustain an exception from testing.

Appendix B to Part 299--Cab Noise Test Protocol

    This appendix prescribes the procedures for the in-cab noise 
measurements for high-speed trainsets at speed. The purpose of the 
cab noise testing is to ensure that the noise levels within the cab 
of the trainset meet the minimum requirements defined within Sec.  
299.437(l).

I. Measurement Instrumentation

    The instrumentation used shall conform to the requirements 
prescribed in appendix H to part 229 of this chapter.

II. Test Site Requirements

    The test shall meet the following requirements:
    (a) The passenger trainset shall be tested over a representative 
segment of the railroad and shall not be tested in any site 
specifically designed to artificially lower in-cab noise levels.
    (b) All windows, doors, cabinets, seals, etc., must be installed 
in the trainset cab and be closed.
    (c) The heating, ventilation and air conditioning (HVAC) system 
or a dedicated heating or air conditioner system must be operating 
on high, and the vents must be open and unobstructed.

III. Procedures for Measurement

    (a) LAeq,T is defined as the A-weighted, equivalent 
sound level for a duration of T seconds, and the sound level meter 
shall be set for A-weighting with slow response.
    (b) The sound level meter shall be calibrated with the acoustic 
calibrator immediately before and after the in-cab tests. The 
calibration levels shall be recorded.
    (c) Any change in the before and after calibration level(s) 
shall be less than 0.5 dB.
    (d) The sound level meter shall be located:
    (1) Laterally as close as practicable to the longitudinal 
centerline of the cab, adjacent to the driver's seat,
    (2) Longitudinally at the center of the driver's nominal seating 
position, and
    (3) At a height 1219 mm (48 inches) above the floor.
    (e) The sound measurements shall be taken autonomously within 
the cab.
    (f) The sound level shall be recorded at the maximum approved 
trainset speed (0/-3 km/h).
    (g) After the passenger trainset speed has become constant at 
the maximum test speed and the in-cab noise is continuous, 
LAeq,T shall be measured, either directly or using a 1 
second sampling interval, for a minimum duration of 30 seconds at 
the measurement position (LAeq, 30s).

IV. Reporting

    To demonstrate compliance, the railroad shall prepare and submit 
a test report in accordance with Sec.  299.613. As a minimum that 
report shall contain--
    (a) Name(s) of person(s) conducting the test, and the date of 
the test.
    (b) Description of the passenger trainset cab being tested, 
including: car number and date of manufacture.
    (c) Description of sound level meter and calibrator, including: 
make, model, type, serial number, and manufacturer's calibration 
date.
    (d) The recorded measurement during calibration and for the 
microphone location during operating conditions.

[[Page 14096]]

    (e) The recorded measurements taken during the conduct of the 
test.
    (f) Other information as appropriate to describe the testing 
conditions and procedure.

    Issued in Washington, DC.
Ronald L. Batory,
Administrator.

[FR Doc. 2020-03521 Filed 3-9-20; 8:45 am]
BILLING CODE 4910-06-P