``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;
    (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(h) and (i);
    (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.  299.311.
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 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 a 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;
    (3) Is on a storage track and is not carrying passengers; or,

    (4) Is parked at a station location and has been properly secured
in accordance with Sec. Sec.  299.409(n) and 299.431(d).

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 that is based on trainsets
currently in, or future variants operated on, JRC's Tokaido Shinkansen
system, or any unit thereof.
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.
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 an open passageway.
Passenger equipment means the N700 series trainset that is based on
trainsets currently in, or future variants operated 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 perform his or her duties proficiently 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.
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 an 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   Notifications 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 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 B 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) Provisions 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 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(c)(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 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 1101:2001(E) as amended by JIS E 1101:2006(E), and JIS E 1101:2012(E)
(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 1101:2001(E) as
amended by JIS E 1101:2006(E), and JIS E 1101:2012(E) (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 an 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 control 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 G 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
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.
    (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:<PHONE_NUMBER>);
email<EMAIL_ADDRESS>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<EMAIL_ADDRESS>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[egr]\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 3-13-12 Mita, Minato-ku, Tokyo,
108-0073, Japan, www.jsa.or.jp (Japanese site), or www.jsa.or.jp/en
(English site).
    (1) JIS B 8265:2010(E) ``Construction of pressure vessels-general
principles,'' Published December 27, 2010, Second English edition,
published December 2013; into Sec.  299.409.
    (2) JIS E 1101:2001(E), ``Flat bottom railway rails and special
rails for switches and crossings of non-treated steel,'' Published
March 21, 2001, Second English edition, published August 2008; into
Sec.  299.13(d).
    (3) JIS E 1101:2006(E) ``Flat bottom railway rails and special
rails for switches and crossings of non-treated steel,'' (Amendment 1),
Published March 27, 2006, First English edition, published December
2006; into Sec.  299.13(d).
    (4) 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, First English edition, May 2012; into
Sec.  299.13(d).
    (5) JIS E 7105:2006(E), ``Rolling Stock--Test methods of static
load for body structures,'' Published February 6, 2006, First English
edition published May 2010; into Sec.  299.403(b).
    (6) JIS E 7105:2011(E), ``Rolling Stock--Test methods of static
load for body structures,'' (Amendment 1) Published September 7, 2011,
First English edition, published December 2011; into Sec.  299.403(b).

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 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, reliably and functionally, 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 test 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 49 CFR parts
233 and 235, unless the railroad's FRA-approved PTCSP provides for such
an exemption.
    (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.  236.1005(a) and (c) through (f) of this chapter and Sec.
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;
    (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 standalone
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 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) The railroad shall comply with the reporting requirements under
Sec.  236.1029(h) of this chapter.
    (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.

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 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 in 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[deg]C
(95[deg]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;
or
    (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       operating speed in km/h
                   for--                                (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 (millimeter (mm))               Track class                H0       H1       H2       H3       H4       H5       H6       H7
--------------------------------------------------------------------------------------------------------------------------------------------------------
Gauge is measured between the heads of the    Min...............................     1429     1429     1429     1429     1429     1429     1429     1429
 rails at right angles to the rails in a
 plane 14 mm (0.55 inches) below the top of
 the rail head and may not exceed--.
                                              Max...............................     1454     1454     1454     1454     1454     1454     1454     1454
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 meter
 (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 m (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....................  <= 0.45g 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.   299.337(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] TR03NO20.000

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
0.15g.
    (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 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.  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 (\3/8\ 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 (c) and (d) of this
section whose centerline is within 1.22 m (48 inches) as shown in
Figure 1 to this paragraph.
[GRAPHIC] [TIFF OMITTED] TR03NO20.001

    (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] TR03NO20.002

    (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] TR03NO20.003

    (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.
    (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 Sec.
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   On the gauge side
                                      the rail ends     of the rail ends
                                           (mm)               (mm)
------------------------------------------------------------------------
H0................................                  6                  5
H1-H2.............................                  4                  4
H3-H7.............................                  2                  2
------------------------------------------------------------------------

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 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 gages in frogs shall be within the
limits prescribed in the following table:

                        Table 1 to Sec.   299.333
------------------------------------------------------------------------
                                   Guard check gage
                                     The distance
                                   between the gauge    Guard face gage
                                   line of a frog to     The distance
                                  the guard line \1\   between the guard
                                   of its guard rail       lines,\1\
           Track class             or guarding face,    measured across
                                    measured across   the track at right
                                  the track at right     angles to the
                                     angles to the    gauge line,\2\ may
                                  gauge line,\2\ may  not be more than--
                                  not be less than--
------------------------------------------------------------------------
H0-H7...........................  1,393 mm..........  1,358 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 gage 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] TR03NO20.004

  [GRAPHIC] [TIFF OMITTED] TR03NO20.005

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:
    (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.

    (c) A qualifying TAMS shall be on a vehicle having dynamic response
characteristics that are representative of other vehicles assigned to
the service and shall--
    (1) Be operated at the revenue speed profile in accordance with
Sec.  299.309;
    (2) Be capable of measuring and processing carbody acceleration
parameters to determine compliance with Carbody Acceleration Limits per
Sec.  299.313; and
    (3) 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
Sec.  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
railroad's 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 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)(1)(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.
    (vii) In the event a safe walkway visual inspection is not possible
on a given day due to extreme weather, the inspection may be conducted
from the cab of a trainset or as an on-track visual inspection on that
day in accordance with the inspection, testing, and maintenance
program.
    (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 on ballasted track shall be
inspected at least once a week, with a minimum of three calendar days
in between inspections.
    (iv) Turn-outs and track crossings on non-ballasted track shall be
inspected at least once every two weeks, with a minimum of six 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, shall be performed on all track in accordance with the following
conditions:
    (i) Ballasted track shall be inspected at least once during any 60-
day period, with a minimum of twelve calendar days in between
inspections.
    (ii) Non-ballasted track shall be inspected at least once within
any 120-day period, with a minimum of twenty-four calendar days in
between inspections.
    (iii) On-track safety shall be established in accordance with 49
CFR part 214 of this chapter, except for 49 CFR 214.339.
    (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 for 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.

    (a) 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.
    (b) Should a trainset be between stations when an event such as
those described in paragraph (a) of this section occurs, that trainset
may proceed to the next forward station at restricted speed, in
accordance with the railroad's operating rules and inspection, testing,
and maintenance program.

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; and
    (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.
    (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.
299.349.

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; and
    (3) Can prescribe appropriate remedial action to correct or
compensate for those deviations safely.
    (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(E) as amended by
JIS E 7105:2011(E) (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