97-16663. Track Safety Standards; Miscellaneous Proposed Revisions

[Federal Register Volume 62, Number 128 (Thursday, July 3, 1997)]
[Proposed Rules]
[Pages 36138-36189]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 97-16663]



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Part III





Department of Transportation





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Federal Railroad Administration



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49 CFR Part 213



Track Safety Standards; Miscellaneous Proposed Revisions; Proposed Rule





Federal Register / Vol. 62, No. 128 / Thursday, July 3, 1997 / 
Proposed Rules

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DEPARTMENT OF TRANSPORTATION

Federal Railroad Administration

49 CFR Part 213

[Docket No. RST-90-1, Notice No. 5]
RIN 2130-AA75


Track Safety Standards; Miscellaneous Proposed Revisions

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

ACTION: Notice of Proposed Rulemaking (NPRM).

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SUMMARY: FRA proposes to amend the Track Safety Standards in order to 
update and enhance its track safety regulatory program. These proposed 
amendments present additional regulatory requirements necessary to 
address today's railroad operating environment including the 
introduction of standards specifically addressing high speed train 
operations. FRA proposes these changes to improve track safety and 
provide the railroad industry with the flexibility needed to effect a 
safer and more efficient use of resources. The proposed amendments 
reflect consensus recommendations submitted to FRA by the Railroad 
Safety Advisory Committee.

DATES: Written comments: Written comments must be received before 
September 15, 1997. Comments received after that date will be 
considered to the extent possible without incurring additional expense 
or delay.
    Public hearing: A public hearing will be held in Washington, D.C. 
to allow interested parties the opportunity to comment on specific 
issues addressed in the NPRM. FRA will announce at a later date in this 
publication the date and location of the hearing.

ADDRESSES: Written comments: Comments should identify the docket number 
and the notice number and should be submitted in triplicate to: Docket 
Clerk, Office of Chief Counsel, Federal Railroad Administration, 400 
Seventh Street, S.W., Mail Stop 10, Washington, D.C. 20590. Persons 
desiring to be notified that their written comments have been received 
by FRA should include with their comments a stamped, self-addressed 
postcard. The Docket Clerk will indicate on the postcard the date on 
which the comments were received and will return the card to the 
addressee. Written comments will be available for examination during 
regular business hours in Room 7051 of FRA headquarters at 1120 Vermont 
Avenue, N.W., Washington, D.C.
    Public hearing: The date and location of the public hearing will be 
announced at a later date in this publication.

FOR FURTHER INFORMATION CONTACT: Allison H. MacDowell, Office of Safety 
Enforcement, Federal Railroad Administration, 400 Seventh Street, S.W., 
Mail Stop 25, Washington, D.C. 20590 (telephone: [phone]), or 
Nancy Lummen Lewis, Office of Chief Counsel, Federal Railroad 
Administration, 400 Seventh Street, S.W., Mail Stop 10, Washington, 
D.C. 20590 (telephone: [phone]).

SUPPLEMENTARY INFORMATION:

Introductory Statement

    The text of the following proposed rule was recommended to FRA by 
the agency's Rail Safety Advisory Committee (RSAC), a standing 
committee composed of 48 representatives of the rail industry, rail 
labor and other interested parties, as well as FRA. The committee is 
tasked by the Federal Railroad Administrator (the Administrator) to 
formulate and present to FRA recommendations for new regulations and 
revisions of existing ones. The committee operates under a set of 
procedures provided to and discussed with all its members when the RSAC 
was first established.
    In accordance with the procedures, the specific provisions of the 
proposed rule were developed by the Track Working Group, a subcommittee 
of the RSAC, which met periodically over a span of six months in 1996 
to discuss track safety issues, developments in the industry, and 
possible solutions to current safety challenges. Each provision 
contained in the proposed rule received unanimous approval by the 
members of the Track Working Group, which included approximately 30 
representatives from railroads, rail labor, trade associations, state 
government, track equipment manufacturers, and FRA. Such consensus is 
required by RSAC procedures before a proposal can be presented to the 
RSAC for consideration.
    On October 18, 1996, all RSAC members were provided copies of the 
Track Working Group's proposed rule for review. At a public meeting on 
October 31, 1996, the Track Working Group presented its proposed rule 
to the RSAC for approval to recommend it to the Administrator. After 
discussion, the RSAC agreed, at the request of the Brotherhood of 
Maintenance of Way Employes (BMWE), to defer the vote on whether to 
recommend the proposed rule to the Administrator to provide that 
organization additional time to inform its members. The RSAC conducted 
a formal vote by mail on November 21, 1996. At that time, 
representatives of many of the labor unions withdrew support of the 
proposed rule and recommended that it be returned to the Track Working 
Group for further discussion.
    Despite the lack of support by many RSAC representatives of rail 
labor, the number of votes cast in favor of recommending the proposed 
rule to the Administrator exceeded the number necessary for a simple 
majority. RSAC's procedures provide that where there is a majority vote 
to recommend to the Administrator a rule presented to the RSAC with 
full consensus of the working group that produced it, the RSAC will 
recommend adoption of the rule by the Administrator. Following those 
procedures, the RSAC formally recommended to the Administrator that FRA 
issue the proposed rule as it was drafted. The following proposed rule 
is the same rule text and preamble developed by the Track Working 
Group. However, the regulatory evaluation for the proposed rule varies 
somewhat from that submitted by the Track Working Group.
    The cost/benefit evaluation of a proposed rule that enjoys 
unanimous support by all of the affected parties may contain 
assumptions which would not be appropriate for an analysis of a 
proposed rule that receives less than unanimous support. For example, 
unanimous support makes it easier to assume that costs are justified by 
benefits where they may be difficult to quantify. The Track Working 
Group submitted to the RSAC its proposed rule and cost/benefit analysis 
as it was approved by the group with unanimous consensus. As noted 
above, however, in the RSAC vote, members who represent almost entirely 
one definable segment of the rail industry voted to recommend that the 
proposed rule be returned to the working group for additional work. 
While the Track Working Group's proposed rule received majority 
consensus in the RSAC, its cost/benefit analysis was based on a premise 
that it would receive unanimous consensus.
    In acknowledgment of the change in assumptions, FRA has attempted 
to incorporate additional data in the cost/benefit analysis that has 
been placed in the docket. The analysis cannot answer some important 
questions with the limited data now available. FRA requests that 
parties who have access to this data submit them to FRA during the 
comment period for this notice.

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Specifically, FRA requests the following additional information:
     What nonreportable accidents occur on excepted track? How 
many are there by category and what do they cost? How much excepted 
track does not comply with the proposed gage standard, and how much 
will it cost to bring it into compliance?
     What accidents have been caused by the use of personnel 
not qualified under Sec. 213.7 to move trains over defective track? How 
many are there by category and what do they cost? Have any accidents 
been caused by qualified personnel who have not received 
requalification training? How many are there by category and what do 
they cost?
     What accidents have been caused by torch-cut bolt holes in 
Class 2 track? How many are there by category and what do they cost?
     What accidents have been caused by torch-cut rails or 
joint bars reconfigured by torch cutting? How many are there by 
category and what do they cost?
     How many miles of track, by class would not comply with 
the proposed crosstie standard, and how much will it cost to bring them 
into compliance?
     What accidents have been caused by failure to operate a 
switch during inspections? How many are there by category and what do 
they cost?
     What accidents have been caused by inadequate inspection 
where the inspection involved inspection of multiple tracks from a hi-
rail vehicle? How many are there by category and what do they cost?
     What other data do you have concerning the areas addressed 
by the benefit/cost analysis?
Information pertaining to these subjects should be submitted to the 
Docket Clerk, Office of Chief Counsel, Federal Railroad Administration, 
400 Seventh Street, S.W., Mail Stop 10, Washington, D.C. 20590.
    With this notice, FRA proposes to revise the Track Safety 
Standards, 49 C.F.R. Part 213, using the proposed rule developed by the 
Track Working Group and recommended by majority consensus by the RSAC, 
including the preamble and the cost/benefit evaluation as modified by 
FRA. The proposed rule is as follows:

I. Statutory Background

    The Rail Safety Enforcement and Review Act of 1992, Public Law 102-
365,106 Stat. 972 (September 3, 1992), later amended by the Federal 
Railroad Safety Authorization Act of 1994, Public Law 103-440, 108 
Stat. 4615 (November 2, 1994), requires FRA to revise the track safety 
regulations contained in 49 CFR Part 213. Now codified at 49 U.S.C. 
Sec. 20142, the amended statute requires:
    ``(a) Review of Existing Regulations.--Not later than March 3, 
1993, the Secretary of Transportation shall begin a review of 
Department of Transportation regulations related to track safety 
standards. The review at least shall include an evaluation of--
    (1) procedures associated with maintaining and installing 
continuous welded rail and its attendant structure, including cold 
weather installation procedures;
    (2) the need for revisions to regulations on track excepted from 
track safety standards; and
    (3) employee safety.
    (b) Revision of Regulations.--Not later than September 1, 1995, the 
Secretary shall prescribe regulations and issue orders to revise track 
safety standards, considering safety information presented during the 
review under subsection (a) of this section and the report of the 
Comptroller General submitted under subsection (c) of this section.
* * * * *
    (d) Identification of Internal Rail Defects.--In carrying out 
subsections (a) and (b), the Secretary shall consider whether or not to 
prescribe regulations and issue orders concerning--
    (1) inspection procedures to identify internal rail defects, before 
they reach imminent failure size, in rail that has significant 
shelling; and
    (2) any specific actions that should be taken when a rail surface 
condition, such as shelling, prevents the identification of internal 
defects.''

II. Regulatory Background

    The first Federal Track Safety Standards were implemented in 
October, 1971, following the enactment of the Federal Railroad Safety 
Act of 1970 in which Congress granted to FRA comprehensive authority 
over ``all areas of railroad safety.'' See 36 FR 20336 and 49 U.S.C. 
20101 et seq. FRA envisioned the new standards to be an evolving set of 
safety requirements subject to continuous revision allowing the 
regulations to keep pace with industry innovations and agency research 
and development.
    FRA amended the Track Safety Standards with minor revisions several 
times in the past two decades. It began a project to revise the 
standards extensively in 1978, but later withdrew the effort when 
investigation revealed that considerably more data collection and 
analysis were necessary to support recommended revisions. A less 
extensive revision of the Track Safety Standards was issued in 
November, 1982. Since then, FRA has acquired much information crucial 
to further development of the Track Safety Standards through the 
enhanced statistical analysis capabilities resulting from additional 
field reporting requirements and improved data collection processes.

III. Petitions for Rulemaking

    In May, 1990, the Brotherhood of Maintenance of Way Employees 
(BMWE) filed a petition with FRA to revise the Track Safety Standards. 
The petition suggested substantive changes to the standards, the 
addition of new regulations addressing recent developments in the 
industry, as well as the reinstatement of many of the regulations 
deleted from the standards in 1982. The BMWE also petitioned FRA to 
further address employee safety by incorporating in the Track Safety 
Standards certain sections of the Occupational Safety and Health 
Standards presently administered by the U.S. Department of Labor.
    In March, 1992, the Association of American Railroads (AAR) 
submitted to FRA a list of recommended revisions to the Track Safety 
Standards. The AAR suggested some changes in the wording of existing 
regulations to provide additional flexibility to accommodate future 
innovations in railroad technology. Several suggested revisions 
included new approaches to determining compliance with certain existing 
regulations. Most notable among those was AAR's proposal that the 
revised track standards permit the use of a Gage Restraint Measuring 
System (GRMS) in place of detailed crosstie and fastener requirements. 
Lengthy discussions within the Track Working Group failed to result in 
any agreement about that proposal, and the RSAC postponed making a 
recommendation about the use of GRMS. On the other hand, RSAC 
recommended that railroads develop individual programs for installation 
and maintenance of continuous welded rail (CWR), provided those 
programs meet certain minimum criteria.

IV. Proceedings to Date

    On November 16, 1992, FRA published an Advance Notice of Proposed 
Rulemaking (ANPRM) in this docket. See 57 FR 54038. The ANPRM 
summarized FRA's knowledge about developments in the rail industry in 
the past two decades and then posed some 52 questions regarding how 
those developments should be addressed in the revised track safety 
standards.
    The ANPRM also announced plans for four public workshops in which

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technically-knowledgeable persons with specialized experience in track 
maintenance were invited to share their views with FRA in an informal 
setting. The workshops were fact-finding sessions comprised of informal 
give-and-take exchanges between industry, labor, and government 
professionals charged with the administration of the track safety 
standards on a day-to-day basis. They comprised an initial step by FRA 
to use more active collaboration with labor, railroad management, 
manufacturers, state governments, and public interest associations in 
structuring the revised regulations.
    The first workshop, held in Newark, New Jersey, on January 26, 
1993, addressed such topics as responsibility of track owners, 
inspection qualifications, restoration/renewal of track, and the 30-day 
period in Sec. 213.9. A second workshop in Atlanta, Georgia, on January 
28, 1993, covered such subjects as lateral track resistance, gage 
restraint measurement, and vehicle track interaction. In the third 
workshop held in Denver, Colorado, on February 23, 1993, topics 
discussed were defective rails/remedial action, internal rail 
inspection frequency, system tolerances and reliability, and torch cut 
rail. The fourth workshop, a two-day session in Washington, D.C. on 
March 30-31, 1993, covered such items of interest as excepted track, 
inspection requirements, definitions, and the safety of maintenance-of-
way employees.
    Participants in the workshops included representatives of major and 
short line railroads, the AAR, the American Short Line Railroad 
Association, the BMWE, as well as individuals with a particular 
interest in certain areas of the track safety standards. In addition to 
the workshops, FRA invited interested persons to submit written 
comments to the questions posed in the ANPRM. Approximately 30 
individuals, railroads, and industry groups submitted their suggestions 
and observations.
    Following the workshop in Washington, which included an extensive 
discussion about the safety of maintenance-of-way employees, FRA 
decided to isolate that issue from this proceeding so that it could be 
addressed thoroughly in a separate rulemaking. That issue became the 
focus of a proceeding addressing roadway worker safety, FRA's first 
negotiated rulemaking. FRA established its first formal regulatory 
negotiation committee in 1994. After months of discussions and debates, 
the committee reached consensus conclusions and recommended provisions 
for an NPRM to the Federal Railroad Administrator on May 17, 1995. An 
NPRM based upon those recommendations was published on March 14, 1996 
(see 61 FR 10528), and a final rule was issued on December 6, 1996 (see 
61 FR 65959).

V. The Railroad Safety Advisory Committee

    In past rulemakings, interested parties generally have approached 
the proceedings in an adversarial manner, a tactic that often inhibited 
the development of the best regulatory solutions to resolve difficult 
safety issues. In addition, parties also have resorted to pressuring 
Congress for legislation that would grant regulatory results with which 
FRA disagreed or were at odds with FRA's regulatory agenda. FRA 
concluded, therefore, that inclusion of these parties in its regulatory 
process would result in a more positive approach to developing the best 
solutions to pressing safety problems.
    Although FRA gathered much information in the 1993 track workshops, 
as well as in similar workshops associated with other rulemaking 
proceedings, the agency recognized that continued use of these ``ad 
hoc'' collaborative procedures for each rulemaking was not the most 
effective means of accomplishing the agency's goal of achieving a more 
consensual regulatory program. Following the success in 1995 of the 
negotiated rulemaking addressing roadway worker safety, FRA decided 
that several pending rulemakings, including this proceeding to revise 
Part 213, should advance under a new rulemaking model that relies upon 
consensus among various members of the affected industry and the 
regulated community. On March 11, 1996, FRA announced formation of the 
Railroad Safety Advisory Committee (RSAC), the centerpiece of the 
agency's new regulatory program which emphasizes rulemaking by 
consensus with those most affected by the agency's regulations. See 61 
FR 740.
    The RSAC is comprised of 48 individual representatives drawn from 
27 member organizations. The membership of the RSAC is representative 
of those interested in railroad safety issues, including railroad 
owners, manufacturers, labor groups, state government groups, and 
public interest associations. Its sponsor is the Federal Railroad 
Administrator, who recommends specific issues for it to address. The 
RSAC operates by consensus. It is authorized to establish smaller 
``working groups'' to research and initially address the issues 
recommended by the Federal Railroad Administrator and accepted by the 
RSAC to resolve.

VI. Track Working Group

    On April 2, 1996, the RSAC agreed to provide advice and 
recommendations to FRA for revision of the Track Safety Standards in 49 
CFR Part 213. The RSAC then assigned that responsibility to a 
specialized working group comprised of approximately 30 representatives 
from labor, railroads, trade associations, state government groups, 
track equipment manufacturers, and FRA.
    The Track Working Group met monthly from May, 1996, through 
October, 1996, to develop a draft NPRM to recommend to the RSAC. 
Minutes taken at each of the meetings are part of the docket for this 
rulemaking. The provisions contained in this document largely reflect 
the work accomplished by that group.
    The Track Working Group identified issues for discussion from 
several sources. One source of issues was, of course, the statutory 
mandates issued by Congress in 1992 and in 1994. Several issues came to 
the Track Working Group by way of requests for consideration made by 
FRA's track safety Technical Resolution Committee. The group also 
examined track issues involved in a number of recommendations made to 
FRA by the National Transportation Safety Board (NTSB) in the past 
decade. Discussions utilized information acquired by FRA through its 
research and development program, as well as from findings from routine 
agency investigations and accident investigations. Finally, the Track 
Working Group systematically surveyed the existing regulations to 
identify those sections and subsections that needed updating or, in 
some cases, deletion.
    Many of the issues engendered much discussion and debate within the 
Track Working Group. Brief summaries of those discussions are recorded 
in the appropriate parts of the section-by-section analysis portion of 
this document. Technical details supporting certain recommendations are 
not specified in this notice but are recorded in the docket and were 
discussed by the Track Working Group. A few issues have been designated 
by FRA to be ``major issues'' and are more fully discussed in the 
following section.

V. Major Issues

    This section contains FRA's analysis of a number of significant 
issues that arose in this rulemaking. The analysis is based upon (1) 
discussions by the Working Group and RSAC; (2)

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comments, both oral and written, received by the agency following 
publication of the ANPRM; (3) past statements of agency policies; (4) 
legal research; and (5) agency compliance experience.

A. Continuous Welded Rail (CWR)

    In the first track safety standards published in 1971, Sec. 213.119 
dealt with CWR in a rather general manner, stating simply that CWR must 
be installed at a rail temperature that prevents lateral displacement 
of track or pull-aparts of rail ends, and that it should not be 
disturbed at rail temperatures higher than the installation or adjusted 
installation temperature. (See 36 FR 20341.) In 1979, when FRA proposed 
a significant revision of Part 213, the agency suggested that this 
subsection be eliminated because it provided ``little guidance to 
railroads'' and was ``difficult to enforce.'' The agency further stated 
that research had ``not advanced to the point where specific safety 
requirements can be established.'' (See 44 FR 52114.) However, when the 
proposed revision was withdrawn in 1981 (see 46 FR 32896), the proposal 
to eliminate Sec. 213.119 was also abandoned. In the November, 1982 
revisions to the Track Safety Standards Sec. 213.119 was deleted.
    In the Rail Safety Enforcement and Review Act of 1992, Congress 
mandated FRA to evaluate procedures for installing and maintaining CWR. 
In 1994, in the Federal Railroad Authorization Act, Congress added an 
evaluation of cold weather installation procedures to that mandate. 
Following evaluation of those procedures, FRA proposes to return CWR 
procedures to Part 213.
    CWR is naturally subjected to high compressive and tensile forces 
which, if not adequately restrained, can result in track buckling or 
pull-aparts. The potential for track buckling increases as the ambient 
air temperature increases while the potential for pull-aparts increases 
as the ambient air temperature decreases. Track buckling tends to occur 
under train movement and therefore can be instantaneous and somewhat 
unpredictable.
    In recent years, FRA engaged in a research program to develop 
criteria and guidelines for improving CWR's resistance to buckling. The 
program sought to (1) define critical forces and conditions associated 
with track buckling, (2) quantify parameters which govern the 
resistance of track to buckling, and (3) develop technology to detect 
incipient failures prior to track buckling. Railroads have also 
invested considerable resources into CWR research and employee training 
which has resulted in a marked decrease in the number of reportable 
buckled track incidents over the last decade. FRA's Accident/Incident 
data base reveals that the number of reportable buckled track 
derailments has been reduced by approximately 50% since 1985, dropping 
from a yearly average of approximately 60 instances to approximately 30 
such occurrences per year.
    How a railroad provides the adequate lateral resistance to prevent 
track buckling may vary from railroad to railroad. The Track Working 
Group found that consistent methodology is not as important as 
effective methodology in installing and maintaining CWR. Therefore, the 
Track Working Group's recommendations are premised on the concept that 
the regulations should provide railroads with as much flexibility as 
safely feasible. The proposed standard, contained in a new subsection 
(Sec. 213.119), allows railroads to develop and implement their 
individual CWR programs based on procedures which have proven effective 
for them over the years. At a minimum, procedures shall be developed 
for the installation, adjustment, maintenance, and inspection of CWR, 
as well as a training program and minimal requirements for 
recordkeeping. FRA proposes to monitor the railroads adherence to these 
procedures as well as the overall effectiveness of the CWR programs.

B. Excepted Track

    With some limitations, the current regulation permits railroads to 
designate track as ``excepted'' from compliance with minimum safety 
requirements for roadbed, track geometry and track structure. This 
provision was intended to allow for limited periods of operation over 
track that was scheduled for abandonment or later improvement, and to 
permit operations over low density branch lines and related yard tracks 
in areas where it is highly unlikely that a derailment would endanger 
persons along the right-of-way. In general, the purpose of this 
provision has been realized.
    However, the excepted track provision was not tightly drawn when 
added in 1982. Critics of the present provision argue that it permits 
tolerance of unsafe track conditions. For instance, trackage designated 
as ``excepted'' sometimes traverses residential areas or exists within 
close proximity to major population centers, and hazardous materials 
frequently are moved over these tracks with some regularity.
    FRA added the excepted track provision (Sec. 213.4) to the 
regulations in response to an industry outcry for regulatory relief on 
those rail lines producing little or no income. FRA believed that 
without some relief for low density lines, railroads would accelerate 
abandonment of those lines rather than invest their slim resources 
where returns would be limited. Therefore, the 1982 revision provided 
the industry with a means to operate over designated tracks without 
complying with the substantive requirements of the Track Safety 
Standards. FRA believed that the designated tracks would be located on 
comparatively level terrain in areas where the likelihood was remote 
that a derailment would endanger a train crew or the general public.
    The current provision contains a number of operating restrictions, 
including limitations on where excepted track can be located and the 
number of cars containing hazardous materials (five) that can be hauled 
in one train. Maximum speed is 10 m.p.h., and passenger service is 
prohibited.
    Despite these limitations, railroads have embraced the concept of 
excepted track. In 1992, an FRA survey revealed the existence of 
approximately 12,000 miles of designated excepted track nationwide, far 
more than FRA envisioned when the provision was added to the 
regulations. Recent surveys conducted by the AAR and ASLRA, which were 
distributed to the Working Group members, currently indicate that 
between 8,000 and 9,000 miles of excepted track presently exists 
nationwide. FRA inspectors frequently find that railroads' legal use of 
the excepted track provision is far from the provision's original 
intent and purpose.
    Comments given in response to the ANPRM, as well as some opinions 
expressed within the Track Working Group, demonstrate that many 
railroads favor maintaining an excepted track provision in the Track 
Safety Standards. They argue that accident and injury data do not 
support the notion that trackage in ``excepted'' status presents any 
significant safety hazard. Short line railroads strenuously argue that 
they depend on the provision in order to keep certain track segments in 
business. Many short lines operate over track they acquired just before 
abandonment by a major railroad. A significant number of those lines 
serve only a handful of industries with comparatively small gross 
tonnage. Eliminating the excepted track provision may result in the 
demise of service to many short line railroad shippers, thus prompting 
an increase in

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rail traffic switching to highway transportation.
    Others, however, favor abolishing the excepted track provision 
because they believe it promotes tolerance of poor maintenance 
practices and hazardous track conditions. Approximately 65% of all 
reportable derailments on excepted track from 1988 through the third 
quarter of 1995 were track-caused. Of this total, nearly 33% were 
attributed to wide gage as a result of defective crossties or rail 
fasteners. FRA and state inspectors have found instances where 
railroads have taken advantage of the permissive language in the 
section to conduct operations in a manner not envisioned by the 
drafters of the provision. For example, a railroad removes a segment of 
track from the excepted designation only long enough to move a train 
with more than five cars carrying hazardous materials, or to operate an 
excursion passenger train, and then replaces the segment in excepted 
status as soon as the movement is completed. However, FRA's enforcement 
policies and railroad compliance have reduced these instances.
    For those reasons, the Track Working Group advised that the 
excepted track provision be retained with certain new restrictions. 
Significant revision proposed for Sec. 213.4 includes a new requirement 
that the track owner must maintain gage to a 58\1/4\'' standard, 
perform periodic switch inspections, and provide FRA with notification 
10 days prior to removing track from excepted status. The revision also 
proposes to change the word ``revenue'' to ``occupied'' in describing 
passenger trains prohibited from operating over excepted track.

C. Liability Standard

    The current track regulations are enforced against a track owner 
``who knows or has notice'' that the track does not meet compliance 
standards. This knowledge standard is unique to the track regulations; 
other FRA regulations are based on strict liability. The knowledge 
standard is founded on the notion that railroads should not be held 
responsible for defects that may occur suddenly in remote locations. 
Today, after years of track abandonments by major railroads, the 
industry is responsible for maintaining about 200,000 miles of track. 
Many defects occur suddenly in remote areas, making it difficult for 
even the most diligent track inspectors to keep pace with all defects 
as they happen.
    With a knowledge standard attached to the track regulations, 
railroads are held liable for non-compliance or civil penalties for 
only those defects that they knew about or those that are so evident 
the railroad is deemed to have known about them. FRA and state 
inspectors meet this knowledge standard in a number of ways. Sometimes 
they record and notify a railroad of a defect that they find, and then 
re-inspect 30 days later to see if the defect has been repaired. If it 
has not, they cite the railroad for a violation of the track safety 
standards. While this method provides a failsafe way of proving 
railroad notice of a defect, it is not always practicable for 
inspectors to perform follow-up inspections 30 days later.
    Often, inspectors choose to inspect the railroad's own inspection 
records to see if a defect they have noted is recorded there. If it is, 
the inspection record forms proof that the railroad had notice of the 
defect. If the defect is not recorded in the railroad's inspection 
records, but is of the nature that it would have had to exist at the 
time of the railroad's last inspection (for example, defective 
crossties or certain breaks that are covered with rust), the defect's 
existence constitutes constructive knowledge by the railroad and the 
railroad is cited for a violation. Although these inspection methods 
are not enunciated in the regulations themselves, they reflect long-
standing FRA enforcement policy and are explained in FRA's Track 
Enforcement Manual.
    In its petition, the BMWE suggested that FRA put track owners under 
strict liability standard by removing the phrase ``knows or has 
notice'' from Sec. 213.5. Under that standard, any defect found by an 
FRA inspector could be written as a violation regardless of the 
railroad's ignorance of it. The AAR requested in its petition that FRA 
develop performance standards for the track regulations. Certain 
defects would not be cited as long as the track is performing safely, 
making unnecessary many of the regulations (for example, inspection 
requirements and the minimum number of crossties). Neither the BMWE nor 
the AAR provided FRA with cost/benefit information to support their 
respective requests.
    This notice proposes to adopt the recommendation by the Track 
Working Group and the RSAC to leave the standard of liability unchanged 
as the best balance of all interests. Railroads will continue to be 
held liable for track defects of which they knew or had notice. Notice 
may include constructive knowledge of defects that, by their nature, 
would have had to be in existence when the railroad was last required 
to perform an inspection.

D. Plant Railroads and Industrial Spurs

    FRA has elected not to exercise jurisdiction over the safety of 
railroads that conduct their operations exclusively within an 
industrial or military installation. Such operations have not 
demonstrated the same degree and frequency of track problems found on 
tracks in the general system which are subject to heavier tonnages and 
more frequent use. Nevertheless, FRA recognizes its responsibility for 
the safety of railroad employees and operations inside such facilities 
where a general system railroad provides service on that property, 
either by picking up and placing cars for transportation in interstate 
commerce or by switching for the plant. The same responsibility applies 
to operations on privately owned industrial spurs used exclusively by a 
main line railroad to serve an industry.
    The applicability section of the current Track Safety Standards 
(Sec. 213.3) excludes track ``located inside an installation which is 
not part of the general railroad system of transportation.'' This broad 
statement implies that the track standards do not apply anywhere inside 
a plant, regardless of who operates there or the type of operations 
that occur on the plant track. However, Sec. 213.3 must be read in 
conjunction with 49 CFR Part 209, Appendix A, which explains that any 
plant railroad trackage over which a general system railroad operates 
becomes subject to FRA regulations. With the entrance of a general 
system railroad, the plant loses its insularity.
    Since the enactment of the Federal Railroad Safety Act of 1970, FRA 
has had at its disposal statutory authority to issue emergency orders 
to repair or discontinue use of industrial or plant trackage should the 
agency find that conditions of the track pose a hazard of death or 
injury. See 49 U.S.C. Sec. 20901. It is FRA's opinion that this 
emergency order authority is sufficient power to ensure track safety 
within plants or installations. However, if conditions or events in the 
future tend to demonstrate that track safety within plants or 
installations should be more specifically regulated, FRA will seek to 
change the applicability of this Part in a future rulemaking. This 
notice proposes to leave the application section of the Track Safety 
Standards unchanged.

E. Tourist Railroads

    Congress granted FRA authority over all railroads, including 
tourist railroads, in 1970 when it enacted the Railroad Safety Act, now 
codified at 49 U.S.C. Sec. 20102 et seq. In the 1970's and early

[[Page 36143]]

1980's, tourist railroads were few in number, and the agency decided to 
direct its manpower and resources towards ensuring safety on the 
freight carriers and major passenger lines. As the 1980's progressed, 
FRA began to witness a proliferation of tourist operations ranging in 
description from very small operations carrying only a handful of 
passengers a few days every year to large operations transporting 
hundreds of passengers daily. Many are financially constrained and 
dependent on volunteer labor, but others garner significant revenues 
from transportation of thousands of riders. The tourist railroad 
industry itself estimates that such railroads carry four to five 
million passengers each year.
    In 1992, FRA developed a policy for exercise of agency jurisdiction 
over tourist railroads. The policy provides that FRA will exercise 
jurisdiction over all tourist railroad operations except those that are 
less than 24 inches in gage and/or insular. An insular tourist railroad 
is one where operations are limited to a separate enclave in such a way 
that they engender no reasonable expectation that the safety of any 
member of the public (except a business guest, a licensee or affiliated 
entity, or a trespasser) would be affected. An insular railroad cannot 
have a public highway-rail crossing in use, an at-grade rail crossing 
in use, a bridge over a public road or commercially navigable waters, 
or a common corridor of 30 feet or less with another railroad.
    The current Track Safety Standards apply only to those tourist 
railroads that operate on the general system. Nevertheless, the Track 
Safety Standards serve as benchmarks for evaluating the safety of 
trackage off the general system.
    In 1992, the Berkshire Scenic Railway Museum of Lenox, 
Massachusetts, petitioned FRA to conduct a special proceeding on all 
safety issues related to tourist railroads, suggesting that FRA phase 
in Class 1 track standards for those non-general system properties to 
which the standards do not currently apply. FRA denied the petition for 
a special proceeding because of the agency's many rulemaking 
commitments. However, FRA indicated a willingness to consider 
suggestions for modification of safety standards for tourist railroads 
within rulemaking proceedings already planned or underway.
    In 1994, representatives of the tourist railroad industry proposed 
to Congress that it amend certain parts of 45 U.S.C. Sec. 431, now 
recodified at 49 U.S.C. Secs. 20101-20103, wherein FRA, through the 
Secretary of Transportation, is granted plenary authority over the 
safety of all railroads. The proposed legislation would have excluded 
tourist railroads from Federal safety laws even if they operate over 
the general system, as long as they do not ``interchange traffic'' with 
the general system. Thus, an unregulated tourist train could operate on 
the same track as a freight train, Amtrak, or commuter railroad. 
Congress agreed that such a change would not be wise safety policy. 
However, Congress also recognized that tourist railroads sometimes have 
unique characteristics that affect how they comply with Federal safety 
laws. Therefore, in enacting the Federal Railroad Safety Authorization 
Act of 1994, Congress instructed FRA to consider ``factors that may be 
unique'' to tourist railroads when prescribing safety regulations that 
would apply to those railroads. See 49 U.S.C. Sec. 20103. Of course, 
FRA had already made an informal commitment to the industry to consider 
their unique factors in ongoing and future rulemakings.
    FRA estimates that approximately 95 tourist railroads operating 
over 1,350 miles of standard gage track off the general system are not 
currently subject to the track safety standards. FRA sees the need to 
address this growing market and increasing safety exposure in the area 
of track safety, as well as other areas of rail operation. In April, 
1996, the agency referred tourist railroad safety issues to the RSAC. 
The RSAC, in turn, established a working group comprised of agency and 
tourist railroad industry representatives to analyze the industry's 
unique aspects and formulate recommendations for appropriate regulation 
of that specialized industry. Because this working group will 
investigate and examine issues of track safety on tourist railroads, 
the Track Working Group decided not to discuss the subject. If the 
Tourist Railroad Working Group sees the need to propose changes to Part 
213 to accommodate that industry, it will recommend to RSAC that FRA 
initiate a separate rulemaking to address those issues. Therefore, this 
notice proposes no changes to the Track Safety Standards that are 
directed specifically to tourist railroads.

F. Train Speed/Preemption

    Under the current Track Safety Standards, FRA has only an indirect 
role in determining speed limits. Railroads set train speed in their 
timetables or train orders. Once a railroad sets a train speed, it must 
then maintain the track according to FRA standards for the class of 
track that corresponds to that train speed. The signal and train 
control regulations also fix limits on train speed based upon the type 
of signal system that is in place. If the railroad fails to comply with 
track or signal system requirements for speed at which trains are 
operated, the railroad is subject to penalty.
    FRA's current regulations governing train speed do not afford any 
adjustment of train speeds in urban settings or at grade crossings. 
This omission is intentional. FRA believes that locally established 
speed limits may result in hundreds of individual speed restrictions 
along a train's route, causing train delays and increasing safety 
hazards. The safest train maintains a steady speed. Every time a train 
must slow down and then speed up, safety hazards, such as buff and 
draft forces, are introduced. These kinds of forces can enhance the 
chance of derailment with its attendant risk of injury to employees, 
the traveling public, and surrounding communities.
    FRA always has contended that Federal regulations preempt any local 
speed restrictions on trains. Section 20106 of Title 49, United States 
Code (formerly 45 U.S.C. Sec. 434) declares that--
    ``[l]aws, regulations, and orders related to railroad safety shall 
be nationally uniform to the extent practicable. A State may adopt or 
continue in force an additional or more stringent law, regulation, or 
order related to railroad safety when the law, regulation, or order--
(1) is necessary to eliminate or reduce an essentially local safety 
hazard; (2) is not incompatible with a law, regulation, or order of the 
United States Government; and (3) does not unreasonable burden 
interstate commerce.''

FRA's long-held belief that Part 213 preempts local speed laws was 
verified by the U.S. Supreme Court in 1993 in the case CSX v. 
Easterwood, 507 U.S. 658 (1993). The Court held that legal duties 
imposed on railroads by a state's common law of negligence fall within 
the scope of preemption provision of 49 U.S.C. 20106, which preempts 
any state ``law, rule, regulation, order or standard relating to 
railroad safety.'' The Court said that preemption of such state laws 
``will lie only if the federal regulations substantially subsume the 
subject matter of the relevant state law.'' Easterwood, 664. However, 
the Court further stated that because Part 213 ties certain track 
requirements to train speed, it should be viewed as ``covering the 
subject matter'' of speed limits.
    Notwithstanding some of the language in Easterwood that a cursory 
reading may otherwise indicate, FRA has never

[[Page 36144]]

assumed the task of setting train speed. Rather, the agency holds 
railroads responsible for minimizing the risk of derailment by properly 
maintaining track for the speed they set themselves. For example, if a 
railroad wants its freight trains to operate at 59 m.p.h. between two 
certain locations, it must maintain the tracks between those locations 
to Class 4 standards.
    In recent years, FRA has encountered increasing pressure from 
communities along railroad rights-of-way to set slower train speeds on 
main tracks located in urban areas. They typically cite the inherent 
dangers of grade crossings, as well as the risk of derailments of rail 
cars containing hazardous materials.
    As to grade crossings, FRA has consistently maintained that their 
danger is a separate issue from train speed. The physical properties of 
a moving train virtually always prevent it from stopping in time to 
avoid hitting an object on the tracks regardless of the speed at which 
the train is traveling. Prevention of grade crossing accidents is more 
effectively achieved through the use of adequate crossing protection 
and through observance by the driving public of crossing restrictions 
and precautions. Therefore, FRA continues to sponsor and/or support 
initiatives to improve safety at grade crossings under the Department 
of Transportation's Grade Crossing Action Plan. These initiatives are 
geared towards enhancing enforcement of traffic laws at crossings, 
closing unneeded crossings, enhancing rail corridor crossing reviews 
and improvements, expanding public education and Operation Lifesaver 
activities, increasing safety at private crossings, improving data and 
research efforts, and preventing rail trespassing.
    In January, 1995, FRA implemented regulations for maintenance, 
inspection and testing of warning devices at crossings, such as lights 
and gates. See 59 FR 50086. The agency also implemented regulations 
requiring certain locomotives to be equipped with auxiliary lights 
making trains more visible to motorists, railroad employees, and 
pedestrians. See 61 FR 8881. FRA believes that these measures are more 
effective approaches to enhancing safety at grade crossings than an 
attempt to design speed limits for each geographic situation.

G. Vegetation

    The vegetation control requirements of Part 213 currently deal with 
fire hazards to bridges, visibility of railroad signs and signals, 
interference with normal trackside duties of employees, proper 
functioning of signal and communication lines, and the ability to 
inspect moving equipment (``roll by'' inspections). The regulation does 
not address the issues of motorists' ability to see warning devices at 
highway-rail crossings.
    Since 1978, accidents and fatalities at highway-rail grade 
crossings have decreased dramatically due to engineering improvements 
at individual crossings, education of the public, and greater 
enforcement of highway traffic laws. Nevertheless, FRA finds that the 
present loss of life, injuries, and property damage are still 
unacceptable. In 1995, 579 people were killed, and 1,894 suffered 
serious injuries in grade crossing accidents. Highway-rail collisions 
are the number one cause of death in the entire railroad industry, far 
surpassing employee or passenger fatalities.
    In lengthy discussions about vegetation at grade crossings, the 
Track Working Group found itself grappling with a very complex issue 
that cannot be resolved simply by requiring brush to be cut away from 
grade crossings. The Track Working Group considered a proposal which 
would have set sight distances for motorists approaching highway rail 
grade crossings. However, the group quickly realized that the issue 
requires the expertise of entities not represented on the Track Working 
Group or RSAC, e.g., state and federal highway designers, traffic 
engineers, as well as representatives of local jurisdictions with grade 
crossings. This notice, therefore, proposes only one addition to 
current requirements of railroads in maintaining vegetation. Under this 
proposal, railroads will be required also to clear vegetation away from 
signs and signals on railroad rights-of-way at grade crossings. Because 
the scope of Part 213 limits vegetation requirements to railroad 
property, this proposal does not attempt to dictate standards for 
surrounding landowners. The additional language is intended only to 
cover the clearing of vegetation at highway-rail grade crossings to 
provide adequate visibility of railroad signs and signals; it is not 
intended to cover or preempt state or local requirements for the 
clearing of vegetation on railroad rights-of-way at highway-rail grade 
crossings.
    The RSAC views this proposed requirement as a first of several 
regulatory steps to reduce the inherent dangers of highway rail grade 
crossings. Along with the proposal for this additional requirement, the 
RSAC, following a recommendation by the Track Working Group, has 
requested that the FRA Administrator recommend that the Department of 
Transportation initiate a joint regulatory proceeding by FRA and the 
Federal Highway Administration to address vegetation maintenance and 
sight distances for motorists at grade crossings. Should the Department 
of Transportation decide not to initiate such a regulatory project, FRA 
will then consider the next appropriate action which may include 
launching its own regulatory proceeding.

H. Trackside Walkways

    The Track Working Group agreed that it was not prepared at this 
time to recommend to the RSAC whether or not this proceeding should 
address trackside walkways. Therefore, this notice does not include any 
proposals or discussions addressing this issue.

I. Gage Restraint Measurement System

    Historically, railroads assess a track's ability to maintain gage 
through visual inspections of crossties and rail fasteners. However, 
the inability of the track structure to maintain gage sometimes becomes 
apparent only after a derailment occurs. Many railroads throughout the 
country have successfully tested the GRMS, which was developed under a 
joint FRA/industry research project.
    Accident statistics taken from FRA's Annual Accident/Incident 
Bulletins reveal that from 1985 through 1995, reportable wide gage 
derailments from defective crossties and fasteners totaled 2,232 
instances and cost the industry over 60 million dollars in damages.
    Current crosstie and fastener maintenance techniques rely heavily 
on visual inspections by track inspectors, whose subjective knowledge 
is based on varying degrees of experience and training. The subjective 
nature of those inspections sometimes create inconsistent 
determinations about the ability of individual crossties and fasteners 
to restrain track gage. Crossties may not always exhibit strong 
indications of good or bad condition. If a crosstie in questionable 
condition is removed from track prematurely, its maximum service life 
is unnecessarily shortened resulting in added maintenance costs for the 
railroad. Yet, a crosstie of questionable condition left too long in 
track can cause a wide-gage derailment with its inherent risk of injury 
to railroad personnel and passengers and damage to property. In many 
instances of gage failure caused by defective crossties and/or 
fasteners, the static or unloaded gage is within the limits prescribed 
by the current track standards. However, when a train applies an 
abnormally high lateral load to a section of track that contains

[[Page 36145]]

marginal crosstie or fastener conditions, the result is often a wide 
gage derailment.
    In 1993, FRA granted CSX Transportation a waiver of compliance for 
the purpose of conducting a test program to evaluate the GRMS 
performance-based standard using FRA's research vehicle, in lieu of 
existing crosstie and rail fastening requirements, on nearly 500 miles 
of various track segments. The experience gained under this waiver has 
provided FRA with the opportunity to continually make adjustments to 
the conditional requirements of the waiver to the point where the 
technology has proven itself to be a more consistent method of 
objectively determining crosstie and fastener effectiveness. FRA 
believes the technology is now ready to be deployed within the 
industry.
    Recently, CSX Transportation contracted for the design and 
construction of a GRMS vehicle which has been approved by FRA for the 
purposes of testing over the same waiver territory. CSX has contracted 
for a second GRMS vehicle to be built, and several other Class 1 
railroads have also contracted for the development of GRMS vehicles. 
The key issue before the Working Group was whether this technology 
should be used as a supplement to the existing crosstie and fastener 
requirements, as an alternative to these existing requirements, or some 
combination of both.
    The Track Working Group could not reach consensus on whether or not 
the revised standards should contain language to accommodate this 
technology. The RSAC has recommended that a small task group continue 
evaluating the possibility of developing GRMS standards for broader 
application within the industry. This notice invites public comment 
regarding the feasibility of this technology as an alternative 
inspection standard or as an additional inspection method.

J. High Speed Rail Standards

    By this notice, FRA proposes to facilitate further development of 
high speed rail transportation by instituting safety standards for 
track to be used by high speed trains. Current regulations contain six 
classes of track that permit passenger and freight trains to travel up 
to 110 m.p.h. Passenger trains have been allowed to operate at speeds 
over 125 m.p.h. under conditional waiver granted by FRA. This notice 
proposes to add three new classes of track that will designate 
standards for track over which trains may travel at speeds up to 200 
m.p.h. Standards for high speed track classes will be contained in a 
new Subpart G of Part 213 which will cover track Classes 6 through 9.
    These proposed track standards constitute only one of several 
components comprising a regulatory program permitting trains to travel 
at high speeds. Other factors FRA must address in regulations outside 
of Part 213 include passenger emergency preparedness, wheel conditions, 
braking systems, and grade crossings. These proposed standards are an 
integral part of that larger regulatory scheme.
    FRA's approach to track safety standards for high speeds is based 
on the fundamental principle that vehicles in the high speed regime 
must demonstrate that they will not exceed minimum vehicle/track 
performance safety limits when operating on specified track. In 
addition, railroads must monitor the vehicle/track system to ensure 
that the safety limits will be met under traffic conditions.
    A panel of experts in high speed rail transportation worked with 
the Track Safety Working Group to provide recommendations for vehicle/
track performance limits and track geometry. The panel identified 
acceleration and wheel/rail force safety criteria by reviewing 
technical studies, considering foreign experience and practices, and 
performing independent computer simulation and analytical studies. Once 
it identified vehicle/track performance limits, the panel developed 
specific geometry safety criteria. The panel also recommended 
requirements necessary for track structure to sustain the forces 
generated by vehicles at high speeds.
    FRA's proposes to use the best available technical data about 
dynamic performance of vehicle/track systems to develop safety 
standards that are practical to implement. The proposed high speed 
standards in this notice provide for the qualification of vehicles; 
geometry standards for gage, surface, and alignment; track structure; 
and inspection requirements for both automated and visual inspections. 
While some of the sections in the proposed Subpart G are identical to 
their counterparts in other sections of the regulation, the standards 
for high speed operations generally differ markedly from those for the 
lower track classes which cover a much broader range of railroad 
vehicles. Several sections are unique to the high speed environment, 
and other sections are adapted from requirements for the lower track 
classes.

K. Torch Cut Rails

    This notice addresses the practice by some railroads of using a 
torch to cut rail, a practice that was widespread in the railroad 
industry until a few years ago. Now the practice is used by most 
railroads only for emergency repairs in Classes 3 through 5 track, 
because technology has advanced to the point where cutting rail with 
the various types of rail saws that are readily available is more 
efficient than torch cutting. Nevertheless, torch cuts from years ago 
when the practice was more prevalent still exist and are believed by 
some to pose a safety hazard. In 1983, following its investigation of 
an Amtrak derailment in Texas, the NTSB recommended that torch cuts be 
removed and that trains move at only 10 m.p.h. over torch cuts made in 
emergency situations or as a preparatory step in field welding. It 
should be noted, however, that the rail involved in the Texas accident 
had a type of high alloy content which the industry now recognizes as 
inferior. It is no longer used in the industry.
    Because rails that have been torch-cut have a greater tendency to 
develop fractures in the short term, members of the Track Working Group 
all agreed that the practice of torch-cutting rails should be 
prohibited in the future in Classes 3 through 5 track. However, they 
found it more difficult to agree on recommendations about what to do 
with existing torch cuts. Labor union representatives on the Track 
Working Group cited the known danger of torch cut rails in first 
suggesting that they all be removed from track in Classes 3 through 6. 
On the other hand, railroad representatives argued that torch cuts tend 
to cause rail to fail early. They also asserted that torch cuts that 
have existed for a long time generally will not cause rail breakage.
    All parties agreed that torch cuts existing on yard tracks and main 
tracks where trains operate at slow speeds (Classes 1 and 2) do not 
pose as high a risk. FRA could provide no reliable data on the number 
of existing torch cuts. The railroads reported that torch cuts no 
longer exist on Class 6 track, and the torch cuts remaining in Class 5 
track nationwide probably number ``in the hundreds.''
    The Track Working Group agreed to recommend to the RSAC that 
existing torch cuts in track Classes 1 and 2 be allowed to remain. 
However, the practice of torch cutting rails in track Classes 3 and 
above, except for emergency temporary repairs, will be prohibited in 
the future. Existing torch cuts in Class 3 track over which regularly 
scheduled passenger trains operate will be inventoried and any torch 
cuts that are found later but are not listed on the inventory must be 
removed. Torch cuts in Class 4 track

[[Page 36146]]

must be removed within two years of the effective date of this rule, 
and torch cuts in Class 5 track must be removed within one year. The 
RSAC and FRA adopted this proposal, further discussed in the Section-
by-Section portion of this notice.

L. Metric System

    In the 1992 ANPRM, FRA requested comments in response to a proposal 
to create a dual system of measurements, English and metric, for 
inclusion in these regulations. Responses were varied. Some commenters 
suggested that FRA implement metric standards, while others recommended 
that a dual system would be better. Still others argued that the 
addition of metric standards, whether as a single standard or in a dual 
system with English standards, would cause confusion in the industry. 
They added that computerized recordkeeping would have to be re-
programmed at a significant expense.
    The RSAC, after a discussion of the issue by the Track Working 
Group, decided not to recommend the addition of metric standards at 
this time. Therefore, FRA concludes that the introduction of metric 
values into the regulations is not appropriate at this time.
* * * * *

Section By Section Analysis

Section 213.1--Scope of the Part

    The proposed amendment to this section would eliminate the word 
``initial.'' When the Track Safety Standards were first published in 
1971, they were referred to as ``initial safety standards'' because 
they were the first Federal standards addressing track safety. Twenty-
five years and several amendments later, the current Track Safety 
Standards are no longer initial standards. Therefore this amendment 
will eliminate a mischaracterization of the standards by removing the 
outdated descriptive ``initial.''

Section 213.2--Preemptive effect

    This notice proposes to add this section to Part 213 to indicate 
that states cannot adopt or continue in force laws related to the 
subject matter covered in this rule, unless such laws are needed to 
address a local safety hazard and they impose no undue burden on 
interstate commerce. This section is consistent with the mandate of 49 
U.S.C. Sec. 20106, formerly Sec. 205 of the Federal Railroad Safety Act 
of 1970. Although the courts ultimately determine preemption in any 
particular factual context, this section provides a statement of agency 
intent and promotes national uniformity of regulation in accordance 
with the statute.

Section 213.3--Application

    This notice does not propose to amend this section. The RSAC's 
Track Working Group discussed amending subsection (b) to reference 
Appendix A of Part 209 in an effort to clarify FRA's safety policy 
toward trackage used by general system railroads within the confines of 
installations. According to Appendix A of Part 209, an plant owner is 
held liable for the safety of any plant trackage over which a general 
system railroad operates. The Working Group advised that a reference to 
Appendix A of Part 209, which is merely a statement of FRA policy, 
could have the effect of making all provisions of Part 213 enforceable 
against thousands of plant owners, at least to the extent over which 
general system railroads operate within plant borders. Such a result 
would be more far-reaching than intended by the RSAC. Even while FRA 
declines to apply Part 213 to plant railroads, the agency continues to 
have safety jurisdiction over those railroads and may invoke its 
statutory emergency authority if it deems it necessary in order to 
safeguard anyone from the hazard of death or personal injury.

Section 213.4--Excepted Track

    This notice proposes to maintain the provision for excepted track 
with added restrictions for its use and maintenance. Since its 
inception in 1982, the excepted track category has become an economic 
issue for some small railroads, particularly short line railroads and 
low volume shippers. It allows railroads to continue to use, on a 
limited basis, low-density trackage that does not earn sufficient 
revenue to justify the expense of maintaining it to higher track 
standards. It allows short lines to acquire and use trackage that may 
have been abandoned by larger railroads, thereby preserving rail 
service to shippers and avoiding the necessity of shifting traffic over 
those lines from moving to some other, perhaps more hazardous, means of 
transport.
    Because the majority of reportable derailments on excepted track 
are track-caused, and the majority of this total are wide gage related, 
this notice proposes to institute a requirement that gage must not 
exceed of 58\1/4\'' on excepted track. This requirement will only apply 
to the actual gage measurement itself, and will not extend to the 
evaluation of crossties and fasteners which provide the gage restraint. 
A clarification has been added to the inspection requirements on 
excepted track which specifically reference turnout inspections as 
being required under this section.
    The proposal also includes a requirement that railroads notify FRA 
at least 10 days before removing trackage from excepted status. This 
provision is to prevent the practice FRA has witnessed in the past by 
some railroads who remove trackage from excepted status only long 
enough to move a passenger excursion train or a train with more than 
five cars containing hazardous materials. Furthermore, the proposal 
includes an edit to Sec. 213.4(e)(2) which changes the word ``revenue'' 
to ``occupied'' in describing passenger trains prohibited from 
operating over excepted track. This change addresses a misconception by 
some railroads that they could operate passenger excursion trains over 
excepted track as long as they did not charge passengers admission for 
a ride. The proposed change clarifies that the prohibition is directed 
toward all passengers but is not meant to include train crew members, 
track maintenance crews, and other railroad employees who must travel 
over the track to attend to their work duties.

Section 213.5--Responsibility of track owners

    This notice proposes changes to subsections (c) and (d) to modify 
the way in which track owners may assign compliance responsibility to 
another entity. Under the current regulations, a track owner may 
petition the Federal Railroad Administrator to recognize another party 
as the one primarily responsible for the maintenance and inspection of 
the owner's track. This provision is intended to facilitate compliance 
by track owners whose track is leased to another entity for operation. 
Often track owners ( e.g., municipal communities, county governments) 
do not have the necessary expertise to maintain compliance with Federal 
track standards, but their track lessees do. Thus, track owners can 
successfully petition FRA for reassignment of primary responsibility by 
providing certain information about the assigned party and the 
relationship of the assigned party to the track owner. When such a 
petition is approved by FRA, the assigned party becomes responsible, 
along with the track owner, for compliance with Part 213.
    The proposed change for these subsections eliminates the approval 
process by FRA, shown in years past to be the cause of unnecessary 
paperwork. Records show that FRA has approved almost every such 
petition it has reviewed. Under the proposed subsection, a track owner 
could reassign

[[Page 36147]]

responsibility to another entity simply by notifying FRA's regional 
administrator for the FRA region in which the track is located. The 
notification would include the same information required for the 
petitions under the current standards. However, FRA would discontinue 
its practice of publishing in the Federal Register the petitions for 
reassignment, along with requests for public comment. The reassignments 
would no longer be reviewed by FRA's Railroad Safety Board.
    FRA believes that the proposed change would not diminish track 
safety. Although the intent of the original subsection was to give FRA 
some control over who should be responsible for maintaining track, the 
practical application of the subsection has shown that such control by 
the agency is unnecessary. Rather, it is more important for FRA to know 
what party or parties to hold responsible for compliance with track 
safety standards. Therefore, the proposed subsection (c) would require 
notification to the agency of reassignments of track responsibility, 
but it would no longer require approval by FRA now required in 
subsection (d). The text currently shown as subsection (d) would be 
eliminated.
    This notice also proposes one minor change in current subsection 
(e), substituting the name ``Surface Transportation Board'' for 
``Interstate Commerce Commission.'' This substitution is meant to 
reflect Congress'' action in 1995 to eliminate the Interstate Commerce 
Commission and turn over many of its functions to the new Surface 
Transportation Board within the Department of Transportation. With the 
elimination of the current text of subsection (d), this subsection now 
designated as (e) would become subsection (d).

Section 213.7--Designation of qualified persons to supervise certain 
renewals and inspect track

    In the past, FRA has interpreted this section in a way that allowed 
signal maintainers and other railroad employees to pass trains over 
broken rails or pull-aparts in situations when they were the first on 
the scene to investigate a signal or track circuit problem. Under this 
interpretation, the intent of the regulation would not be violated if 
signal maintainers or others had been given selected training relating 
to the safe passage of trains over broken rails and pull-aparts. The 
BMWE, however, has argued that this section was never intended to allow 
for the partial qualification of personnel on Part 213 standards.
    The RSAC recommends the creation of a new subsection (d) which 
prescribes the manner in which persons not fully qualified as outlined 
in paragraphs (a) and (b) of this section may be qualified for the 
specific purpose of authorizing train movements over broken rails and 
pull-aparts. Language in the new paragraph is specific to employees 
with at least one year of maintenance of way or signal experience and 
requires a minimum of four hours of training and examination on 
requirements related to the safe passage of trains over broken rails 
and pull-aparts. The purpose of the examination is to ascertain the 
person's ability to effectively apply these requirements. It is not to 
be used as a test to disqualify the person from other duties.
    The maximum speed over broken rails and pull-aparts shall not 
exceed 10 m.p.h. However, movement authorized by a person qualified 
under this subsection may further restrict speed over broken rails and 
pull-aparts if warranted by the particular circumstances. This person 
must watch all movements and be prepared to stop the train if 
necessary. Fully qualified persons under Sec. 213.7 must be notified 
and dispatched to the location promptly to assume responsibility for 
authorizing train movements and effecting temporary or permanent 
repairs. The word ``promptly'' is meant to provide the railroad with 
some flexibility in events where there is only one train to pass over 
the condition prior to the time when a fully qualified person would 
report for a regular tour of duty, or where a train is due to pass over 
the condition before a fully qualified person is able to report to the 
scene. Railroads should not use persons qualified under 213.7(d) to 
authorize multiple train movements over such conditions for an extended 
period of time.

Section 213.9--Classes of Track: Operating Speed Limits

    This notice proposes to move Class 6 standards to Subpart G, a new 
subpart which establishes track safety standards for high speed rail 
operations. The new subpart will consist of Class 6 and three new track 
classes, Classes 7 through 9, to accommodate train speeds up to 200 
m.p.h. The Track Working Group and the RSAC recommend including Class 6 
in the high speed standards because that class of track already 
requires certain heightened maintenance practices not required by the 
lower classes of track.

Section 213.11--Restoration or Renewal of Track Under Traffic 
Conditions

    An added phrase recommended by the RSAC for the end of this section 
would clarify a qualified inspector's authority to limit the speed of 
trains operating through areas under restoration or renewal. In the 
Track Working Group, the BMWE expressed concern that the current 
language of the section provides no guidance for track inspectors 
determining the appropriate speed through restoration areas. The 
language proposed by this notice gives a qualified track inspector 
discretion to set train speed through a work area, but does not allow 
the inspector to authorize trains to operate at speeds faster than the 
maximum speed for the appropriate track class. This change does not 
represent a change to past interpretation and enforcement of this 
section; it is merely a clarification of established policy.

Section 213.15--Civil Penalty

    This notice proposes no changes to this section. The section covers 
all subparts to this part, including Subpart G. Appendix B, which sets 
forth the civil penalty schedule for violations of this part, will be 
revised in the final rule to include civil penalties for violations of 
Subpart G.

Section 213.17--Exemptions

    The Track Working Group considered a proposal by the BMWE that this 
section be eliminated. However, the group agreed that the existing 
language allowing for the temporary suspension of certain track 
standards is appropriate and exemptions are necessary for the industry 
to experiment with alternative methods of compliance and new 
technology. Therefore, the RSAC recommended that this section be left 
as currently written, and this notice proposes no changes to it.

Section 213.33--Drainage

    In its 1990 petition for revision of the track standards, the BMWE 
requested that this section be expanded to include more specific 
requirements for drainage and water diversion around track roadbeds, 
addressing water seeping toward the track, water falling upon the 
roadbed, cross drainage, and the use of geotextiles. The proposal was 
discussed by the Track Working Group, as was a proposal by the AAR that 
merely modified the phrase ``clear of obstruction'' to ``sufficiently 
clear of obstruction.'' After much discussion, the group recommended to 
the RSAC that the section be left unchanged. Therefore, this notice 
does not propose any changes to the requirements for

[[Page 36148]]

maintaining proper drainage adjacent to roadbeds.

Section 213.37--Vegetation

    This notice proposes to add a phrase to subsection (b) to include 
in the requirement to clear vegetation from signs and signals along 
railroad rights-of-way and at highway rail grade crossings. The current 
regulation stipulates only that vegetation cannot interfere with 
visibility of railroad signs and signals. Because the scope of Part 213 
limits vegetation requirements to railroad property, this proposal does 
not attempt to dictate standards for surrounding landowners. The 
additional language is intended only to cover the clearing of 
vegetation at highway-rail grade crossings to provide adequate 
visibility of railroad signs and signals; it is not intended to cover 
or preempt state or local requirements for the clearing of vegetation 
on railroad rights-of-way at highway-rail grade crossings.

Section 213.55--Alignment

    This notice proposes to introduce a 31-foot chord requirement, in 
addition to the present 62-foot chord requirement, for measuring 
alignment on curves in Classes 3 through 5 track. The RSAC, on advice 
from the Track Working Group, recommends this addition to control 
transient short wavelength variations in alignment. This control is 
considered necessary to introduce an averaging approach for the 
application of the Vmax formula which determines the maximum 
allowable operating speed for each curve. The change in the application 
of the Vmax formula is discussed in Sec. 213.57 of this 
notice.

Section 213.57--Curves; Elevation and Speed Limitations

    The existing subsection (a) limits the design elevation on curves 
to a maximum of six inches. However, this subsection also provides for 
a deviation from this design elevation, which is contained in the 
Sec. 213.63 table. For a curve elevated to six inches in Class 1 track, 
the allowable deviation would be three inches and therefore any point 
in that curve could have as much as nine inches of elevation and remain 
in compliance. For a similar situation in Class 3 track, any point in 
that curve could have as much as seven and three-fourths inches of 
elevation and still be in compliance. For modern rail cars with a high 
center of gravity, low speed curve negotiation under excessive levels 
of superelevation places the vehicle in an increased state of 
overbalance. This condition creates the possibility of wheel unloading 
and subsequent wheel climb when warp conditions are encountered within 
the curve.
    The Track Working Group considered the characteristics of the 
present-day vehicle fleet and concluded that a lower limit on maximum 
elevation in a curve should be prescribed in the regulations. 
Therefore, this notice proposes to revise subsection (a) to limit the 
amount of superelevation at any point in a curve to not more than eight 
inches on Classes 1 and 2 track, and not more than seven inches on 
Classes 3 through 5 track.
    Subsection (b) of this section addresses the maximum allowable 
operating speed for curved track. The equilibrium speed on a curve is 
the speed where the resultant force of the weight and centrifugal force 
is perpendicular to the plane of the track. The American Railway 
Engineering Association's (AREA) Manual of Engineering, Chapter 5, 
states that passenger cars have been shown to ride comfortably around a 
curve at a speed which produces three inches of underbalance, or 
otherwise stated, three inches less elevation than would be required to 
produce equilibrium conditions. The AREA Manual sets forth a formula 
based on the steady-state forces involved in curve negotiation which is 
commonly referred to as the Vmax formula. This formula 
considers the variables of elevation, curvature, and the amount of 
unbalanced elevation or cant deficiency in determining the maximum 
curving speed. The present standards under subsection (b) limit curving 
speed based on a maximum of three inches of unbalance or cant 
deficiency and is commonly referred to as the ``three-inch unbalance 
formula''. FRA has granted waivers for other levels of unbalance on 
specified equipment.
    Over the years, railroad engineers have differed as to the 
application of this three-inch unbalance formula. Some engineers have 
suggested the designed elevation and curvature should be used to 
calculate the maximum operating speed around a curve. Other engineers 
recommend that an average of the entire curve or segment of the curve 
better recognizes situations where steady-state conditions change. For 
example, the elevation may be decreased through a road crossing to 
accommodate road levels and then increased beyond the crossing.
    Recognizing the origin and purpose of the Vmax formula, 
the Track Working Group recommended that an average of the alignment 
and crosslevel measurements through a track segment in the body of the 
curve should be used in the formula to arrive at the maximum authorized 
speed. This approach recognizes the ``steady-state'' purpose of the 
formula. Transient locations (points) are covered by the alignment and 
track surface tables. Normally, approximately 10 stations are used 
through the track segment, spaced at 15'6'' apart. If the length of the 
body of the curve is less than 155 feet, measurements should be taken 
for the full length of the body of the curve.
    This uniform or averaging technique over the 10 stations through 
the track segment is consistent with the concept used by the vehicle/
track dynamicists who discuss ``g'' levels in steady-state conditions, 
often considered to be one or two seconds. At 80 m.p.h., a vehicle will 
have traversed approximately 118 feet of track in one second. 
Measurements taken over 155 feet (10 stations at 15'6'') provides the 
necessary distance to determine the behavior of the vehicle over the 
one-or two-second steady-state interval.
    Analysis has shown that, although application of the 
Vmax formula on a point-by-point basis is overly 
conservative, it does provide for the coverage of certain combinations 
of alignment and crosslevel deviations in Classes 3 through 5 track 
which could result in wheel climb derailments. However, further 
analysis has shown that these transient short-wave anomalies can be 
covered by the introduction of a 31-foot chord to the alignment table 
contained in Sec. 213.55.
    The Track Working Group also recommended the addition of new 
paragraphs (c), (d), (e), and (f) which will permit curving speeds 
based on four inches of unbalance or cant deficiency for certain 
categories of equipment that demonstrate safe curving performance at 
this level of unbalance. The means of qualification is a basic 
procedure known as a ``static lean'' test that has been used many times 
in recent years for the testing of equipment for operation at higher 
cant deficiencies. Although four inches of cant deficiency is usually 
applied to passenger trains, other types of equipment with comparable 
suspension systems, centers of gravity, and cross-sectional areas may 
perform equally well. On the other hand, the Track Working Group did 
not intend to suggest that standard freight equipment must have the 
prerequisite vehicle characteristics which would allow curving speeds 
based on more than three inches of cant deficiency. The Track Working 
Group recommended that FRA review the information provided by the track 
owner or operator to verify safe curving performance and approve the 
proposal before the vehicles are operated at four inches of cant 
deficiency.

[[Page 36149]]

    This notice proposes to revise Appendix A, which currently contains 
a table specifying the maximum allowable operating speed for each curve 
based on three inches of cant deficiency. Under this proposed change, 
Appendix A would be amended to include two tables. Table 1 would be 
identical to the current table, while Table 2 would specify curving 
speeds based on four inches of cant deficiency.

Section 213.63--Track Surface

    The present track surface table contained in this section was 
established in the original standards more than 20 years ago and has 
served the industry well as a minimum safety requirement. However, some 
of the parameters need updating to recognize the knowledge gained from 
investigation of derailment causes, engineering analysis, and changes 
in terminology. Therefore, this notice proposes several changes to 
track surface requirements to better address current knowledge of 
track/vehicle interaction.
    This notice proposes that the parameter referring to the rate of 
runoff at the end of a track raise and the parameter for deviation from 
uniform profile should both remain unchanged. The profile parameter is 
conservative for single occurrences on both rails and less conservative 
for repeated perturbations.
    In the 1982 revisions to the Track Safety Standards, the 
requirement for maintenance of curve records, including degree of 
curvature and the amount of elevation designated in curves was removed. 
Since that time, the term ``designated elevation'' has been 
controversial and difficult to apply. This notice proposes to remove 
that term from the revised table.
    This notice also proposes to revise the way the Track Safety 
Standards address transition spirals. For many curves, especially in 
the lower track classes, track maintenance personnel often differ as to 
the locations where spirals begin and end, as well as to the measured 
runoff rate. In view of the somewhat subjective nature of the concept 
of uniform runoff in spirals, the proposed changes in this notice use a 
different approach from runoff or ``variation in crosslevel in 
spirals'' and incorporate this parameter into another parameter.
    In the present track surface table, the maximum variation in 
crosslevel in spirals could exceed that allowed on tangents and in the 
full body of curves over the same distance. The mechanism for 
derailment in the body of the curve is the same as in the spiral. This 
notice proposes that the differences in crosslevel in spirals be 
included in one parameter to simplify the table and correct the 
discrepancy that currently exists. This notice also proposes that the 
existing parameters referring to ``deviation from designated 
elevation'' and ``variation in crosslevel'' in spirals are unnecessary, 
provided spiral variations in crosslevel are included in the ``warp'' 
parameter. The ``warp'' parameter is measured by determining the 
difference in crosslevel between two points less than 62-feet apart.
    While the difference in crosslevel parameter (warp) addresses the 
majority of situations where wheel climb or rock off can occur, three 
footnotes are added to the table to address specific situations.
    Footnote 1 addresses the present practice on some railroads to 
design a greater runoff of elevation in spirals due to physical 
restrictions on the length of spirals. Spiral runoff in new 
construction must be designed and maintained within the limits shown in 
the table for difference in crosslevel.
    Footnote 2 is included to address the known derailment cause where 
a warp occurs in conjunction with an amount of curve elevation that 
approaches the maximum typically in use. When a vehicle is in an 
unbalanced condition on this curve elevation and encounters a warp 
condition, the vehicle is subjected to wheel/rail forces that could 
result in wheel climb.
    Footnote 3 is included to address the harmonic rock off problem of 
which the railroad industry has been aware for many years. Under 
repeated warp conditions, the vehicle can experience an increase in 
side-to-side rocking that may result in wheel climb in curves or center 
plate separation on tangents.

Section 213.109--Crossties

    This notice proposes to amend this section to include several 
recommendations made by the Track Working Group and adopted by the 
RSAC. After reviewing FRA's Accident/Incident data base, the group 
concluded that wide gage resulting from defective crossties continues 
to be the single largest causal factor associated with track-caused 
reportable derailments.
    Gage widening forces applied to the track structure from the 
movement of rolling stock tend to increase as track curvature 
increases. Therefore, this notice proposes to increase the number of 
effective crossties required under subsection (c) for turnouts and 
curved track with over two degrees of curvature. The purpose of this 
proposed requirement is to strengthen the track structure to enable it 
to better resist such forces.
    In Class 1 track, the required number of crossties in any 39-foot 
segment of track would increase from five to six; in Class 2 track, 
from eight to nine; in Class 3 track, from eight to 10; and in Classes 
4 and 5 track, from 12 to 14. These changes are proposed to become 
effective 2 years after the effective date of the final rule.
    Under subsection (d), this notice proposes an optional requirement 
for the number and placement of crossties near rail joints in Classes 3 
through 5 track. The existing requirement calls for one crosstie within 
a specified distance from the rail joint location, while the proposed 
optional requirement allows two crossties, one on each side of the 
joint, within a specified distance from the rail joint location. FRA 
previously examined both standards under various static loading 
conditions. The results indicated that the proposed optional 
requirement provides equal or better joint support than the present 
requirement.
    This notice also proposes to add a new subsection (e) to address 
track constructed without conventional crossties, such as concrete-slab 
track. The existing standards do not address this type of construction 
in which the running rails are secured through fixation to another 
structural member. The proposed addition addresses this type of track 
construction by requiring railroads to maintain gage, surface, and 
alignment to the standards specified in subsections (b)(1) (i), (ii), 
and (iii).

Section 213.113--Defective Rails

    This notice proposes several substantive changes to this section 
which reflect the results of FRA's on-going rail integrity research 
program. The results indicate the need to revise the remedial action 
tables and specifications to more adequately address the risks of rail 
failure, reserving the most restrictive actions on limiting operating 
speed for those rail defects which are large enough to present a risk 
of service failure.
    Because ``zero'' percent entries serve no useful purpose, they 
should be dropped from the remedial action tables. Similarly, ``100'' 
percent of rail head cross-sectional area is not a meaningful dividing 
point for transverse defects. The proposed revisions to the remedial 
action table for transverse defects places a lower limit of five 
percent of the rail head cross-sectional area. If a transverse defect 
is reported to be less than five percent, no remedial action would be 
required under the revised standards. Defects reported less than five 
percent are not consistently found during rail breaking programs and

[[Page 36150]]

therefore defect determination within this size range is not always 
reliable. Furthermore, if the determination is reliable, defect growth 
to service failure size within the newly established testing frequency 
under Sec. 213.237 is highly unlikely. The proposed revisions to the 
remedial action table for transverse defects also establishes one or 
more mid-range defect sizes, between five percent and 100 percent, each 
of which will require specific remedial actions.
    In the proposed revised remedial action table, all longitudinal 
defects are combined within one group subject to identical remedial 
actions based on their reported size. These types of longitudinal 
defects all share similar growth rates and the same remedial actions 
are appropriate to each type. The lower limit of ``0'' inches has been 
eliminated and the size divisions have been revised upward slightly to 
reflect FRA's research findings which indicate that this class of rail 
defect has a relatively slow growth rate.
    The ``0'' inch lower limit has been eliminated also for bolt hole 
cracks and broken bases. The proposed revision also includes minor 
changes in the size divisions for bolt hole cracks, as well as changes 
in the required remedial action for broken bases less than 6 inches and 
damaged rail.
    This notice also proposes to add ``Flattened Rail'' to the rail 
defect table. Although it is not a condition shown to affect the 
structural integrity of the rail section, it can result in less-than-
desirable dynamic vehicle responses in the higher speed ranges. The 
flattened rail condition is identified in the table, as well as in the 
definition portion of subsection (b), as being \3/8\'' or more in depth 
and 8'' or more in length.
    The Track Working Group discussed at length a ``break out in rail 
head'', but was unable to agree on a standard definition. The RSAC 
therefore recommends that the industry continue to be guided by FRA's 
current interpretation that a break out in the rail head consists of a 
piece physically separated from the parent rail.
    This notice also proposes to make several substantive revisions to 
the remedial actions specified under ``Notes'' in subsection (a)(2) of 
this section. A new note ``A2'' has been added to address the mid-range 
transverse defect sizes which have been added to the table. This 
remedial action allows for train operations to continue at a maximum of 
10 m.p.h. for up to 24 hours, following a visual inspection by a person 
designated under Sec. 213.7 of this part.
    Note ``B'', which currently does not define a limiting speed, would 
be changed to limit speed to 30 m.p.h. or the maximum allowable speed 
under Sec. 213.9 for the class of track concerned, whichever is lower.
    Notes ``C'', ``D'', and ``H'' have been revised to limit the 
operating speed, following the application of angle bars, to 50 m.p.h. 
or the maximum allowable speed under Sec. 213.9 for the class of track 
concerned, whichever is lower. Presently, the standards limit speed to 
60 m.p.h. or the maximum allowable speed under Sec. 213.9 for the class 
of track concerned, whichever is lower.
    A second paragraph in Note ``C,'' the remedial action which applies 
specifically to detail fractures, engine burn fractures, and defective 
welds, proposes a significant change to the current standards. This 
revision addresses defects which are discovered in Classes 3 through 5 
track during an internal rail inspection required under Sec. 213.237, 
and whose size is determined not to be in excess of 25 percent of the 
rail head cross-sectional area. For these specific defects, a track 
owner may operate for up to four days at a speed limited to 50 m.p.h. 
or the maximum allowable speed under Sec. 213.9 for the class of track 
concerned, whichever is lower. If the defective rail is not removed or 
a permanent repair made within four days of discovery, the speed shall 
be limited to 30 m.p.h. until joint bars are applied.
    Under the existing standards, these types of defects, predominant 
on heavy utilization trackage, would require a 30 m.p.h. restriction 
until angle bars are applied. Practice within the industry today is to 
operate the rail test vehicle until the number of defects found exceeds 
the railroad's ability to effect immediate repairs. At that time the 
rail test vehicle is shut down for the day. The purpose of this 
practice is to reduce speed restrictions which not only affect the 
railroad's ability to move trains, but also can produce undesirable in-
train forces that can lead to derailments. However, prematurely 
shutting down rail test car operations negate any possibility of 
discovering larger and more serious defects that may lie just ahead.
    Furthermore, the results of FRA's research indicate that defects of 
this type and size range have a predictable slow growth life. Research 
indicates that even on the most heavily utilized trackage in use today, 
defects of this type and size are unlikely to grow to service failure 
size in four days.

Section 213.119--Continuous Welded Rail (CWR); General

    This notice proposes to introduce a requirement for railroads to 
establish and place in effect written procedures to address CWR. These 
procedures must address the installation, adjustment, maintenance and 
inspection of CWR track, and include a formal training program for the 
application of these procedures. The procedures, including a program 
for training, must be submitted to FRA within six months following the 
effective date of this rule. Although many railroads already have in 
effect a CWR program, FRA will review each submitted set of procedures 
for compliance with the individual requirements of the proposed 
regulation.
    Within the last decade, through the determined efforts of 
researchers from industry and government, along with experience gained 
from accident investigators and track maintenance people, the railroad 
industry has gained a better comprehension of the mechanics of 
laterally unstable CWR track. As a result, the industry has identified 
maintenance procedures that are critical to maintaining CWR track 
stability.
    The proposed requirements do not detail how each procedure is to be 
carried out. Rather, they identify the basic safety issues and permit 
railroads to develop and implement their own procedures to address 
those issues, provided the procedures are consistent with current 
research results as well as findings from practical experience 
documented in recent years. The procedures should be clear, concise, 
and easy to understand by maintenance-of-way employees. A comprehensive 
training program must be in place for the application of these 
procedures.
    The proposed regulation requires the designation of a ``desired 
rail installation temperature range'' for the geographic area in which 
the CWR is located. By definition contained in the proposed regulation, 
this is the rail temperature range at which forces in CWR should not 
cause a track buckle in extreme heat, or a pull-apart during cold 
weather. Current general practice within the industry, based to a large 
extent on research findings, is to establish a ``desired rail 
installation temperature range'' which is considerably higher than the 
annual mean temperature for the geographic area in which the CWR is 
located. The proposed regulation provides railroads with flexibility to 
establish the ``desired rail installation temperature range'' based on 
the characteristics of the specific territory

[[Page 36151]]

involved and the historical knowledge acquired through the application 
of past procedures.
    When CWR is installed and anchored/fastened at the ``desired rail 
installation temperature range,'' it is considered to be in its initial 
``stress-free'' state, where the net longitudinal force is equal to 
zero. Research discloses that many factors, some of which are 
unavoidable, like dynamics of train operation, the necessary lining and 
surfacing of the track structure, and performing rail repairs all 
contribute to a gradual lowering over time of the initial rail 
installation temperature range which increases the potential for track 
buckling. This phenomenon substantiates the need to install and anchor/
fasten CWR at a relatively high rail installation temperature range.
    Maintenance of the ``desired rail installation temperature range'' 
is critical to ensuring CWR stability. Therefore, the procedures for 
installation, adjustment, effecting rail repairs, and repairing track 
buckles or pull-aparts must compare the existing rail temperature with 
the ``desired rail installation temperature range'' for the area 
concerned.
    The procedures also must address several other topics, such as rail 
anchoring, controlling train speed when CWR track has been disturbed, 
ballast re-consolidation, inspections, and recordkeeping for the 
installation of CWR and rail repairs that do not conform to the 
railroad written procedures. A track owner may update or modify CWR 
procedures as necessary, upon notification to FRA of those changes.
    Development of individual CWR programs could prove burdensome for 
many small railroads. As recommended by the Track Working Group, FRA 
will work with the American Short Line Railroad Association (ASLRA) to 
develop a generic set of CWR procedures to apply to low speed/low 
tonnage Class 2 and Class 3 railroad operations.

Section 213.121--Rail Joints

    Under existing subsection (a), the phrase ``proper design and 
dimension'' has often been interpreted to prohibit the use of any joint 
bar on a rail section for which it was not specifically designed. This 
interpretation does not consider the fact that certain joint bars are 
interchangeable between different rail sections. Therefore, this notice 
proposes to change the word ``proper'' to ``structurally sound'' in 
subsection (a).
    In subsection (b), this notice proposes to add the modifier 
``excessive'' in front of the phrase ``vertical movement.'' The 
existing language in this subsection implies that no vertical movement 
of either rail could be allowed when all bolts are tight. This 
interpretation is too strict. FRA's Enforcement Manual suggests that 
FRA inspectors evaluate excessive vertical movement when determining 
compliance with this paragraph. This proposal will make the rule 
conform to sound practices.
    This notice proposes to extend to Class 2 track the prohibition of 
torch cutting bolt holes in rail. The reference to angle bars has been 
removed and is to be covered in the proposed new subsection (h) which 
restricts the practice of re-configuring joint bars. Joint bars for 
older rail sections are becoming increasingly difficult to find and are 
no longer being manufactured. Therefore, the new subsection (h) 
prohibits the re-configuration of joint bars in Classes 3 through 5 
track, but not in Classes 1 and 2 track.

Section 213.122--Torch Cut Rail

    This proposed new section addresses the proper handling of rails 
cut by the use of a torch. The practice of torch-cutting rail at one 
time was commonplace on railroads, but was discontinued in higher speed 
track several years ago when better saws were developed and railroads 
discovered that rails that have been torch-cut have a greater tendency 
to develop fractures. Today, on track Classes 3 and above, the practice 
is used almost exclusively for temporary emergency repairs that are 
then quickly replaced with new rail. The purpose of this section is to 
outlaw the practice of torch cutting rails, except for emergency 
repairs, on all track in classes above Class 2. Trains speed for track 
that has been torch cut for emergency repairs made after the effective 
date of this rule must be reduced to the maximum allowable speed for 
Class 2 until the torch cut rail is replaced.
    The proposed section also provides railroads with guidance for 
eliminating old torch cut rail in track Classes 3 through 5. The 
industry believes no torch cuts exist in Class 6 track. Torch cuts in 
Class 5 track must be eliminated within a year of the effective date of 
this rule, while torch cuts in Class 4 track must be removed within two 
years. Within one year of the effective date of this rule, railroads 
must inventory existing torch cuts in any Class 3 track over which 
regularly scheduled passenger trains operate. Those torch cuts found 
and inventoried will be ``grandfathered in.'' Any torch cuts that are 
found on such track after the expiration of one year and that are not 
inventoried will be limited immediately to Class 2 speed and removed 
within 30 days of discovery. If a railroad chooses to upgrade a segment 
of track from Classes 1 or 2 to Class 3, and regularly scheduled 
passenger trains operate over that track, the railroad must remove any 
torch cuts before the speeds can be increased beyond the maximum 
allowable for Class 2 track. If a railroad chooses to upgrade a segment 
of track from any class of track to Class 4 or 5, it must remove all 
torch cuts.

Section 213.123--Tie Plates

    This notice proposes to add a new subsection (b) to this section 
which reads, ``In Classes 3 through 5 track, no metal object which 
causes a concentrated load by solely supporting a rail shall be allowed 
between the base of rail and the bearing surface of the tie plate.'' 
Similar wording for this paragraph was originally recommended to the 
RSAC by FRA's Technical Resolution Committee.
    The specific reference to ``metal object'' is intended to include 
only those items of track material which pose the greatest potential 
for broken base rails such as track spikes, rail anchors, and shoulders 
of tie plates. The phrase ``causes a concentrated load by solely 
supporting a rail'' further clarifies the intent of the regulation to 
apply only in those instances where there is clear physical evidence 
that the metal object is placing substantial load on the rail base, as 
indicated by lack of load on adjacent ties.

Section 213.127--Rail Fastening Systems

    This notice proposes to change the title of this section from 
``Rail fastenings'' to ``Rail fastening systems'' and to reduce the 
language of the regulation to one sentence which reads ``Track shall be 
fastened by a system of components which effectively maintains gage 
within the limits prescribed in Sec. 213.53(b).''
    The change to ``rail fastening systems'' more adequately addresses 
the many individual components of modern-day elastic fastening systems, 
such as pads, insulator clips, and shoulder inserts. The failure of 
certain critical components within the system could adversely affect 
the ability of the individual fastener to provide adequate gage 
restraint. The revised language of the regulation provides for an 
evaluation of all components within the system, if necessary, in order 
to evaluate whether they are affording effective gage restraint.
    The RSAC considers the current reference to qualified Federal or 
State

[[Page 36152]]

track inspectors and the definition of a qualified State track 
inspector to be redundant, given the adoption of Part 212. Therefore, 
this notice proposes to delete the phrase ``qualified Federal or State 
track inspector,'' as well as the last sentence of the current section 
which contains the definition of a qualified state track inspector.

Section 213.133--Turnouts and Track Crossings Generally

    This notice proposes to retain the language of subsection (a) which 
reads, ``In turnouts and track crossings, the fastenings must be intact 
and maintained so as to keep the components securely in place.'' The 
AAR proposed to revise the language to say, ``* * * the fastenings must 
be maintained for the safe passage of trains.'' The AAR contended that 
turnout and track crossings are designed with a high degree of 
redundancy, making it unnecessary for each fastening to be intact to 
maintain safety. However, the RSAC recommends that the regulations 
allow track inspectors discretion to evaluate immediate circumstances 
in determining what level of remedial action is necessary for loose or 
missing fastenings. RSAC recommends that inspectors be provided 
specific guidance about interpreting this provision, such as the 
guidance contained in technical bulletin T-95-09 recently issued by 
FRA.
    This notice proposes to change subsection (b) to reflect proposals 
presented by the BMWE and by the AAR and FRA. The RSAC recommends that 
rail anchoring requirements be extended to include Class 3 trackage and 
that ``rail anchors'' be changed to ``rail anchoring `` so that rail 
anchoring would include elastic rail fasteners.

Section 213.135--Switches

    This notice proposes to revise subsection (b) to consider the 
existence of reinforcing bars or straps on switch points where joint 
bars cannot be applied to certain rail defects, as required under 
Sec. 213.113(a)(2), because of the physical configuration of the 
switch. In these instances, remedial action B will govern, and a person 
designated under Sec. 213.7(a), who has at least one year of 
supervisory experience in track maintenance, will limit train speed to 
that not exceeding 30 m.p.h. or the maximum allowable under 
Sec. 213.9(a) for the appropriate class of track, whichever is lower. 
Of course, the person may exercise the options under Sec. 213.5(a) when 
appropriate.
    The RSAC did not recommend specific dimensions for determining when 
switch points are ``unusually chipped or worn,'' as provided for in 
subsection (h). FRA stated that its Accident/Incident data base 
indicates that worn or broken switch points are the largest single 
cause of derailments within the general category of ``Frogs, Switches, 
and Appliances.'' However, the AAR contended that developing meaningful 
numbers for these measurements would be a difficult task because most 
of these derailments are related also to other causal factors such as 
wheel flange condition, truck stiffness, and train handling 
characteristics. This notice, therefore, proposes to retain the current 
wording in subsection (h), allowing qualified individuals to evaluate 
immediate circumstances to determine when switch points are ``unusually 
chipped or worn.''
    A new subsection (i) is proposed by this notice to read, ``Tongue 
and plain mate switches, which by design exceed Class 1 and excepted 
track maximum gage limits, are permitted in Class 1 and excepted 
track.'' This new subsection provides an exemption for this item of 
specialized track work, primarily used in pavement or street railroads, 
which by design does not conform to the maximum gage limits prescribed 
for Class 1 and excepted track.

Section 213.137--Frogs

    This notice proposes to add a new subsection (d) to this section, 
which reads, ``Where frogs are designed as flange-bearing, flangeway 
depth may be less than that shown for Class 1 if operated at Class 1 
speeds.'' This subsection provides an exemption for an item of 
specialized track work which by design does not conform to the minimum 
flangeway depth requirements prescribed in subsection (a) of this 
section.

Section 213.143--Frog Guard Rails and Guard Faces; Gage

    To facilitate an easier understanding of the requirements contained 
in this section, this notice proposes to add a diagram to illustrate 
the method for measuring guard check gage and guard face gage. The 
proposal contains no substantive changes to this section.

Section 213.205--Derails

    This notice proposes to add language to this section designed to 
ensure that derails are maintained to function properly. The RSAC 
recommended these changes as additional safety features for train 
crews, as well as railroad employees working on and around tracks.

Section 213.233--Track Inspections

    This notice proposes several changes to subsection (b). The five 
m.p.h. restriction over highway crossings is eliminated to permit safe 
operation of vehicles through highway traffic. However, the subsection 
would still require an inspector to perform an adequate inspection, 
regardless of how the inspector operates over the crossing. Also, the 
word ``switch'' is replaced by the word ``turnout'' to clarify the 
track device originally intended to be addressed in the regulation.
    The Track Working Group considered advising the RSAC to recommend 
specific speed restrictions for inspection vehicles. However, after 
several lengthy discussions, the group suggested instead that this 
subsection provide the individual inspector with sole discretion in 
determining vehicle speed based on track conditions, inspection 
requirements, and other circumstances that may vary from day to day and 
location to location. The group also suggested the insertion of a 
footnote at the end of this section which indicates this discretion is 
not limited by any other part of this section, and is extended to 
determine sight distance (``visibility remains unobstructed by any 
cause'') which is referenced in subsections (b) (1) and (2) of this 
section.
    The existing language under subsection (b) does not specify how 
many tracks may be inspected in one pass of an inspection vehicle in 
multiple track territory. FRA has never issued interpretive language 
regarding this issue, opting to judge the overall effectiveness of the 
inspection program rather than the specific manner in which it was 
conducted. This notice proposes to establish some guidelines for hy-
rail inspections conducted in multiple track territory.
    As a result, subsection (b) contains additional language specifying 
the number of additional tracks that can be inspected, depending on 
whether one or two qualified individuals are in the vehicle, and 
depending on the distance between adjacent tracks measured between 
track centerlines. Inspectors may inspect multiple tracks from hy-rail 
vehicles only if their view of the tracks inspected is unobstructed by 
tunnels, differences in ground level, or any other circumstance that 
would prevent an unobstructed inspection of all the tracks they are 
inspecting. The revised subsection also requires railroad to traverse 
each main track bi-weekly and each siding monthly, and to so note on 
the appropriate track inspection records.

[[Page 36153]]

    With respect to the inspection frequency required in subsection 
(c), neither the Track Working Group nor the RSAC could reach agreement 
in determining a frequency requirement that would be based on speed, 
tonnage, or track usage. Therefore, this notice does not propose to 
change the language in this subsection.

Section 213.235--Switch and Track Crossing Inspections

    This notice proposes to change subsection (a) by adding the word 
``turnout'' after the word ``switch'' to clarify the track device and 
the intent of the requirement which is to inspect the entire turnout. 
The word ``switch'' is retained to include switch point derails or any 
other device which is not considered a full turnout.
    A second sentence is added to subsection (a) which reads, ``Each 
switch in Classes 3 through 5 track that is held in position only by 
the operating mechanism and one connecting rod shall be operated to all 
of its positions during one inspection in every 3-month period.'' The 
nature of this type of switch requires a thorough inspection of the 
critical parts, some of which are non-redundant. This is best 
accomplished by operating the switch mechanism to allow for a better 
inspection of these components. The phrase ``all positions'' is 
intended to cover slip switches and lap switches.
    In subsection (b), the word ``turnout'' is added after the word 
``switch'' for the same reasons explained above.

Section 213.237--Inspection of Rail

    Under existing subsection (a), the Track Safety Standards require 
Classes 4 and 5 track, as well as Class 3 track over which passenger 
trains operate, to be tested annually for internal rail defects. This 
requirement was established at a time when main line freight traffic 
was considerably lighter than it is today. At the time the original 
standards were drafted, test frequencies generally equated to intervals 
between 15 and 20 million gross tons (MGTs), although there existed 
some track that carried 40 MGTs or more in one year. As a matter of 
practice, railroads generally test more often than presently required 
under the standards, with intervals between tests typically ranging 
from 20 to 30 MGTs. These typical intervals define a good baseline for 
generally accepted maintenance practices, and the industry's rail 
quality managers consider these limits as points of departure for 
adjustment of test schedules to account for the effects of specific 
track characteristics, maintenance, traffic, and weather.
    This notice proposes to leave unchanged the present annual test 
requirement for Classes 4 and 5 track and Class 3 track over which 
passenger trains operate, based on risk factors associated with freight 
train speeds and passenger train operations. However, with the high 
utilization trackage that now exists on Class 1 freight railroads, the 
original requirement based solely on the passage of time, without 
regard to tonnage, is no longer adequate.
    Selecting an appropriate frequency of rail testing is a complex and 
somewhat controversial task involving many different factors including 
temperature differential, curvature, residual stresses, rail sections, 
and cumulative tonnage. Taking into consideration all of the above 
factors, FRA's research suggests that 40 MGTs is the maximum tonnage 
that can be hauled between rail tests and still allow a safe window of 
opportunity for detection of an internal rail flaw before it propagates 
in size to service failure. This notice proposes that intervals be set 
at once per year or 40 MGTs, whichever is shorter, for Classes 4 and 5 
track and for Class 3 track over which passenger trains operate.
    This notice also proposes that Class 3 trackage not supporting 
passenger traffic be subject to testing for internal rail defects. 
FRA's Accident/Incident data point to a need for inclusion of all Class 
3 trackage in a railroad's rail testing program. Therefore, this notice 
proposes to add a requirement that Class 3 track over which passenger 
trains do not operate be tested once a year or once very 30 MGTs, 
whichever is longer.
    This notice proposes the limit of once a year or 30 MGTs because a 
more frequent testing cycle or a cycle identical to that proposed for 
Classes 4 and 5 track would be too burdensome for the industry. The 
proposed limits are designed to give short line railroads and low 
tonnage branch lines some relief from the introduction of a new 
regulatory requirement and still reduce the present risks associated 
with not testing Class 3 track at all.
    This notice also proposes the addition of subsections (d) and (e). 
Subsection (d) addresses the case where a valid search for internal 
rail defects could not be made because of rail surface conditions. 
Several types of technologies are presently employed to search for 
internal rail defects, some with varying means of displaying and 
monitoring search signals. Therefore, this notice does not define a 
non-test in absolute technical terms, but rather leaves this judgment 
to the rail test equipment operator who is uniquely qualified on that 
equipment.
    Proposed subsection (e) specifies the options available to a 
railroad following a non-test due to rail surface conditions. These 
options must be exercised prior to the expiration of time or tonnage 
limits specified in paragraph (a) of this section.

Section 213.239--Special Inspections

    The RSAC recommended no change to this section, and likewise, FRA 
proposes no change to the language in the regulation. However, FRA 
believes that an explanation of agency policy interpreting the section 
is in order. Although the section contains a sample list of surprise 
events that occur in nature, FRA does not view this provision as 
limited to only the occurrences listed or to only natural disasters. 
``Other occurrences'' also includes such natural phenomena as 
temperature extremes, as well as unexpected events that are human-made, 
e.g., a vehicle that falls on the tracks from an overhead bridge, a 
water main break that floods a track roadbed, or terrorist activity 
that damages track. This interpretation is not new; FRA has always 
viewed this section to encompass sudden events of all kinds that affect 
the safety and integrity of track.

Section 213.241--Inspection Records

    This notice proposes to change the requirement that railroads 
retain a record of each track inspection at division headquarters for 
at least one year. When this provision in subsection (b) was first 
written, railroads maintained many division headquarters throughout 
their systems, making it relatively convenient for railroads to 
maintain inspection records at these locations. Over the years, 
however, railroads consolidated many of their headquarters, often 
naming only a few locations as ``division headquarters.'' FRA has 
contended that maintaining inspection records in only a few locations 
over a system that may include thousands of miles of track was not in 
keeping with the spirit of the regulation. Railroads have argued, on 
the other hand, that compelling them to maintain headquarters for no 
other purpose than to store records was a burdensome requirement.
    The proposed change would allow railroads to designate a location 
within 100 miles of each state where records can be viewed by FRA track 
inspectors following 10 days notice by FRA. The provision does not 
require the railroads to maintain the records at these designated 
locations, only to be able to provide viewing of them at the locations 
within 10 days after notification. The

[[Page 36154]]

proposal stipulates locations within 100 miles of each state, rather 
than locations in each state, to accommodate those railroads whose 
operations may cross a state's line by only a few miles. In those 
cases, the railroad could designate a location in a neighboring state, 
provided the location is within 100 miles of that state's border.
    A change to subsection (c) requires a track owner to record any 
locations where a proper rail inspection cannot be performed because of 
rail surface conditions. A new provision at Sec. 213.237(d) specifies 
that if rail surface conditions prohibit the railroad from conducting a 
proper search for rail defects, a test of that rail does not fulfill 
the requirements of Sec. 213.237(a) which requires a search for 
internal defects at specific intervals. The new language in subsection 
(c) of this section requires a recordkeeping of those instances.
    This notice also proposes to add a provision for maintaining and 
retrieving electronic records of track inspections. Patterned after an 
experimental program successfully tried by the former Atchison Topeka & 
Santa Fe Railroad with oversight by FRA, the provision in subsection 
(e) allows each railroad to design its own electronic system as long as 
the system meets the specified criteria to safeguard the integrity and 
authenticity of each record. The provision also requires that railroads 
make available paper copies of electronic records when needed by FRA or 
by railroad track inspectors.
Subpart G--High Speed Track Standards

Section 213.301--Scope of Subpart.

    Subpart G applies to track required to support the passage of 
qualified flanged wheel, high speed passenger and freight equipment in 
specific speed ranges. The terms ``qualified'' and ``flanged wheel'' 
are necessary to limit the scope of this subpart to track that is 
designed for equipment which has been ``qualified'' to operate on that 
track within acceptable safety limits. For high speeds, the track and 
the vehicles operated on the track must be considered as an integral 
system. This subpart does not apply to technology such as ``Maglev'' 
that does not use flanged wheel equipment.

Section 213.303--Responsibility for Compliance

    Only two response options are available under this paragraph. Track 
owners who know or have notice of non-compliance with this subpart may 
either bring the track into compliance with the subpart or halt 
operations over that track. This section does not offer the railroad 
the option of operating under this subpart with the supervision of a 
qualified person, as in the standards for track Classes 1 through 5. 
Such an option would permit too much opportunity for disaster from 
human error. Under this subpart, if a track does not comply with the 
requirements of its class, it must be repaired immediately or train 
speeds must be reduced to the maximum speed for the track class with 
which the track complies. It may be necessary on occasion for the track 
owner to reduce the class of track to Class 5 or below. When this 
occurs, the requirements for the lower classes (1-5) will apply.

Section 213.305--Designation of Qualified Individuals; General 
Qualifications

    Work on or about a track structure supporting qualified high speed 
passenger trains demands the highest awareness of employees about the 
need to perform work properly.
    A person may be qualified to perform restorations and renewals 
under this subpart in three ways. First, the person may combine five or 
more years of supervisory experience in track maintenance for track 
Class 4 or higher and the successful completion of a course offered by 
the employer or by a college level engineering program, supplemented by 
special on-the-job training. Second, a person may be qualified by a 
combination of at least one year of supervisory experience in track 
maintenance of Class 4 or higher, 80 hours of specialized training or 
in a college level program, supplemented with on-the-job training. 
Under the third option, a railroad employee with at least two years of 
experience in maintenance of high speed track can achieve qualification 
status by completing 120 hours of specialized training in maintenance 
of high speed track, provided by the employer or by a college level 
engineering program, supplemented by special on-the-job training.
    Similarly, a person may be qualified to perform track inspections 
in Classes 6, 7, 8 and 9 by attaining five or more years of experience 
in inspection in track Class 4 or higher and by completing a course 
taught by the employer or by a college level engineering program, 
supplemented by special on-the-job training. Or, the person may be 
qualified by attaining a combination of at least one year of experience 
in track inspection in Class 4 and higher and by successfully 
completing 80 hours of specialized training in the inspection of high 
speed track provided by the employer or by a college level engineering 
program, supplemented with on-the-job training. Finally, a person may 
be qualified by attaining two years of experience in track maintenance 
in Class 4 and above and by successfully completing 120 hours of 
specialized training in the inspection of high speed track provided by 
the employer or by a college level engineering program, supplemented by 
special on-the-job training provided by the employer with emphasis on 
the inspection of high speed track. The third option is intended to 
provide a way for employees with two years of experience in the 
maintenance of high speed track to gain the necessary training to be 
qualified to inspect track.
    For both categories of qualifications, the person must have 
experience in Class 4 track or above. To properly maintain and inspect 
Class 4 track or higher requires a level of knowledge of track geometry 
and track conditions that are not as readily obtained at lower classes. 
Persons who are qualified for high speed track must know how to work, 
maintain, and measure high quality track. Experience in Class 4 track 
is established as a lower limit to provide a pool of candidates, that 
may be drawn from freight railroads, who would provide the necessary 
experience on well-maintained track.
    This section also includes specific requirements for qualifications 
of persons charged with maintaining and inspecting CWR. Training of 
employees in CWR procedures is essential for high speed operations. 
Each person inspecting and maintaining CWR must understand how CWR 
behaves and how to prevent track buckles and other adverse track 
reactions to thermal and dynamic loading.

Section 213.307--Class of Track: Operating Speed Limits

    For several years, passenger service on the Northeast Corridor has 
operated at 125 m.p.h. under conditional waivers granted by FRA. Amtrak 
has established specific procedures for this category of speed from 
which the railroad industry has accumulated valuable knowledge about 
track behavior in this speed range. The speed of 125 m.p.h. is the 
natural boundary for the maximum allowable operating speed for Class 7 
track. Because trainsets have operated in this country at speeds up to 
160 m.p.h. for periods of several months under waivers for testing and 
evaluation, the maximum limit of 160 m.p.h. is established for Class 8. 
In the next several years, certain operations, like the Florida 
Overland Express, may achieve speeds of up to 200 m.p.h. Class 9 track 
is established

[[Page 36155]]

for this possibility. The exceptions for the maximum allowable 
operating speeds for each class of track parallels the standards for 
the lower classes, except that a speed of 10 m.p.h over the maximum 
intended operating speeds is permitted during the qualification phase 
per Section 213.345.
    Although high speed rail is most often considered in terms of 
passenger travel, non-passenger high speed train service (e.g., the 
mail trains operated by Amtrak on the Northeast Corridor) is also a 
possibility. All equipment, whether used for passenger or freight, must 
demonstrate the same vehicle/track performance and be qualified on the 
high speed track. Hazardous materials, except for limited and small 
quantities, may not move in bulk on trains operated at high speeds. The 
limitations noted are similar to those involved in commercial passenger 
and freight air travel.

Section 213.309--Restoration or Renewal of Track Under Traffic 
Conditions

    This section addresses two elements of concern: (1) that the 
stability of the track structure not be significantly degraded and (2) 
that roadway worker safety not be compromised. For restoration under 
traffic conditions, this section allows only track maintenance that 
does not affect the safe passage of trains and involves the replacement 
of worn, broken, or missing components or fastenings or minor levels of 
spot surfacing.

Section 213.311--Measuring Track Under Load; Section 213.317 
Exemptions; Section 213.319 Drainage; Section 213.321 Vegetation

    These sections are identical to the corresponding sections in the 
standards for track Classes 1 though 5.

Section 213.323--Track Gage

    This section introduces limits for change in gage. Analysis has 
shown that an abrupt change in gage can produce significant wheel 
forces at high speeds. The minimum and maximum limits for gage values 
Classes 6, 7, 8 and 9 were set to minimize the onset of truck hunting.

Section 213.327--Alignment

    Uniformity is established by averaging the offset values for nine 
points centered around each point along the track at a spacing 
specified in the table. Uniformity defined in this way applies 
anywhere--curves, tangent segments, and spirals. Analysis has shown 
that points in transition areas such as around the ``point-of-spiral-
to-curve'' can be included in this averaging technique. No distinction 
is made as to where the uniform calculation takes place. Tangent, 
curve, and spiral transitions have historically been difficult to 
determine in the field. The use of the uniformity filter obviates the 
need to make determinations based on the identification of these 
transitions.
    This section provides three chord lengths for different types of 
vehicle/track interaction modes. Chords of 31-, 62-, and 124-foot 
lengths provide control of single and multiple defects in the 
wavelength bands most likely to affect vehicle dynamics and ride 
quality.
    The 62-foot chord was selected because of its proximity to the 
truck center spacing of most high speed passenger vehicles. In phase 
carbody resonance modes such as bounce, roll and sway are most affected 
by track anomalies with a wavelength that is near the truck center 
spacing. Control of track geometry limits based on the 62-foot chord 
will help reduce the magnitude of such carbody motion. This chord also 
is predominantly used for track Classes 1 through 5 and is familiar to 
track inspection and maintenance personnel.
    The 31-foot chord controls short wavelength defects that can result 
in high wheel forces over a short portion of track. These forces may 
not produce excessive carbody motion, yet their action on the wheels 
and truck may cause derailment. Most foreign high speed railroads use a 
10-meter chord which is approximately equal in length to the 31-foot 
chord required in this section.
    To control longer wavelengths, most foreign high speed railroads 
use a 30-or 40-meter chord. The 124-foot chord, which is approximately 
equal to a 40-meter chord, provides a means to locate and measure 
longer wavelength track anomalies. These long-wavelength anomalies 
provide dynamic input to the high speed rail vehicles and can excite 
carbody resonance modes at high speeds. Excessive carbody motion can 
lead to poor carbody accelerations and wheel/rail forces, and in the 
extreme, may also cause derailment.
    Addition of this chord length allows measurement of anomalies with 
wavelengths up to 300 feet. The Japanese National Railway adopted a 40-
meter chord after recent speed increases on its Tokaido line. Research 
and testing indicated a stronger correlation between carbody motion and 
track geometry limits based on 40-meter mid-chord offsets.

Section 213.329--Curves, Elevation and Speed Limitations

    The determination of the maximum speed that a vehicle may operate 
around a curve is based on the degree of curvature, actual elevation, 
and amount of unbalanced elevation where the actual elevation and 
curvature are derived by a moving average technique. This approach is 
as valid in the high speed regime as in the lower classes. The moving 
average technique recognizes the steady state (one or two second 
duration) nature of the Vmax formula.
    The maximum operating speed for each curve is determined by the 
Vmax formula:
[GRAPHIC] [TIFF OMITTED] TP03JY97.010

Where
Vmax = Maximum allowable operating speed (miles per hour).
Ea = Actual elevation of the outside rail (inches).
Eu = Unbalance elevation or cant deficiency
    D = Degree of curvature (degrees).

    While the cant deficiency proposed in Classes 1 through 5 is three 
or four inches, cant deficiencies proposed for qualified high speed 
train are considerably higher. FRA has granted waivers for up to nine 
inches for revenue service and up to twelve inches for testing for 
qualified equipment. Higher cant deficiencies are allowed for high 
speed trains that may include tilting systems. The qualification 
testing will ensure that the vehicle will not exceed the vehicle/track 
safety performance limits set forth in this subpart when operating at 
these higher cant deficiencies.
    In order to qualify the vehicle at higher cant deficiencies, the 
railroad must provide technical testing information using the same 
procedures that have been used in past years for waivers for higher 
cant deficiencies. This procedure is commonly called the ``static lean 
test'' where the vehicle is elevated on one side and wheel loads are 
measured and the roll angle is determined. Based on acceptable testing 
information and other technical submissions, FRA will approve the 
higher cant deficiencies for the specific vehicle type. Equipment that 
has already been qualified under conditional approval by FRA shall be 
considered as having complied with this qualification process.
    The maximum crosslevel on the outside of a curve is established at 
seven inches. Elevation in excess of that

[[Page 36156]]

amount presents a safety consideration for freight trains with high 
centers of gravity, operating at lower speeds in the curve.

Section 213.331--Track Surface

    The chord lengths in the table are selected for the same reasons 
discussed in Sec. 213.327 (alignment). The multiple chords measure 
different surface anomaly wavelengths.
    The surface table addresses both single and multiple events. 
Studies have shown that the smaller limits are necessary when surface 
anomalies repeat themselves three more times over the specified chord 
length. The parameter commonly called ``warp,'' the difference in 
crosslevel between any two points, does not require a specific limit 
for repeated warp conditions at high speeds.

Section 213.333--Automated Vehicle Inspection Systems

    Technology is available today to perform three essential tasks 
necessary for high speed train operation: track geometry measuring 
systems (TGMS), gage restraint measuring systems (GRMS), and vehicle/
track performance measuring systems. The vehicle/track performance 
systems encompass both acceleration and wheel force measurements. These 
functions may be combined in the same or different vehicles. This 
section provides for the implementation of these systems.
    The GRMS is primarily used on timber-tied track of certain freight 
railroads, to evaluate the effectiveness, on a continuous basis, of 
rail/tie fastening systems. This section requires the use of GRMS in 
Classes 8 and 9 to measure the gage restraint of the track, including 
the strength of the ties and the ability of the fastenings to maintain 
gage. Specified safety limits were established after testing on the 
Northeast Corridor where the track is predominately concrete-tied with 
timber tie turnouts. GRMS on concrete ties is effective in identifying 
defective ties and conditions with missing fasteners or a relaxation of 
toe load of gage-side rail fasteners. GRMS is required in Classes 8 and 
9 to measure the resistance of the track to forces generated by wheel 
flanging in the gaging space. The use of the GRMS is necessary to 
insure sufficient gage restraint at the gage limits set to control 
truck hunting.
    Railroads that operate trains at speeds above 110 mph universally 
employ automatic track geometry measuring systems to generate data to 
point out train safety hazards in the track structure. Reliance on only 
visual inspections to locate small track irregularities is difficult. 
In France, track geometry measuring vehicles are operated quarterly 
over high speed lines for the purpose of collecting track maintenance 
data. Track safety inspections are based on the exercise of an 
instrumented vehicle drawn from the high speed fleet. The French 
National Railroad (SNCF), exhibits confidence in relying on truck and 
carbody performance specifications to guarantee safe behavior at the 
wheel/rail interface and this initiative has been proven in service.
    This section requires vehicle/track measurements to be made by 
truck frame accelerometers and carbody accelerometers, and by 
instrumented wheelsets to measure wheel/rail forces. Functional truck 
side and carbody accelerometers are required in at least two vehicles 
in each train in Classes 8 and 9. The track owner is required to have 
in effect written procedures for the notification of track forces when 
the devices indicate a possible track-related condition. An 
instrumented car in Classes 7, 8 and 9, or a portable device that 
monitors on-board instrumentation on trains, must be operated at the 
revenue speed profile at the specified frequency to monitor carbody and 
truck frame accelerations to ensure that the vehicle/track performance 
limits contained in this section are not exceeded.
    For Classes 8 and 9, a car equipped with instrumented wheelsets 
must be operated annually to ensure that the wheel/rail force safety 
limits are not exceeded.
    The safety limits contained in the Vehicle/Track Interaction 
Performance Limits table were derived from technical literature, years 
of research, experience by foreign railroads, and computer simulation 
and validation. They must not be exceeded either during the 
qualification phase required under Sec. 213.345 or in the periodic 
measurement of accelerations and wheel/rail forces required in this 
section.
    The minimum vertical wheel load safety limit is 10 percent of the 
static vertical wheel load. The static vertical wheel load is defined 
as the load that the wheel would carry while stationary on level track. 
This safety criteria assures that no excessive wheel unloading is 
experienced by any wheel on the operating vehicle. Significant wheel 
unloading greatly increases the risk of derailment in the dynamic 
environment of a vehicle traveling at high speed.
    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 (L/V ratio) is limited by the Nadal formula. The limit on any 
wheel's L/V ratio ensures that the risk of a wheel climb derailment is 
minimized. The wheel flange angle  referenced in the formula 
should correspond to actual measurements of wheel flange angle as 
provided by the requirements of the vehicle qualification testing 
specified in Sec. 213.345.
    The net axle lateral force exerted by any axle on the track should 
not exceed 50 percent of the static vertical load exerted by the same 
axle. This safety criteria ensures that no excessive track panel shift 
or misalignment is produced by the moving vehicle. For vehicles 
operating at high speeds, track panel shift can produce unsafe carbody 
and/or truck motion and, in the extreme, can cause derailment.
    The ratio of the lateral forces that the wheels on one side of any 
truck exert on an individual rail to the vertical forces exerted by the 
same wheels on that rail must not exceed 0.60. This limit ensures that 
the risk of a rail rollover derailment is minimized.
    The lateral carbody peak-to-peak acceleration (defined by the 
algebraic difference between the two extreme values of measured 
acceleration within a one-second duration) is limited to 0.5g. Carbody 
lateral accelerations above this limit reflect a very poor ride quality 
and a degraded track and/or vehicle condition.
    The vertical carbody peak-to-peak acceleration (defined by the 
algebraic difference between the two extreme values of measured 
acceleration within a one-second duration) is limited to 0.6g. Carbody 
vertical accelerations above this limit also reflect a poor ride 
quality and a degraded track and/or vehicle condition.
    The Root Mean Square (RMS) of the lateral truck acceleration for 
any two-second duration is limited to 0.4 g. This safety limit ensures 
that no sustained truck hunting is experienced by the moving vehicle. 
Sustained truck hunting produces undesirable ride quality and 
significantly increases the risk of derailment. The RMS of the lateral 
truck acceleration must be calculated over a two-second window from 
which the mean value of the acceleration has been removed.
    The vertical truck zero-to-peak acceleration is limited to 5.0 g. 
Exceeding this safety limit can indicate undesirable short wavelength 
track anomalies.
    Ultimately, vehicle/track interaction safety is assured by 
controlling wheel/rail forces to safe limits. Appropriate limits for 
track geometry and vehicle response acceleration provide strong

[[Page 36157]]

indications of the likely wheel/forces which would be produced by 
operating trains. Use of an instrumented wheelset also provides a level 
of safety assurance for new and unusual vehicle designs that differ 
from the conventional vehicle dynamic models that were used to develop 
the track geometry and vehicle/track interaction limits.

Section 213.335--Crossties

    Various types of crossties may be installed in high speed track 
provided that the ties maintain the proper gage, surface and alignment. 
Slab track (track imbedded in concrete) or other construction may also 
be used if the construction complies with the requirements of this 
section. Because of the wide use of concrete ties in high speed track 
throughout the world, this section establishes safety requirements for 
concrete ties.
    The requirements for ties in this subpart differ from those in the 
corresponding section for crossties in Classes 1 through 5. For non-
concrete-tied construction, the requirements for ties parallel those of 
the lower standards except that permissive lateral movement of tie 
plates is set at \3/8\ inch instead of \1/2\ inch and a requirement for 
rail holding spikes is added.
    For concrete-tied track, effective ties must not exhibit the known 
failure modes listed. These failure modes were derived largely from 
experience in the Northeast Corridor. The number and distribution 
requirements of both non-concrete ties and concrete ties is more 
stringent than the requirements for the lower classes. For example, 14 
effective concrete crossties in Class 6 and 16 effective concrete ties 
are required in Classes 7, 8 and 9 in each 39-foot segment of track. 
For both concrete and timber construction, a minimum number of non-
defective ties is specified on each side of a defective tie.

Section 213.337--Defective Rails

    The requirements for the identification of rail flaws and 
appropriate remedial action are valid in high speed track classes as 
well as the lower track classes. This section is unchanged from the 
standards for the lower classes except that language references to 
specific lower classes are deleted as unnecessary. If severe rail 
surface conditions (such as corrugation, shelling, spalling, and 
checking) occur in high speed lines, they likely will lead to degraded 
vehicle/track performance and require the track owner to reduce speeds. 
Therefore, remedial requirements for these conditions are the same as 
those for the lower track classes. The flattened rail head is 
especially important to identify in high speed track because of the 
adverse effect on track geometry cause by the short anomaly of a 
depression in the rail.

Section 213.339--Inspection of Rail in Service

    A continuous search for internal rail defects must be made of all 
rail in track in track Classes 6, 7, 8 and 9 at a frequency of twice 
per year. This requirement is consistent with the frequency used on 
Amtrak's Northeast Corridor (essentially, Class 6 and 7) and as well as 
the approach used in France which inspects rails are in the track twice 
a year. The same requirements for Classes 1 through 5 apply if a rail 
flaw inspection cannot be made over a particular segment of track.

Section 213.341--Initial Inspection of New Rail and Welds

    This section provides for the initial inspection of new rail, 
either at the mill or within 90 days after installation, and for the 
initial inspection of new welds made in new or used rail. It also 
provides for alternatives for these inspections. Compliance with the 
initial inspection of new rail and welds may be demonstrated by in-
service inspection, mill inspections, welding plant inspections, and 
inspections of field welds.

Section 213.343--Continuous Welded Rail (CWR)

    As with CWR for the lower classes of track, FRA will review the 
railroad's written procedures for the installation, adjustment, 
maintenance and inspection of CWR, and training for the application of 
these procedures.

Section 213.345--Vehicle Qualification Testing

    All rolling stock, both passenger and freight, must be qualified 
for operation for its intended class. This section ``grandfathers'' 
equipment that has already operated in the specified classes. Rolling 
stock operating in Class 6 within one year prior to the promulgation of 
this rule shall be considered as qualified. Vehicles operating at Class 
7 speeds prior to the promulgation of the rule under conditional 
waivers are qualified for Class 7. This includes equipment that is 
presently operating on the Northeast Corridor at Class 7 speeds.
    The qualification testing will ensure that the equipment will not 
exceed the vehicle/track performance limits specified in Sec. 213.333 
at any speed less than 10 m.p.h. above the proposed maximum operating 
speed. Testing at a maximum speed at least 10 m.p.h. above the proposed 
operating speed is required. The test report must include the design 
flange angle of the equipment that will be used for the determination 
of the lateral to vertical wheel load safety limit for the vehicle/
track performance measurements required in Sec. 213.333(k).
    Subsection (d) requires the operator to submit an analysis and 
description of the signal system and operating practices to govern 
operations in Classes 7, 8 and 9. This submission will include a 
statement of sufficiency in these areas for the class of operation 
intended. Based on test results and submissions, FRA will approve a 
maximum train speed and value of cant deficiency for revenue service.

Section 213.347--Automotive or Railroad Crossings at Grade

    There are no highway or railroad grade crossings on the Amtrak 
route between Washington, DC and New York City. Much of this line is 
operated by revenue passenger trains at 125 m.p.h. (Class 7 speeds). 
Highway crossings and railroad crossings at grade (diamonds) may not be 
present in Class 8 and 9 track.
    Technology currently is being developed that would prevent 
inappropriate intrusion of vehicles onto the railroad rights-of-way. 
This technology involves the use of barrier systems with intrusion 
detection and train stop, as well as advance warning systems. Because 
the technology is under development, it would be premature to include 
specific requirements for barrier systems and related technology in 
this section. However, the railroad is required to submit for approval 
a description of the crossing warning system for each crossing.

Section 213.349--Rail End Mismatch

    Vertical or horizontal mismatch of rails at joints must be less 
than one-eighth of an inch for Classes 6 through 9. A more restrictive 
criteria is not necessary and would be impractical.

Section 213.351--Rail Joints

    This section is less permissive than its counterpart for the lower 
speed classes. Fracture mechanics tests and analyses demonstrate that 
there is no place in the high speed train operating regime for 
defective joint bars. The propagation rate of a crack large enough to 
be visible in a joint bar is unpredictable. Once a joint bar has 
ruptured, its companion joint bar is immediately in danger of overload. 
Upon discovery of a defective joint bars, the track owner must reduce 
the track class at the location of the

[[Page 36158]]

defective bar and proceed according to the requirements of Subpart D.

Section 213.353--Turnouts and Crossovers, Generally

    The requirements in this section are similar to those in the lower 
classes. Fastenings must be intact and maintained so as to keep the 
components securely in place. Each switch, frog, and guard rail must be 
free of obstructions that may interfere with the passage of wheels. 
Rail anchoring is required to restrain rail movement affecting the 
position of switch points and frogs.
    Experience in this country with the maintenance of turnouts and 
crossovers in high speed territories is limited. The use of 
conventional switch and frog components in present-day 125 m.p.h. track 
can produce harsh vehicle response which, while not necessarily unsafe, 
is likely to be less and less welcome in the future, particularly at 
train speeds above 125 m.p.h.
    Worldwide, the trend for turnouts and crossovers in high speed 
lines is toward reliance on long switch points and moveable point 
frogs. Amtrak has some limited experience with these features at fairly 
high train speeds, and the western coal railroads have a great deal of 
experience, especially with moveable point frogs, with turnout 
component performance in low speed, cumulative tonnage conditions. This 
section requires that the track owner, intending to operate trains at 
high speeds, to develop a turnout and inspection handbook for the 
instruction of employees involved in this work. Requirements for 
switches, frogs, and spring frogs that are present in the standards for 
the lower classes are not specifically listed, but will be addressed in 
the railroad's Guidebook.
    The purpose of such a document is to encourage formal consideration 
of problems associated with inspection and maintenance of these track 
features and to establish a consistent system approach to the 
performance of related work.

Section 213.355--Frog Guard Rails and Guard Faces; Gage

    The most restrictive practical measurements for these important 
parameters are included. The limits for guard check and guard face gage 
are set at a limit that permits minimal wear.

Section 213.357--Derails

    Because it is essential that railroad rolling stock be prevented 
from fouling the track in front of a high speed train, this section 
presents strict requirements for derails to be fully functional and 
linked to the signal systems.

Section 213.359--Track Stiffness

    Track must have sufficient vertical strength and lateral strength 
to withstand the maximum loads generated at maximum permissible train 
speeds, cant deficiency and lateral or vertical defects so that the 
track will return to a configuration in compliance with the track 
performance and geometry requirements of this subpart. It is imperative 
that the track structure is structurally qualified to accept the loads 
without unacceptable deformation.

Section 213.361--Right-Of-Way

    This section requires the track owner to submit a barrier plan, 
termed a ``right-of-way plan,'' to FRA for approval. The plan will 
include, at a minimum, provisions in areas of demonstrated need to 
address the prevention of vandalism by trespassers and intrusion of 
vehicles from adjacent rights of way. A particular form of vandalism, 
the launching of objects from overhead bridges or structures, is 
specifically listed.

Section 213.365--Visual Inspections

    Visual inspections are considered to be an important component of 
the railroad's overall inspection program. The section largely 
parallels the requirements for the lower classes. The inspection 
requirements are twice weekly for Classes 6, 7 and 8 and three times 
per week for Class 9. Turnouts and crossovers must be inspected in 
accordance with the Guidebook required under Sec. 213.353. The practice 
in France of operating a train at reduced speeds following a period 
with no train traffic is adopted in this section.

Section 213.367--Special Inspections

    The requirements of this section are the same as those for the 
lower track classes except that the occurrence of temperature extremes 
is specifically listed as an event that requires a track inspection.

Section 213.369--Inspection Records

    The requirements of this section are the same as those for the 
lower track classes.

Environmental Impact

    FRA has evaluated these proposed regulations in accordance with its 
procedures for ensuring full consideration of the potential 
environmental impacts of FRA actions, as required by the National 
Environmental Policy Act (42 U.S.C. 4321 et seq.) and related 
directives. These proposed regulations meet the criteria that establish 
this as a non-major action for environmental purposes.

Appendix

    FRA plans to revise Appendix B to Part 213--Schedule of Civil 
Penalties, to include penalties for violations of the provisions of 
Subpart G and to be included in the final rule. Because such penalty 
schedules are statements of policy, notice and comment are not required 
prior to their issuance. See 5 U.S.C. 553(b)(3)(A). Nevertheless, 
interested parties are welcome to submit their views on what penalties 
may be appropriate.

Regulatory Impact

Executive Order 12866 and DOT Regulatory Policies and Procedures

    This proposed rule has been evaluated in accordance with existing 
policies and procedures. It is considered to be significant under both 
Executive Order 12866 and DOT policies and procedures (44 FR 11034, 
February 26, 1979) because of substantial public interest and safety 
implications. FRA has prepared and placed in the docket a regulatory 
analysis addressing the economic impact of the rule. Document 
inspection and copying facilities are available at 1120 Vermont Avenue, 
N.W., Seventh Floor, Washington, D.C. Photocopies may also be obtained 
by submitting a written request to the FRA Docket Clerk at the Office 
Chief Counsel, Federal Railroad Administration, 400 Seventh Street, 
S.W., Mail Stop 10, Washington, D.C. 20590.
    FRA's economic analysis showed that there was less certainty about 
the economic impact of the proposed rule than would be the case for a 
rule developed within an agency, rather than through the RSAC process. 
The proposed standards were developed by consensus among members of a 
Working Group of the Rail Safety Advisory Committee (RSAC). The RSAC 
process affects the shape of the rule very dramatically, because the 
process relies on a consensus to adopt recommendations. It also permits 
input on variables for which little data exists. Therefore, neither the 
underlying rule nor this analysis could assume the shape they would 
have had the more traditional rulemaking process been followed. 
Further, the RSAC process resulted in many unrelated changes to 
individual sections, which were best analyzed section-by-section. In 
its conclusion, the FRA finds that the net effect is an increase in 
safety and an increase in the burden on the railroads,

[[Page 36159]]

but that the burden on the railroads is not likely to be as great as 
the benefit, although there was no way to quantify the magnitude on the 
net benefit.
    The Track Working Group formed, reached a consensus on internal 
working procedures, and addressed the issues. Several issues were 
delegated to task groups, which are subgroups of the working group. The 
procedure remained the same. The task groups could make no 
recommendations until they had a consensus. The working group would not 
adopt any recommendation, even if a result of a consensus in the task 
group, until there was a consensus in the working group. The full RSAC 
would make no recommendation to the Administrator until there was a 
majority consensus in the full RSAC, even if there was a consensus in 
the working group.
    An implication of this is that no entity's representative would 
accept a consensus agreement, unless the entity he or she represent 
would be at least as well off after the agreement as it had been 
before. This analysis therefore uses as a fundamental assumption that 
there are no provisions which will impose drastic costs on any segment 
represented by members of the Working Group, and Pareto superiority of 
the proposal over the current rules. Pareto superiority implies that no 
party would be willing to pay to return to the current standards, 
although some party might be indifferent between the current standards 
and the proposal. There is no implication that the proposal is Pareto 
optimal, although Pareto optimality has not been excluded. Were the 
proposal Pareto optimal, there would not exist another possible set of 
rules which at least one party would be willing to pay to adopt, and 
the amount that party would be willing to pay would be sufficient, were 
it given to other parties, to induce them to agree to the set of rules. 
Nor is the proposal assumed to be optimal. Were it optimal the total 
net benefit would be maximized.
    The guidance in E.O. 12866 is that we should select the rule with 
the maximum net benefit. We cannot know if we have done that here. What 
we know is that the proposal is closer to the optimum than the current 
rules. The guidance in the Regulatory Flexibility Act is that we should 
adopt rules which are flexible, fitting in with how businesses actually 
conduct operations, and being sensitive to the concerns of small 
businesses. Clearly the RSAC process does this.
Involvement of Small Entities
    All of the small entities directly affected by this rule are short 
line railroads. They are represented by the American Short Line 
Railroad Association (ASLRA). They were members of the working group 
that developed this proposal, and of all of the smaller Task Groups 
addressing particular subsets of issues in which they were interested. 
They were not, of course, involved in developing those standards which 
would not apply to any of their members, for example the high speed 
track standards. The ASLRA agreed to the proposal, as did all members 
of the working group.
    Earlier in the process, the FRA published an ANPRM that called for 
four workshops, held January through March 1993. The ASLRA also 
participated in all of those workshops.
    In addition, several short line railroads participated directly in 
both the workshops and the Working Group. All of the individual short 
line railroads participating in the Working Group agreed to the 
proposal.
    Almost every change in the proposal will enhance safety. Some 
provisions will reduce burdens, but in most cases the burden is 
increased, and almost all of the burden falls on the railroads. In 
those cases where the burden increased, the railroads participating in 
the process arranged the additional burden so that it would have the 
least adverse impact. Many of the newly prohibited track conditions are 
rare or nonexistent. The impact on small entities was considered at 
every step, and phase in periods were used to mitigate the effect on 
them when they were affected by the crosstie standard and the new gage 
standard for excepted track. There is no clear way to measure the net 
effect of the proposal, although it seems likely the net benefit will 
be positive. The RSAC process was intended to take rulemaking into 
areas where data is sparse, and the end product, as might be expected, 
is difficult to quantify.

Federalism Implications

    This proposed rule has been analyzed according to the principles of 
Executive Order 12612 (``Federalism''). It has been determined that 
these proposed amendments to Part 213 do not have federalism 
implications. As noted previously, the U.S. Supreme Court, in CSX v. 
Easterwood, upheld Federal preemption of any state or local attempts to 
regulate train speed. Nothing in this notice proposes to change that 
relationship. Likewise, the proposed addition to Part 213's requirement 
for vegetation maintenance near grade crossings is not intended to 
preempt any similar existing state or local requirements. The 
provisions that require railroads seeking to operate in Classes 8 and 9 
to have a program addressing vandalism and trespassing are directed 
only to the railroads, and not to state or local governments. If a 
railroad is unable to provide an adequate program to address these 
issues, it will not be allowed to operate at Classes 8 and 9 speeds. 
For these reasons, the preparation of a Federalism Assessment is not 
warranted.

Regulatory Flexibility Act

    This notice contains a summary of an initial regulatory flexibility 
analysis (IRFA) as required by the provisions of the Regulatory 
Flexibility Act at 5 U.S.C. Secs. 601-612. FRA completed an IRFA as 
part of an economic analysis of costs and benefits, and placed of copy 
of the IRFA in the docket for this proceeding.

1. Why action by the agency is being considered

    The Rail Safety Enforcement and Review Act of 1992, Public Law 102-
365, 106 Stat. 972 (September 3, 1992), later amended by the Federal 
Railroad Safety Authorization Act of 1994, Public Law 103-440, 108 
Stat. 4615 (November 2, 1994), requires FRA to revise the track safety 
regulations contained in 49 CFR Part 213. Now codified at 49 U.S.C. 
Sec. 20142, the amended statute requires:
    ``(a) Review of Existing Regulations.--Not later than March 3, 
1993, the Secretary of Transportation shall begin a review of 
Department of Transportation regulations related to track safety 
standards. The review at least shall include an evaluation of--
    (1) procedures associated with maintaining and installing 
continuous welded rail and its attendant structure, including cold 
weather installation procedures;
    (2) the need for revisions to regulations on track excepted from 
track safety standards; and
    (3) employee safety.
    (b) Revision of Regulations.--Not later than September 1, 1995, the 
Secretary shall prescribe regulations and issue orders to revise track 
safety standards, considering safety information presented during the 
review under subsection (a) of this section and the report of the 
Comptroller General submitted under subsection ``(c)'' of this section.
* * * * *
    (d) Identification of Internal Rail Defects.--In carrying out 
subsections (a) and (b), the Secretary shall consider whether or not to 
prescribe regulations and issue orders concerning--
    (1) inspection procedures to identify internal rail defects, before 
they reach

[[Page 36160]]

imminent failure size, in rail that has significant shelling; and
    (2) any specific actions that should be taken when a rail surface 
condition, such as shelling, prevents the identification of internal 
defects.''
The reasons for the actual provisions of the action considered by the 
agency are explained in the body of the analysis.

2. The objectives and legal basis for the proposed rule

    The objective of the proposed rule is to enhance the safety of rail 
transportation, protecting both those traveling and working on the 
system, and those off the system who might be adversely affected by a 
rail accident. The legal basis is reflected in the response to 1. above 
and in the preamble.

3. A description of and an estimate of the number of small entities to 
which the proposed rule would apply

    The proposed rule would apply to railroads. Small entities among 
affected railroads would all be short line railroads. There are 
approximately 700 short line railroads in the United Sates, but many of 
them are not small entities, either because they are large enterprises 
as railroads, or because they are operations of large entities in other 
industries.

4. A description of the projected reporting, recordkeeping and other 
compliance requirements of the proposed rule, including an estimate of 
the classes of small entities which will be subject to the requirement 
and the type of professional skills necessary for preparation of the 
report or record

    See the Paperwork Reduction Act analysis.

5. Federal rules which may duplicate, overlap, or conflict with the 
proposed rule

    None.
    Significant alternatives:

1. Differing compliance or reporting requirements or timetables which 
take into account the resources available to small entities

    In the two sections most likely to affect small entities, 
Sec. 213.4 Excepted Track and Sec. 213.109 Crossties, the proposal 
includes a two year phase-in period.

2. Clarification, consolidation, or simplification of compliance and 
reporting requirements under the rule for such small entities

    Although their needs were considered at every step of the process, 
there was no way to reduce the burden on small entities that did not 
apply as well to larger entities.

3. Use of performance, rather than design standards

    Where possible, especially in the geometry standards, the standards 
were tied to performance. Although they were expressed as 
specifications, the underlying performance model ensures that they will 
have the same effect as a performance standard would. In the high speed 
standards, vehicle qualification is expressed strictly as a performance 
standard.

4. Exemption from coverage of the rule, or any part thereof, for such 
small entities

    There was no practicable way to exclude small entities. Further, 
the low volume operations of the largest railroads often serve shippers 
which are small entities, and any additional burden on the low volume 
lines of large railroads would likely have adverse impacts on those 
small shippers.
Small Business Regulatory Enforcement Fairness Act
    In 1996, Congress enacted the Small Business Regulatory Enforcement 
Fairness Act (SBREFA) which, in part, amended the Regulatory 
Flexibility Act to require Federal agencies to focus additional 
attention on the economic impacts of proposed rules and new final rules 
on small entities. The act requires agencies to consult with small 
businesses and with the Small Business Administration, which FRA did 
prior to publication of this notice.
    FRA's outreach to small entities included securing the 
participation of several short lines and the ASLRA in workshops held 
under the original ANPRM. FRA also benefitted from the advice and 
participation of ASLRA and several short line railroads whose 
representatives were members of the RSAC and the Track Working Group.
    FRA did not quantify the estimated annual cost to the average firm, 
nor compare it to average annual revenue or profits, because the 
relative impact of the proposed rule varies more by condition of the 
track owned by a railroad than by the size of the railroad. Railroads 
with better, safer track will face proportionally much smaller effects 
from the proposed rule. The average annual total cost is likely to be 
less than $2,000,000 per year for the entire railroad industry, with 
more than half of the cost borne by large railroads. The average burden 
per small railroad is likely therefore to be less than $1,500 per year. 
The burden will be greater on railroads with more track, and lower on 
railroads with less. FRA welcomes any additional data on this subject.
    No provision included in this proposed rule will have a very 
adverse impact on the affected firms. A proposal which would have had a 
large beneficial impact, the GRMS as an alternative to the crosstie 
standard. (See previous discussion in the preamble to this notice.) 
Some provisions which at first impression seem to have a significant 
impact, such as an increase in the number of required crossties, in 
fact will have little impact.
    For example, this proposal includes an increase in the number of 
crossties required on curved track. In a worst case, about 30 percent 
of the Class 1 track of a very small entity might not comply with the 
requirement for six ties per 39-foot section of rail. Of this, 80 
percent would not comply with geometry standards or standards affecting 
effective distribution of ties, which likely would be fixed by adding 
enough ties to comply or exceed the proposed standard. The remaining 
track, about six percent of all track, would not have sufficient ties 
to meet the proposed standard. Some of this track would not meet the 
current standard. One tie per section for six percent of the track 
would be slightly more than eight ties per mile. At a cost of $40 per 
tie installed, this would mean a cost of about $320 per mile, for a 
worst case. A railroad with track this poor would have presented a 
serious safety hazard in the first place, and would not be 
representative. Most small railroads currently exceed the proposed 
standard. A more detailed description of the impact is contained in the 
complete IRFA, found in the docket for this proceeding.
    In several places in this notice, FRA asks for additional 
information on benefits and costs. In the Track Working Group, and at 
meetings of task groups assigned to work on particular issues, FRA 
repeatedly asked participating parties for any data which might support 
the recommendations. On occasion, participants shared such data with 
FRA, most notably the ASLRA which conducted a survey of its members to 
analyze the potential impact of increasing the number of crossties 
required in a 39-foot segment of track. At other times, data were not 
shared with FRA, and the agency was unable to determine whether the 
information was withheld for proprietary reasons or whether it simply 
was not available.
    While the negotiations at times may have created incentives for 
parties not to disclose parametric data, such as how many torch cut 
rails are in service (a

[[Page 36161]]

number which the railroads might not be able to generate if they wanted 
to), at other times parties were forced to reveal non-parametric data 
in the form of preferences. By voting to accept a provision in the 
proposal, often as part of a compromise with other interested parties, 
the parties' acceptance of a package of compromises revealed that they 
preferred the compromise position to a position of no compromise (the 
existing rule with the possibility of some other rulemaking activity). 
This implied that the burdens which rail management representatives 
accepted likely were not significant. Details of provisions that will 
have little or no impact may be found in the complete IRFA, found in 
the docket for this proceeding.
    In general, the Track Working Group did not proffer many 
alternatives to the provisions of this proposal. In most cases, members 
agreed on the subject matter, but disagreed about the stringency of the 
standard. For example, everyone agreed that track ought to be 
inspected. However, the group debated about the most effective 
inspection intervals, and about how much track one inspector can 
inspect. Thus, the alternatives discussed in this context concerned 
greater or lesser required inspection frequencies and limitations or 
removal of limitations of the amount of track one inspector can 
inspect.
    One significant alternative discussed by the group at length was 
the use of GRMS as an alternative to crosstie standards. (See more 
complete discussion of GRMS in other sections of this preamble and in 
the IRFA.)

Paperwork Reduction Act

    The information collection requirements in this proposed rule have 
been submitted for approval to the Office of Management and Budget 
(OMB) under the Paperwork Reduction Act of 1995, 44 U.S.C. 3501 et seq. 
The sections that contain the new information collection requirements 
and the estimated time to fulfill each requirement are as follows:
      
      
      


----------------------------------------------------------------------------------------------------------------
                                                                                                         Total  
                                  Respondent       Total annual    Average time per    Total annual     annual  
         CFR section               universe          responses         response        burden hours     burden  
                                                                                                         cost   
----------------------------------------------------------------------------------------------------------------
213.4 Excepted Track                                                                                            
    Designation of track as    160 railroads...  32 designations.  15 minutes......  8 hours........        $240
     excepted.                                                                                                  
    Notification to FRA about  160 railroads...  40 notifications  10 minutes......  7 hours........         210
     removal of excepted                                                                                        
     track.                                                                                                     
213.5--Responsibility of       620 railroads...  16 notifications  8 hours.........  120 hours......       3,600
 track owners.                                                                                                  
213.7 Designation of                                                                                            
 qualified persons to                                                                                           
 supervise certain renewals                                                                                     
 and inspect track                                                                                              
    Designations.............  620 railroads...  1,500 names.....  10 minutes......  250 hours......       7,500
    Notification and           N/A.............  N/A.............  Usual and         N/A2...........         N/A
     dispatched to location.                                        customary                                   
                                                                    procedure.                                  
213.17 Exemptions............  620 railroads...  4 petitions.....  24 hours........  96 hours.......       2,880
213.57 Curves, elevation and                                                                                    
 speed limitations                                                                                              
    Request to FRA for         620 railroads...  3 requests......  40 hours........  120 hours......       3,600
     approval.                                                                                                  
    Notification to FRA with   620 railroads...  2 notifications.  45 minutes......  1.5 hours......          45
     written consent of other                                                                                   
     affected track owners.                                                                                     
213.119 Continuous welded                                                                                       
 rail (CWR), general                                                                                            
    Written procedures.......  110 railroads...  110 procedures..  40 hrs Class I    2,000 hours....      60,000
                                                                    RRS 16 hrs.                                 
                                                                    Class II RRs.                               
    Training Program.........  110 railroads...  110 programs....  40 hrs Class I    1,200 hours....      36,000
                                                                    RRs 8 hrs Class                             
                                                                    II RRs.                                     
    Recordkeeping............  110 railroads...  4,500 records...  10 minutes......  750 hours......      22,500
213.122 Torch cut rail.......  20 railroads....  2,000...........  5 minutes.......  167 hours......       5,010
213.233 Track inspections....  620 railroads...  2,500             1 minute........  41.5 hours.....       1,079
                                                  inspections.                                                  
213.237 Inspection of rail...  N/A.............  N/A.............  Usual and         N/A............         N/A
                                                                    customary                                   
                                                                    procedure.                                  

[[Page 36162]]

                                                                                                                
213.241 Inspection records...  620 railroads...  Varies..........  Varies..........  1,763,991 hours  52,919,730
213.303 Responsibility for     2 railroads.....  1 petition......  8 hours.........  8 hours........         240
 Compliance.                                                                                                    
213.305 Designation of         2 railroads.....  150               10 minutes......  25 hours.......         750
 qualified individuals;                           qualifications.                                               
 general qualifications.                                                                                        
213.317--Exemptions..........  2 railroads.....  1 petition......  24 hours........  24 hours.......         720
213.329 Curves, elevation and                                                                                   
 speed limitations                                                                                              
    FRA approval of qualified  2 railroads.....  1 notification..  40 hours........  40 hours.......       1,200
     equipment and higher                                                                                       
     curving speeds.                                                                                            
    Written notification to    2 railroads.....  1 notification..  45 minutes......  45 minutes.....       22.50
     FRA with written consent                                                                                   
     of other affected track                                                                                    
     owners.                                                                                                    
213.333 Automated Vehicle                                                                                       
 Inspection System                                                                                              
    Track Geometry             3 railroads.....  18 reports......  20 hours........  360 hours......       9,360
     Measurement System.                                                                                        
    Track/Vehicle Performance  1 railroad......  1 program.......  8 hours.........  8 hours........         240
     Measurement System.                                                                                        
        Written procedures...  2 railroads.....  13 printouts....  20 hours........  260 hours......       7,800
        copies of most recent  ................  ................  ................  ...............  ..........
         exception printouts.                                                                                   
 213.339 Inspection of rail    N/A.............  N/A.............  Usual and         N/a............         N/A
 in service.                                                        customary                                   
                                                                    procedure.                                  
213.341 Initial inspection of                                                                                   
 new rail and welds                                                                                             
    Mill inspection..........  2 railroads.....  1 report........  8 hours.........  8 hours........         240
    Welding plan inspection..  2 railroads.....  2 reports.......  8 hours.........  16 hours.......         480
    Inspection of field wells  2 railroads.....  200 records.....  20 minutes......  67 hours.......       2,010
    Marking of defective rail  N/A.............  N/A.............  Usual and         N/A............         N/A
                                                                    customary                                   
                                                                    procedure.                                  
213.343 Continuous welded                                                                                       
 rail (CWR)                                                                                                     
    -Written procedures......  2 railroads.....  2 procedures....  40 hours........  80 hours.......       2,400
    Training program.........  2 railroads.....  2 programs......  40 hours........  80 hours.......       2,400
    Recordkeeping............  2 railroads.....  200 records.....  10 minutes......  33 hours.......         990
213.345 Vehicle qualification  1 railroad......  1 report........  16 hours........  16 hours.......         480
213.353 Turnouts and           1 railroad......  1 guidebook.....  40 hours........  40 hours.......       1,200
 crossovers, generally.                                                                                         
213.361 Right of Way.........  1 railroad......  1 plan..........  40 hours........  40 hours.......       1,200
213.369 Inspection Records                                                                                      
    Record of inspection.....  2 railroads.....  500 records.....  1 minute........  8 hours........         208
    Designation of location    2 railroads.....  2 designations..  15 minutes......  30 minutes.....          15
     where record should be                                                                                     
     maintained.                                                                                                
    Internal defect            2 railroads.....  50 records......  5 minutes.......  4 hours........         104
     inspections and remedial                                                                                   
     action taken.                                                                                              
----------------------------------------------------------------------------------------------------------------


[[Page 36163]]

    All estimates include the time for reviewing instructions; 
searching existing data sources; gathering or maintaining the needed 
data; and reviewing the information. Pursuant to 44 U.S.C. 
Sec. 3506(c)(2)(B), the FRA solicits comments concerning: (1) whether 
these information collection requirements are necessary for the proper 
performance of the function of FRA, including whether the information 
has practical utility; (2) the accuracy of FRA's estimates of the 
burden of the information collection requirements; (3) the quality, 
utility, and clarity of the information to be collected; and (4) 
whether the burden of collection of information on those who are to 
respond, including through the use of automated collection techniques 
or other forms of information technology, may be minimized. For 
information or a copy of the paperwork package submitted to OMB, 
contact Gloria Swanson at [phone].
    Organizations and individuals desiring to submit comments on the 
collection of information requirements should direct them to the Office 
of Management and Budget, Attention: Desk Officer for the Federal 
Railroad Administration, Office of Information and Regulatory Affairs, 
Washington, D.C. 20503, and should also send a copy of their comments 
to Gloria D. Swanson Eutsler, Federal Railroad Administration, RRS-211, 
400 Seventh Street, S.W., Mail Stop 25, Washington, D.C. 20590.
    OMB is required to make a decision concerning the collection of 
information requirements contained in this final rule between 30 and 60 
days after publication of this document in the Federal Register. 
Therefore, a comment to OMB is best assured of having its full effect 
if OMB receives it within 30 days of publication. The final rule will 
respond to any OMB or public comments on the information collection 
requirements contained in this proposal.
    FRA cannot impose a penalty on persons for violating information 
collection requirements which do not display a current OMB control 
number, if required. FRA intends to obtain current OMB control numbers 
for any new information collection requirements resulting from this 
rulemaking action prior to the effective date of a final rule. The OMB 
control number, when assigned, will be announced by separate notice in 
the Federal Register.

List of Subjects in 49 CFR Part 213

    Penalties, Railroad safety, Reporting and recordkeeping 
requirements.

The Proposed Rule

    In consideration of the foregoing, FRA proposes to revise Part 213, 
Title 49, Code of Federal Regulations as follows:

PART 213--TRACK SAFETY STANDARDS

Subpart A--General

Sec.
213.1 Scope of part.
213.2 Preemptive effect.
213.3 Application.
213.4 Excepted track.
213.5 Responsibility of track owners.
213.7 Designation of qualified persons to supervise certain renewals 
and inspect track.
213.9 Classes of track: operating speed limits.
213.11 Restoration or renewal of track under traffic conditions.
213.13 Measuring track not under load.
213.15  Civil penalty.
213.17 Exemptions.

Subpart B--Roadbed

213.31 Scope.
213.33 Drainage.
213.37 Vegetation.

Subpart C--Track Geometry

213.51 Scope.
213.53 Gage.
213.55 Alignment.
213.57 Curves; elevation and speed limitations.
213.59 Elevation of curved track; runoff.
213.63 Track surface.

Subpart D--Track Structure

213.101 Scope.
213.103 Ballast; general.
213.109 Crossties.
213.113 Defective rails.
213.115 Rail end mismatch.
213.119 Continuous welded rail (CWR); general.
213.121 Rail joints.
213.122 Torch cut rail.
213.123 Tie plates.
213.127 Rail fastening systems.
213.133 Turnouts and track crossings generally.
213.135 Switches.
213.137 Frogs.
213.139 Spring rail frogs.
213.141 Self-guarded frogs.
213.143 Frog guard rails and guard faces; gage.

Subpart E--Track Appliances and Track-Related Devices

213.201 Scope.
213.205 Derails.

Subpart F--Inspection

213.231 Scope.
213.233 Track inspections.
213.235 Switch and track crossing inspections.
213.237 Inspection of rail.
213.239 Special inspections.
213.241 Inspection records.
Subpart G--Train Operations at Track Classes 6 and Higher
213.301 Scope of subpart.
213.303 Responsibility for compliance.
213.305 Designation of qualified individuals; general 
qualifications.
213.307 Class of track; operating speed limits.
213.309 Restoration or renewal of track under traffic conditions.
213.311 Measuring track not under load.
213.317 Exemptions.
213.319 Drainage.
213.321 Vegetation.
213.323 Track gage.
213.327 Alignment.
213.329 Curves, elevation and speed limitations.

[[Page 36164]]

213.331 Track surface.
213.333 Automated vehicle inspection systems.
213.335 Crossties.
213.337 Defective rails.
213.339 Inspection of rail in service.
213.341 Initial inspection of new rail and welds.
213.343 Continuous welded rail (CWR).
213.345 Vehicle qualification testing.
213.347 Automotive or railroad crossings at grade.
213.349 Rail end mismatch.
213.351 Rail joints.
213.352 Torch cut rail.
213.353 Turnouts and crossovers, generally.
213.355 Frog guard rails and guard faces; gage.
213.357 Derails.
213.359 Track stiffness.
213.361 Right of way.
213.365 Visual inspections.
213.367 Special inspections.
213.369 Inspection records.
Appendix A to Part 213--Maximum Allowable Curving Speeds
Appendix B to Part 213--Schedule of Civil Penalties

    Authority: 49 U.S.C. 20103 and 20142; 49 CFR 1.49(m).

Subpart A--General


Sec. 213.1  Scope of part.

    This part prescribes minimum safety requirements for railroad track 
that is part of the general railroad system of transportation. The 
requirements prescribed in this part apply to specific track conditions 
existing in isolation. Therefore, a combination of track conditions, 
none of which individually amounts to a deviation from the requirements 
in this part, may require remedial action to provide for safe 
operations over that track.


Sec. 213.2  Preemptive effect.

    Under 49 U.S.C. 20106 (formerly Sec. 205 of the Federal Railroad 
Safety Act of 1970, 45 U.S.C. 434), issuance of these regulations 
preempts any State law, rule, regulation, order, or standard covering 
the same subject matter, except a provision directed at an essentially 
local safety hazard that is consistent with this part and that does not 
impose an undue burden on interstate commerce.


Sec. 213.3  Application.

    (a) Except as provided in paragraph (b) of this section, this part 
applies to all standard gage track in the general railroad system of 
transportation.
    (b) This part does not apply to track----
    (1) Located inside an installation which is not part of the general 
railroad system of transportation; or
    (2) Used exclusively for rapid transit service in a metropolitan or 
suburban area.


Sec. 213.4  Excepted track.

    A track owner may designate a segment of track as excepted track 
provided that----
    (a) The segment is identified in the timetable, special 
instructions, general order, or other appropriate records which are 
available for inspection during regular business hours;
    (b) The identified segment is not located within 30 feet of an 
adjacent track which can be subjected to simultaneous use at speeds in 
excess of 10 miles per hour;
    (c) The identified segment is inspected in accordance with 
Secs. 213.233(c) and 213.235 at the frequency specified for Class 1 
track;
    (d) The identified segment of track is not located on a bridge 
including the track approaching the bridge for 100 feet on either side, 
or located on a public street or highway, if railroad cars containing 
commodities required to be placarded by the Hazardous Materials 
Regulations (49 CFR Part 172), are moved over the track; and
    (e) The railroad conducts operations on the identified segment 
under the following conditions:
    (1) No train shall be operated at speeds in excess of 10 miles per 
hour;
    (2) No occupied passenger train shall be operated;
    (3) No freight train shall be operated that contains more than five 
cars required to be placarded by the Hazardous Materials Regulations 
(49 CFR Part 172); and
    (4) The gage on excepted track must not be more than 4' 10\1/4\ 
inches. (This paragraph (e)(4) is effective [1 year after effective 
date of final rule].)
    (f) A track owner must advise the appropriate FRA Regional Office 
at least 10 days prior to removal of a segment of track from excepted 
status.


Sec. 213.5  Responsibility of track owners.

    (a) Except as provided in paragraph (b) of this section, any owner 
of track to which this part applies who knows or has notice that the 
track does not comply with the requirements of this part, shall--
    (1) Bring the track into compliance;
    (2) Halt operations over that track; or
    (3) Operate under authority of a person designated under 
Sec. 213.7(a), who has at least one year of supervisory experience in 
railroad track maintenance, subject to conditions set forth in this 
part.
    (b) If an owner of track to which this part applies designates a 
segment of track as ``excepted track'' under the provisions of 
Sec. 213.4, operations may continue over that track without complying 
with the provisions of subparts B, C, D, and E, unless otherwise 
expressly stated.
    (c) If an owner of track to which this part applies assigns 
responsibility for the track to another person (by lease or otherwise), 
written notification of the assignment must be provided to the 
appropriate FRA Regional Office at least 30 days in advance of the 
assignment. The notification may be made by any party to that 
assignment, but must be in writing and include the following--
    (1) The name and address of the track owner;
    (2) The name and address of the person to whom responsibility is 
assigned (assignee);
    (3) A statement of the exact relationship between the track owner 
and the assignee;
    (4) A precise identification of the track;
    (5) A statement as to the competence and ability of the assignee to 
carry out the duties of the track owner under this part; and
    (6) A statement signed by the assignee acknowledging the assignment 
to him of responsibility for purposes of compliance with this part.
    (d) The Administrator may hold the track owner or the assignee or 
both responsible for compliance with this part and subject to penalties 
under Sec. 213.15.
    (e) A common carrier by railroad which is directed by the Surface 
Transportation Board to provide service over the track of another 
railroad under 49 U.S.C. 11125 is considered the owner of that track 
for the purposes of the application of this part during the period the 
directed service order remains in effect.


Sec. 213.7  Designation of qualified persons to supervise certain 
renewals and inspect track.

    (a) Each track owner to which this part applies shall designate 
qualified persons to supervise restorations and renewals of track under 
traffic conditions. Each person designated must have--
    (1) At least--
    (i) 1 year of supervisory experience in railroad track maintenance; 
or
    (ii) A combination of supervisory experience in track maintenance 
and training from a course in track maintenance or from a college level 
educational program related to track maintenance;
    (2) Demonstrated to the owner that he--
    (i) Knows and understands the requirements of this part;
    (ii) Can detect deviations from those requirements; and

[[Page 36165]]

    (iii) Can prescribe appropriate remedial action to correct or 
safely compensate for those deviations; and
    (3) Written authorization from the track owner to prescribe 
remedial actions to correct or safely compensate for deviations from 
the requirements in this part.
    (b) Each track owner to which this part applies shall designate 
qualified persons to inspect track for defects. Each person designated 
must have --
    (1) At least--
    (i) 1 year of experience in railroad track inspection; or
    (ii) A combination of experience in track inspection and training 
from a course in track inspection or from a college level educational 
program related to track inspection;
    (2) Demonstrated to the owner that he--
    (i) Knows and understands the requirements of this part;
    (ii) Can detect deviations from those requirements; and
    (iii) Can prescribe appropriate remedial action to correct or 
safely compensate for those deviations; and
    (3) Written authorization from the track owner to prescribe 
remedial actions to correct or safely compensate for deviations from 
the requirements of this part, pending review by a qualified person 
designated under paragraph (a) of this section.
    (c) With respect to designations under paragraphs (a) and (b) of 
this section, each track owner must maintain written records of--
    (1) Each designation in effect;
    (2) The basis for each designation; and
    (3) Track inspections made by each designated qualified person as 
required by Sec. 213.241. These records must be kept available for 
inspection or copying by the Federal Railroad Administration during 
regular business hours.
    (d) Persons not fully qualified to supervise certain renewals and 
inspect track as outlined in paragraphs (a) and (b) of this section, 
but with at least one year of maintenance-of-way or signal experience, 
may be qualified by the track owner to pass trains over broken rails 
and pull aparts provided that--
    (1) The person is trained, examined, and re-examined periodically 
not to exceed two years, on the following topics as they relate to the 
safe passage of trains over broken rails or pull aparts--
    (i) Rail defect identification, tie condition, track surface and 
alignment, gage restraint, rail end mismatch, joint bars, and maximum 
distance between rail ends over which trains may be allowed to pass;
    (ii) The purpose of the examination will be to ascertain the 
persons ability to effectively apply these requirements and will not be 
used as a disqualifier; and
    (iii) A minimum of four hours will be deemed adequate for initial 
training.
    (2) The person deems it safe and train speeds are limited to a 
maximum of 10 mph over the broken rail or pull apart;
    (3) The person must watch all movements over the broken rail or 
pull apart and be prepared to stop the train if necessary; and
    (4) Person(s) fully qualified under Sec. 213.7 of this part are 
notified and dispatched to the location promptly for the purpose of 
authorizing movements and effecting temporary or permanent repairs.


Sec. 213.9  Classes of track: operating speed limits.

    (a) Except as provided in paragraphs (b) and (c) of this section 
and Secs. 213.57(b), 213.59(a), 213.113(a), and 213.137 (b) and (c), 
the following maximum allowable operating speeds apply--

                   Maximum Allowable Operating Speeds                   
                           [In miles per hour]                          
------------------------------------------------------------------------
                                                                 For    
 Over track that meets all of the requirements  For freight   passenger 
          prescribed in this part for              trains       trains  
------------------------------------------------------------------------
Class 1 track.................................           10           15
Class 2 track.................................           25           30
Class 3 track.................................           40           60
Class 4 track.................................           60           80
Class 5 track.................................           80           90
------------------------------------------------------------------------

    (b) If a segment of track does not meet all of the requirements for 
its intended class, it is reclassified to the next lowest class of 
track 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 Class 1 track, operations may continue at Class 1 
speeds for a period of not more than 30 days without bringing the track 
into compliance, under the authority of a person designated under 
Sec. 213.7(a), who has at least one year of supervisory experience in 
railroad track maintenance, after that person determines that 
operations may safely continue and subject to any limiting conditions 
specified by such person.


Sec. 213.11  Restoration or renewal of track under traffic conditions.

    If during a period of restoration or renewal, track is under 
traffic conditions and does not meet all of the requirements prescribed 
in this part, the work on the track must be under the continuous 
supervision of a person designated under Sec. 213.7(a) who has at least 
one year of supervisory experience in railroad track maintenance, and 
subject to any limiting conditions specified by such person. The term 
``continuous supervision'' as used in this section means the physical 
presence of that person at a job site. However, since the work may be 
performed over a large area, it is not necessary that each phase of the 
work be done under the visual supervision of that person.


Sec. 213.13  Measuring track not under load.

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


Sec. 213.15  Civil penalty.

    Any person including a railroad, any manager, supervisor, official, 
or other employee or agent of a railroad, any owner of track on which a 
railroad operates, or any person held by the Federal Railroad 
Administrator to be responsible under Sec. 213.5(d) who violates any 
requirement of this part or causes the violation of any such 
requirement is subject to a civil penalty of at least $250 and not more 
than $10,000 per violation, except that: Penalties may be assessed 
against

[[Page 36166]]

individuals only for willful violations, and, where a grossly negligent 
violation or a pattern of repeated violations has created an imminent 
hazard of death or injury to persons, or has caused death or injury, a 
penalty not to exceed $20,000 per violation may be assessed. Each day a 
violation continues shall constitute a separate offense. See appendix B 
to this part for a statement of agency civil penalty policy.


Sec. 213.17  Exemptions.

    (a) Any owner of track to which this part applies may petition the 
Federal Railroad Administrator for exemption from any or all 
requirements prescribed in this part.
    (b) Each petition for exemption under this section must be filed in 
the manner and contain the information required by Secs. 211.7 and 
211.9 of this chapter.
    (c) If the Administrator finds that an exemption is in the public 
interest and is consistent with railroad safety, the Administrator may 
grant the exemption subject to any conditions the Administrator deems 
necessary. Notice of each exemption granted is published in the Federal 
Register together with a statement of the reasons therefore.

Subpart B--Roadbed


Sec. 213.31  Scope.

    This subpart prescribes minimum requirements for roadbed and areas 
immediately adjacent to roadbed.


Sec. 213.33  Drainage.

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


Sec. 213.37  Vegetation.

    Vegetation on railroad property which is on or immediately adjacent 
to roadbed must be controlled so that it does not--
    (a) Become a fire hazard to track-carrying structures;
    (b) Obstruct visibility of railroad signs and signals:
    (1) Along the right-of-way, and
    (2) At highway-rail crossings; (Paragraphs (b) (1) and (2) are 
effective Date [1 year after effective date of rule].)
    (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.

Subpart C--Track Geometry


Sec. 213.51  Scope.

    This subpart prescribes requirements for the gage, alignment, and 
surface of track, and the elevation of outer rails and speed 
limitations for curved track.


Sec. 213.53  Gage.

    (a) Gage is measured between the heads of the rails at right-angles 
to the rails in a plane five-eighths of an inch below the top of the 
rail head.
    (b) Gage must be within the limits prescribed in the following 
table--

------------------------------------------------------------------------
                                                  The gage              
                Class of track                   must be at    But not  
                                                   least      more than 
------------------------------------------------------------------------
Class 1 track.................................       4' 8''      4' 10''
Class 2 and 3 track...........................       4' 8''  4' 9\3/4\''
Class 4 and 5 track...........................      14' 8''  4' 9\1/2\''
------------------------------------------------------------------------

Sec. 213.55  Alignment.

    Alignment may not deviate from uniformity more than the amount 
prescribed in the following table:

----------------------------------------------------------------------------------------------------------------
                                                           Tangent track                Curved track            
                                                        --------------------------------------------------------
                                                          The deviation of   The deviation of   The deviation of
                                                           the mid-offset    the mid-ordinate   the mid-ordinate
                     Class of track                        from a 62-foot     from a 31-foot     from a 62-foot 
                                                          line \1\ may not  chord \2\ may not  chord \2\ may not
                                                            be more than       be more than       be more than  
                                                              (inches)           (inches)           (inches)    
----------------------------------------------------------------------------------------------------------------
Class 1 track..........................................                  5              (\3\)                  5
Class 2 track..........................................                  3              (\3\)                  3
Class 3 track..........................................             1\3/4\             1\1/4\             1\3/4\
Class 4 track..........................................             1\1/2\                  1             1\1/2\
Class 5 track..........................................              \3/4\              \1/2\              \5/8\
----------------------------------------------------------------------------------------------------------------
\1\ The ends of the line must be at points on the gage side of the line rail, five-eighths of an inch below the 
  top of the railhead. Either rail may be used as the line rail, however, the same rail must be used for the    
  full length of that tangential segment of track.                                                              
\2\ The ends of the chord must be at points on the gage side of the outer rail, five-eighths of an inch below   
  the top of the railhead.                                                                                      
\3\ N/A--Not Applicable.                                                                                        

Sec. 213.57  Curves; elevation and speed limitations.

    (a) The maximum crosslevel on the outside rail of a curve may not 
be more than 8 inches on track Classes 1 and 2 and 7 inches on Classes 
3 through 5. Except as provided in Sec. 213.63, the outside rail of a 
curve may not be lower than the inside rail. (The first sentence of 
paragraph (a) is effective [Date 1 yr. after effective date of final 
rule].)
    (b) The maximum allowable operating speed for each curve is 
determined by the following formula--
[GRAPHIC] [TIFF OMITTED] TP03JY97.016

where--
Vmax=Maximum allowable operating speed (miles per hour).
Ea=Actual elevation of the outside rail (inches).\1\
D=Degree of curvature (degrees).\2\

Table 1 of Appendix A is a table of maximum allowable operating speed 
computed in accordance with this

[[Page 36167]]

formula for various elevations and degrees of curvature.
    (c) For rolling stock meeting the requirements specified in 
paragraph (d) of this section, the maximum operating speed for each 
curve may be determined by the following formula--

[GRAPHIC] [TIFF OMITTED] TP03JY97.017

where--
Vmax=Maximum allowable operating speed (miles per hour).
Ea=Actual elevation of the outside rail (inches).\1\
---------------------------------------------------------------------------

    \1\ Actual elevation for each 155 foot track segment in the body 
of the curve is determined by averaging the elevation for 10 points 
through the segment at 15.5 foot spacing. If the curve length is 
less than 155 feet, average the points through the full length of 
the body of the curve.
---------------------------------------------------------------------------

D=Degree of curvature (degrees).\2\

    \2\ Degree of curvature is determined by averaging the degree of 
curvature over the same track segment as the elevation.
---------------------------------------------------------------------------

Table 2 of Appendix A is a table of maximum allowable operating speed 
computed in accordance with this formula for various elevations and 
degrees of curvature.
    (d) Qualified equipment may be operated at curving speeds 
determined by the formula in paragraph (c) of this section, provided 
each specific class of equipment is approved for operation by the 
Federal Railroad Administration and demonstrate that--
    (1) When positioned on a track with a uniform 4 inch 
superelevation, the roll angle between the floor of the equipment and 
the horizontal does not exceed 5.7 degrees; and
    (2) When positioned on a track with a uniform 6 inch 
superelevation, no wheel of the equipment unloads to a value of 60 
percent of its static value on perfectly level track, and the roll 
angle between the floor of the equipment and the horizontal does not 
exceed 8.6 degrees.
    (3) The track owner must notify the Federal Railroad Administrator 
no less than 30 calendar days prior to the proposed implementation of 
the higher curving speeds allowed under the formula in paragraph (c) of 
this section. The notification must be in writing and shall contain, at 
a minimum, the following information--
    (i) A complete description of the class of equipment involved, 
including schematic diagrams of the suspension systems and the location 
of the center of gravity above top of rail;
    (ii) A complete description of the test procedure \3\ and 
instrumentation used to qualify the equipment and the maximum values 
for wheel unloading and roll angles which were observed during testing;
---------------------------------------------------------------------------

    \3\ The test procedure may be conducted in a test facility 
whereby all the wheels on one side (right or left) of the equipment 
are alternately raised and lowered by 4 and 6 inches and the 
vertical wheel loads under each wheel are measured and a level is 
used to record the angle through which the floor of the equipment 
has been rotated.
---------------------------------------------------------------------------

    (iii) Procedures or standards in effect which relate to the 
maintenance of the suspension system for the particular class of 
equipment; and
    (iv) Identification of line segment on which the higher curving 
speeds are proposed to be implemented.
    (e) In the case of a track owner, or an operator of a passenger or 
commuter service, who provides passenger or commuter service over 
trackage of more than one track owner with the same class of equipment, 
that person may provide written notification to the Federal Railroad 
Administrator with the written consent of the other affected track 
owners.
    (f) Equipment presently operating at curving speeds allowed under 
the formula in paragraph (c) of this section, by reason of conditional 
waivers granted by the Federal Railroad Administration, shall be 
considered to have successfully complied with the requirements of 
paragraph (d) of this section.


Sec. 213.59  Elevation of curved track; runoff.

    (a) If a curve is elevated, the full elevation must be provided 
throughout the curve, unless physical conditions do not permit. If 
elevation runoff occurs in a curve, the actual minimum elevation must 
be used in computing the maximum allowable operating speed for that 
curve under Sec. 213.57(b).
    (b) Elevation runoff must be at a uniform rate, within the limits 
of track surface deviation prescribed in Sec. 213.63, and it must 
extend at least the full length of the spirals. If physical conditions 
do not permit a spiral long enough to accommodate the minimum length of 
runoff, part of the runoff may be on tangent track.


Sec. 213.63  Track surface.

    Each owner of the track to which this part applies shall maintain 
the surface of its track within the limits prescribed in the following 
table:

----------------------------------------------------------------------------------------------------------------
                                                                               Class of track                   
                                                          ------------------------------------------------------
                      Track surface                            1          2          3          4          5    
                                                            (inches)   (inches)   (inches)   (inches)   (inches)
----------------------------------------------------------------------------------------------------------------
The runoff in any 31 feet of rail at the end of a raise                                                         
 may not be more than....................................     3\1/2\          3          2     1\1/2\          1
The deviation from uniform profile on either rail at the                                                        
 mid-ordinate of a 62-foot chord may not be more than....          3     2\3/4\     2\1/4\          2     1\1/4\
The deviation from zero crosslevel at any point on                                                              
 tangent or reverse crosslevel elevation on curves may                                                          
 not be more than........................................          3          2     1\3/4\     1\1/4\          1
The difference in crosslevel between any two points less                                                        
 than 62 feet apart may not be more than*1 2.............          3     2\1/2\          2     1\3/4\     1\1/2\
*Where determined by engineering decision prior to the                                                          
 promulgation of this rule, due to physical restrictions                                                        
 on spiral length and operating practices and experience,                                                       
 the variation in crosslevel on spirals per 31 feet may                                                         
 not be more than........................................          2     1\3/4\     1\1/4\          1     \3/4\ 
----------------------------------------------------------------------------------------------------------------
\1\ Except as limited by Sec.  213.57(a), where the elevation at any point in a curve equals or exceeds 6       
  inches, the difference in crosslevel within 62 feet between that point and a point with greater elevation may 
  not be more than 1\1/2\ inches. (Footnote 1 is effective [date 1 year after effective date of this final      
  rule].)                                                                                                       
\2\ However, to control harmonics on Class 2 through 5 jointed track with staggered joints, the crosslevel      
  differences shall not exceed 1\1/4\ inches in all of six consecutive pairs of joints, as created by 7 low     
  joints. Track with joints staggered less than 10 feet shall not be considered as having staggered joints.     
  Joints within the 7 low joints outside of the regular joint spacing shall not be considered as joints for     
  purposes of this footnote. (Footnote 2 is effective [date 1 year after effective date of this rule].)         


[[Page 36168]]

Subpart D--Track Structure


Sec. 213.101  Scope.

    This subpart prescribes minimum requirements for ballast, 
crossties, track assembly fittings, and the physical conditions of 
rails.


Sec. 213.103  Ballast; general.

    Unless it is otherwise structurally supported, all track must be 
supported by material which will--
    (a) Transmit and distribute the load of the track and railroad 
rolling equipment to the subgrade;
    (b) Restrain the track laterally, longitudinally, and vertically 
under dynamic loads imposed by railroad rolling equipment and thermal 
stress exerted by the rails;
    (c) Provide adequate drainage for the track; and
    (d) Maintain proper track crosslevel, surface, and alignment.


Sec. 213.109  Crossties.

    (a) Crossties shall be made of a material to which rail can be 
securely fastened.
    (b) Each 39 foot segment of track shall have--
    (1) A sufficient number of crossties which in combination provide 
effective support that will--
    (i) Hold gage within the limits prescribed in Sec. 213.53(b);
    (ii) Maintain surface within the limits prescribed in Sec. 213.63; 
and
    (iii) Maintain alignment within the limits prescribed in 
Sec. 213.55.
    (2) The minimum number and type of crossties specified in paragraph 
(c) of this section effectively distributed to support the entire 
segment; and
    (3) At least one crosstie of the type specified in paragraph (c) of 
this section that is located at a joint location as specified in 
paragraph (d) of this section.
    (c) Each 39 foot segment of track shall have the minimum number and 
type of crossties as indicated in the following table:

------------------------------------------------------------------------
                                                               Turnouts 
                                          Tangent track and   and curved
             Class of track              curves2   track over
                                               degrees        2 degrees 
------------------------------------------------------------------------
Class 1 track..........................                5               6
Class 2 track..........................                8               9
Class 3 track..........................                8              10
Class 4 and 5 track....................               12              14
------------------------------------------------------------------------

    Crossties required shall be of the type which are not --
    (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) So deteriorated that the tie plate or base of rail can move 
laterally \1/2\ inch relative to the crossties; or
    (4) Cut by the tie plate through more than 40 percent of a ties' 
thickness.
    (d) Class 1 and Class 2 track shall have one crosstie whose 
centerline is within 24 inches of the rail joint location, and Classes 
3 through 5 track shall have one crosstie whose centerline is within 18 
inches of the rail joint location or, two crossties whose centerlines 
are within 24 inches either side of the rail joint location. The 
relative position of these ties is described in the following diagrams.

BILLING CODE 4910-06-P

[[Page 36169]]

[GRAPHIC] [TIFF OMITTED] TP03JY97.011



BILLING CODE 4910-06-C

[[Page 36170]]

    (e) For track constructed without crossties, such as slab track, 
track connected directly to bridge structural components and track over 
servicing pits, the track structure must meet the requirements of 
paragraphs (b)(1)(i), (ii), and (iii).


Sec. 213.113  Defective rails.

    (a) When an owner of track to which this part applies learns, 
through inspection or otherwise, that a rail in that track contains any 
of the defects listed in the following table, a person designated under 
Sec. 213.7 shall determine whether or not the track may continue in 
use. If he 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 prescribed in the table is initiated --

                                                 Remedial Action                                                
----------------------------------------------------------------------------------------------------------------
                                      Length of defect (inch)          Percent of rail head                     
                               -------------------------------------   cross-sectional area    If defective rail
                                                                        weakened by defect      is not replaced,
            Defect                                        But not   -------------------------- take the remedial
                                       More than         more than                  But not    action prescribed
                                                                      Less than    less than        in note     
----------------------------------------------------------------------------------------------------------------
Transverse fissure............  ......................  ...........           70            5  B.               
                                ......................  ...........          100           70  A2.              
                                ......................  ...........  ...........          100  A.               
Compound fissure..............  ......................  ...........           70            5  B.               
                                ......................  ...........          100           70  A2.              
                                ......................  ...........  ...........          100  A.               
Detail fracture...............  ......................  ...........           25            5  C.               
Engine burn fracture..........  ......................  ...........           80           25  D.               
Defective weld 25.............  ......................  ...........          100           80  A2 or E and H.   
                                ......................  ...........  ...........          100  A or E and H.    
Horizontal split head.........  1.....................            2  ...........  ...........  H and F.         
Vertical split head...........  2.....................            4  ...........  ...........  I and G.         
Split web.....................  4.....................  ...........  ...........  ...........  B.               
Piped rail....................  (\1\).................        (\1\)        (\1\)  ...........  A.               
Head web separation...........  ......................  ...........  ...........  ...........  .................
Bolt hole crack...............  \1/2\.................            1  ...........  ...........  H and F.         
                                1.....................       1\1/2\  ...........  ...........  H and G.         
                                1\1/2\................  ...........  ...........  ...........  B.               
                                (\1\).................        (\1\)        (\1\)  ...........  A.               
Broken base...................  1.....................            6  ...........  ...........  D.               
                                6.....................  ...........  ...........  ...........  A or E and I.    
Ordinary break................  ......................  ...........  ...........  ...........  A or E.          
Damaged rail..................  ......................  ...........  ...........  ...........  D.               
Flattened rail................  Depth \3/8\  ...........  ...........  ...........  H.               
                                 and.                                                                           
                                Length 8...                                                          
----------------------------------------------------------------------------------------------------------------
(\1\) Break out in rail head.                                                                                   

Notes-- 

    A. Assign person designated under Sec. 213.7 to visually 
supervise each operation over defective rail.
    A2. Assign person designated under Sec. 213.7 to make visual 
inspection. After a visual inspection, that person may authorize 
operation to continue without continuous visual supervision at a 
maximum of 10 mph for up to 24 hours prior to another such visual 
inspection or replacement or repair of the rail.
    B. Limit operating speed over defective rail to that as 
authorized by a person designated under Sec. 213.7(a), who has at 
least one year of supervisory experience in railroad track 
maintenance. The operating speed cannot be over 30 mph or the 
maximum allowable speed under Sec. 213.9 for the class of track 
concerned, whichever is lower.
    C. Apply joint bars bolted only through the outermost holes to 
defect within 20 days after it is determined to continue the track 
in use. In the case of Classes 3 through 5 track, limit operating 
speed over defective rail to 30 mph until angle bars are applied; 
thereafter, limit speed to 50 mph or the maximum allowable speed 
under Sec. 213.9 for the class of track concerned, whichever is 
lower. When a search for internal rail defects is conducted under 
Sec. 213.237, and defects are discovered in Classes 3 through 5 
which require remedial action C, the operating speed shall be 
limited to 50 mph, or the maximum allowable speed under Sec. 213.9 
for the class of track concerned, whichever is lower, for a period 
not to exceed 4 days. If the defective rail has not been removed 
from the track or a permanent repair made within 4 days of the 
discovery, limit operating speed over the defective rail to 30 mph 
until joint bars are applied; thereafter, limit speed to 50 mph or 
the maximum allowable speed under Sec. 213.9 for the class of track 
concerned, whichever is lower.
    D. Apply joint bars bolted only through the outermost holes to 
defect within 10 days after it is determined to continue the track 
in use. In the case of Classes 3 through 5 track, limit operating 
speed over the defective rail to 30 mph or less as authorized by a 
person designated under Sec. 213.7(a), who has at least one year of 
supervisory experience in railroad track maintenance, until angle 
bars are applied; thereafter, limit speed to 50 mph or the maximum 
allowable speed under Sec. 213.9 for the class of track concerned, 
whichever is lower.
    E. Apply joint bars to defect and bolt in accordance with 
Sec. 213.121 (d) and (e).
    F. Inspect rail 90 days after it is determined to continue the 
track in use.
    G. Inspect rail 30 days after it is determined to continue the 
track in use.
    H. Limit operating speed over defective rail to 50 mph or the 
maximum allowable speed under Sec. 213.9 for the class of track 
concerned, whichever is lower.
    I. Limit operating speed over defective rail to 30 mph or the 
maximum allowable speed under Sec. 213.9 for the class of track 
concerned, whichever is lower.

    (b) As used in this section--
    (1) Transverse Fissure means a progressive crosswise fracture 
starting from a crystalline center or nucleus inside the head from 
which it spreads outward as a smooth, bright, or dark, round or oval 
surface substantially at a right angle to the length of the rail. The 
distinguishing features of a transverse fissure from other types of 
fractures or defects are the crystalline center or

[[Page 36171]]

nucleus and the nearly smooth surface of the development which 
surrounds it.
    (2) Compound Fissure means a progressive fracture originating in a 
horizontal split head which turns up or down in the head of the rail as 
a smooth, bright, or dark surface progressing until substantially at a 
right angle to the length of the rail. Compound fissures require 
examination of both faces of the fracture to locate the horizontal 
split head from which they originate.
    (3) Horizontal Split Head means a horizontal progressive defect 
originating inside of the rail head, usually one-quarter inch or more 
below the running surface and progressing horizontally in all 
directions, and generally accompanied by a flat spot on the running 
surface. The defect appears as a crack lengthwise of the rail when it 
reaches the side of the rail head.
    (4) Vertical Split Head means a vertical split through or near the 
middle of the head, and extending into or through it. A crack or rust 
streak may show under the head close to the web or pieces may be split 
off the side of the head.
    (5) Split Web means a lengthwise crack along the side of the web 
and extending into or through it.
    (6) Piped Rail means a vertical split in a rail, usually in the 
web, due to failure of the shrinkage cavity in the ingot to unite in 
rolling.
    (7) Broken Base means any break in the base of the rail.
    (8) Detail Fracture means a progressive fracture originating at or 
near the surface of the rail head. These fractures should not be 
confused with transverse fissures, compound fissures, or other defects 
which have internal origins. Detail fractures may arise from shelly 
spots, head checks, or flaking.
    (9) Engine Burn Fracture means a progressive fracture originating 
in spots where driving wheels have slipped on top of the rail head. In 
developing downward they frequently resemble the compound or even 
transverse fissures with which they should not be confused or 
classified.
    (10) Ordinary Break means a partial or complete break in which 
there is no sign of a fissure, and in which none of the other defects 
described in this paragraph (b) are found.
    (11) Damaged Rail means any rail broken or injured by wrecks, 
broken, flat, or unbalanced wheels, slipping, or similar causes.
    (12) Flattened Rail means a short length of rail, not at a joint, 
which has flattened out across the width of the rail head to a depth of 
`` inch or more below the rest of the rail. Flattened rail occurrences 
have no repetitive regularity and thus do not include corrugations, and 
have no apparent localized cause such as a weld or engine burn. Their 
individual length is relatively short, as compared to a condition such 
as head flow on the low rail of curves.


Sec. 213.115  Rail end mismatch.

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

------------------------------------------------------------------------
                                     Any mismatch of rails at joints may
                                      not be more than the following--  
                                   -------------------------------------
          Class of track             On the tread of    On the gage side
                                      the rail ends     of the rail ends
                                          (inch)             (inch)     
------------------------------------------------------------------------
Class 1 track.....................              \1/4\              \1/4\
Class 2 track.....................              \1/4\             \3/16\
Class 3 track.....................             \3/16\             \3/16\
Class 4 and 5 track...............              \1/8\              \1/8\
------------------------------------------------------------------------

Sec. 213.119  Continuous welded rail (CWR); general.

    Each track owner with track constructed of CWR shall have in effect 
written procedures which address the installation, adjustment, 
maintenance and inspection of CWR, and a training program for the 
application of those procedures, which shall be submitted to the 
Federal Railroad Administration within six months following the 
effective date of the final rule. FRA shall review each plan for 
compliance with the following--
    (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; and
    (2) Destressing procedures/methods which address proper attainment 
of the desired rail installation temperature range when adjusting CWR.
    (b) Rail anchoring or fastening requirements that will provide 
sufficient restraint to limit longitudinal rail and crosstie movement 
to the extent practical, and specifically addressing 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 train-induced forces, is restricted.
    (c) 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. Rail repair 
practices must take into consideration existing rail temperature so 
that--
    (1) When rail is removed, the length installed shall be determined 
by taking into consideration the existing rail temperature and the 
desired rail installation temperature range; and
    (2) Under no circumstances should rail be added when the rail 
temperature is below that designated by paragraph (a)(1) of this 
section, without provisions for later adjustment.
    (d) Procedures which address the monitoring of CWR in curved track 
for inward shifts of alignment toward the center of the curve as a 
result of disturbed track.
    (e) Procedures which control train 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 and/or longitudinal resistance of the track; 
and
    (2) In formulating the procedures under this paragraph (e), the 
track owner must--
    (i) Determine the speed required, and the duration and subsequent 
removal of any speed restriction based on the restoration of the 
ballast, along with sufficient ballast re-consolidation to stabilize 
the track to a level that can accommodate expected train-induced 
forces. Ballast re-consolidation can be achieved through either the 
passage of train tonnage or mechanical stabilization procedures, or 
both; and
    (ii) Take into consideration the type of crossties used.
    (f) Procedures which prescribe when physical track inspections are 
to be performed to detect buckling prone

[[Page 36172]]

conditions in CWR track. At a minimum, these procedures shall address 
inspecting track to identify--
    (1) Locations where tight or kinky rail conditions are likely to 
occur;
    (2) Locations where track work of the nature described in paragraph 
(e)(1) of this section have recently been performed; and
    (3) In formulating the procedures under this paragraph (f), the 
track owner shall--
    (i) Specify the timing of the inspection; and
    (ii) Specify the appropriate remedial actions to be taken when 
buckling prone conditions are found.
    (g) The track owner shall have in effect a comprehensive training 
program for the application of these written CWR procedures, with 
provisions for periodic re-training, for those individuals designated 
under Sec. 213.7 of this part as qualified to supervise the 
installation, adjustment, and maintenance of CWR track and to perform 
inspections of CWR track.
    (h) The track owner shall prescribe recordkeeping requirements 
necessary to provide an adequate history of track constructed with CWR. 
At a minimum, these records must include:
    (1) Rail temperature, location and date of CWR installations. This 
record shall be retained for at least one year; and
    (2) A record of any CWR installation or maintenance work that does 
not conform with 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.
    (i) As used in this section--
    (1) Adjusting/Destressing means the procedure by which a rail's 
temperature is re-adjusted 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.
    (2) Buckling Incident means the formation of a lateral mis-
alignment sufficient in magnitude to constitute a deviation from the 
Class 1 requirements specified in Sec. 213.55 of this part. These 
normally occur when rail temperatures are relatively high and are 
caused by high longitudinal compressive forces.
    (3) Continuous Welded Rail (CWR) means rail that has been welded 
together into lengths exceeding 400 feet.
    (4) Desired Rail Installation Temperature Range means the rail 
temperature range, within a specific geographical area, at which forces 
in CWR should not cause a track buckle in extreme heat, or a pull-apart 
during extreme cold weather.
    (5) 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 and/or longitudinal resistance of the track.
    (6) Mechanical Stabilization means a type of procedure used to 
restore track resistance to disturbed track following certain 
maintenance operations. This procedure may incorporate dynamic track 
stabilizers or ballast consolidators, which are units of work equipment 
that are used as a substitute for the stabilization action provided by 
the passage of tonnage trains.
    (7) Rail Anchors means those devices which are attached to the rail 
and bear against the side of the crosstie to control longitudinal rail 
movement. Certain types of rail fasteners also act as rail anchors and 
control longitudinal rail movement by exerting a downward clamping 
force on the upper surface of the rail base.
    (8) Rail Temperature means the temperature of the rail, measured 
with a rail thermometer.
    (9) Tight/Kinky Rail means CWR which exhibits minute alignment 
irregularities which indicate that the rail is in a considerable amount 
of compression.
    (10) 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.
    (11) Track Lateral Resistance means the resistance provided to the 
rail/crosstie structure against lateral displacement.
    (12) 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.


Sec. 213.121  Rail joints.

    (a) Each rail joint, insulated joint, and compromise joint must be 
of a structurally sound design and dimensions for the rail on which it 
is applied.
    (b) If a joint bar on Classes 3 through 5 track is cracked, broken, 
or because of wear allows excessive vertical movement of either rail 
when all bolts are tight, it must be replaced.
    (c) If a joint bar is cracked or broken between the middle two bolt 
holes it must be replaced.
    (d) In the case of conventional jointed track, each rail must be 
bolted with at least two bolts at each joint in Classes 2 through 5 
track, and with at least one bolt in Class 1 track.
    (e) In the case of continuous welded rail track, each rail must be 
bolted with at least two bolts at each joint.
    (f) Each joint bar must be held in position by track bolts 
tightened to allow the joint bar to firmly support the abutting rail 
ends and to allow longitudinal movement of the rail in the joint to 
accommodate expansion and contraction due to temperature variations. 
When no-slip, joint-to-rail contact exists by design, the requirements 
of this paragraph do not apply. Those locations when over 400 feet in 
length, are considered to be continuous welded rail track and must meet 
all the requirements for continuous welded rail track prescribed in 
this part.
    (g) No rail shall have a bolt hole which is torch cut or burned in 
Classes 2 through 5 track. (This paragraph (g) is effective [1 year 
after effective date of final rule].)
    (h) No joint bar shall be reconfigured by torch cutting in Classes 
3 through 5 track. (This paragraph (h) is effective [1 year after 
effective date of final rule].)


Sec. 213.122  Torch cut rail.

    (a) Except as a temporary repair in emergency situations no rail 
having a torch cut end shall be used in Classes 3 through 5 track. When 
a rail end is torch cut in emergency situations, speed over that rail 
end must not exceed the maximum allowable for Class 2 track. For 
existing torch cut rail ends in Classes 3 through 5 track the following 
shall apply--
    (1) Within one year of [the effective date of the final rule], all 
torch cut rail ends in Class 5 track must be removed;
    (2) Within two years of [the effective date of the final rule], all 
torch cut rail ends in Class 4 track must be removed; and
    (3) Within one year of [the effective date of the final rule], all 
torch cut rail ends in Class 3 track over which regularly scheduled 
passenger trains operate, must be inventoried by the track owner.
    (b) Following the expiration of the time limits specified in 
(a)(1), (2), and (3) of this section, any torch cut rail end not 
removed from Classes 4 and 5 track, or any torch cut rail end not 
inventoried in Class 3 track over which regularly scheduled passenger 
trains operate, must be removed within 30 days of discovery. Speed over 
that rail end must not exceed the maximum allowable for Class 2 track 
until removed.


Sec. 213.123  Tie plates.

    (a) In Classes 3 through 5 track where timber crossties are in use 
there must be

[[Page 36173]]

tie plates under the running rails on at least eight of any 10 
consecutive ties.
    (b) In Classes 3 through 5 track no metal object which causes a 
concentrated load by solely supporting a rail shall be allowed between 
the base of the rail and the bearing surface of the tie plate. (This 
paragraph (b) is effective 1 year after effective date of final rule].)


Sec. 213.127  Rail fastening systems.

    Track shall be fastened by a system of components which effectively 
maintains gage within the limits prescribed in Sec. 213.53(b).


Sec. 213.133  Turnouts and track crossings generally.

    (a) In turnouts and track crossings, the fastenings must be intact 
and maintained so as to keep the components securely in place. Also, 
each switch, frog, and guard rail must be kept free of obstructions 
that may interfere with the passage of wheels.
    (b) Classes 3 through 5 track must be equipped with rail anchoring 
through and on each side of track crossings and turnouts, to restrain 
rail movement affecting the position of switch points and frogs. 
(Requirement for Class 3 Track Effective [Date 1 Year after effective 
Date of Final Rule].)
    (c) Each flangeway at turnouts and track crossings must be at least 
1\1/2\ inches wide.


Sec. 213.135  Switches.

    (a) Each stock rail must be securely seated in switch plates, but 
care must be used to avoid canting the rail by overtightening the rail 
braces.
    (b) Each switch point must fit its stock rail properly, with the 
switch stand in either of its closed positions to allow wheels to pass 
the switch point. Lateral and vertical movement of a stock rail in the 
switch plates or of a switch plate on a tie must not adversely affect 
the fit of the switch point to the stock rail. Broken or cracked switch 
point rails will be subject to the requirements of Sec. 213.113, except 
that where remedial actions C, D, or E require the use of joint bars, 
and joint bars cannot be placed due to the physical configuration of 
the switch, remedial action B will govern, taking into account any 
added safety provided by the presence of reinforcing bars on the switch 
points.
    (c) Each switch must be maintained so that the outer edge of the 
wheel tread cannot contact the gage side of the stock rail.
    (d) The heel of each switch rail must be secure and the bolts in 
each heel must be kept tight.
    (e) Each switch stand and connecting rod must be securely fastened 
and operable without excessive lost motion.
    (f) Each throw lever must be maintained so that it cannot be 
operated with the lock or keeper in place.
    (g) Each switch position indicator must be clearly visible at all 
times.
    (h) Unusually chipped or worn switch points must be repaired or 
replaced. Metal flow must be removed to insure proper closure.
    (i) Tongue & Plain Mate switches, which by design exceed Class 1 
and excepted track maximum gage limits, are permitted in Class 1 and 
excepted track.


Sec. 213.137  Frogs.

    (a) The flangeway depth measured from a plane across the wheel-
bearing area of a frog on Class 1 track may not be less than 1\3/8\ 
inches, or less than 1\1/2\ inches on Classes 2 through 5 track.
    (b) If a frog point is chipped, broken, or worn more than five-
eighths inch down and 6 inches back, operating speed over the frog may 
not be more than 10 miles per hour.
    (c) If the tread portion of a frog casting is worn down more than 
three-eighths inch below the original contour, operating speed over 
that frog may not be more than 10 miles per hour.
    (d) Where frogs are designed as flange-bearing, flangeway depth may 
be less than that shown for Class 1 if operated at Class 1 speeds.


Sec. 213.139  Spring rail frogs.

    (a) The outer edge of a wheel tread may not contact the gage side 
of a spring wing rail.
    (b) The toe of each wing rail must be solidly tamped and fully and 
tightly bolted.
    (c) Each frog with a bolt hole defect or head-web separation must 
be replaced.
    (d) Each spring must have a tension sufficient to hold the wing 
rail against the point rail.
    (e) The clearance between the holddown housing and the horn may not 
be more than one-fourth of an inch.


Sec. 213.141  Self-guarded frogs.

    (a) The raised guard on a self-guarded frog may not be worn more 
than three-eighths of an inch.
    (b) If repairs are made to a self-guarded frog without removing it 
from service, the guarding face must be restored before rebuilding the 
point.


Sec. 213.143  Frog guard rails and guard faces; gage.

    The guard check and guard face gages in frogs must be within the 
limits prescribed in the following table--

------------------------------------------------------------------------
                                    Guard check gage--                  
                                       The distance                     
                                     between the gage  Guard face gage--
                                    line of a frog to     The distance  
                                      the guard line     between guard  
                                     \1\ of its guard      lines \1\,   
                                     rail or guarding   measured across 
          Class of track              face, measured      the track at  
                                     across the track   right angles to 
                                     at right angles     the gage line  
                                     to the gage line   \2\, may not be 
                                     \2\, may not be      more than--   
                                       less than--                      
                                                                        
------------------------------------------------------------------------
Class 1 track.....................         4'6\1/8\''         4'5\1/4\''
Class 2 track.....................         4'6\1/4\''         4'5\1/8\''
Class 3 and 4 track...............         4'6\3/8\''         4'5\1/8\''
Class 5 track.....................         4'6\1/2\''             4'5'' 
------------------------------------------------------------------------
\1\ A line along that side of the flangeway which is nearer to the      
  center of the track and at the same elevation as the gage line.       
\2\ A line \5/8\inch below the top of the center line of the head of the
  running rail, or corresponding location of the tread portion of the   
  track structure.                                                      


[[Page 36174]]

Subpart E--Track Appliances and Track-Related Devices


Sec. 213.201  Scope.

    This subpart prescribes minimum requirements for certain track 
appliances and track-related devices.


Sec. 213.205  Derails.

    (a) Each derail must be clearly visible.
    (b) When in a locked position, a derail must be free of lost motion 
which would prevent it from performing its intended function.
    (c) Each derail must be maintained to function as intended.
    (d) Each derail must be properly installed for the rail to which it 
is applied. (This paragraph (d) is effective [Date 1 year after 
effective date of rule].)

Subpart F--Inspection


Sec. 213.231  Scope.

    This subpart prescribes requirements for the frequency and manner 
of inspecting track to detect deviations from the standards prescribed 
in this part.


Sec. 213.233  Track inspections.

    (a) All track must be inspected in accordance with the schedule 
prescribed in paragraph (c) of this section by a person designated 
under Sec. 213.7.
    (b) Each inspection must be made on foot or by riding over the 
track in a vehicle at a speed that allows the person making the 
inspection to visually inspect the track structure for compliance with 
this part. However, mechanical, electrical, and other track inspection 
devices may be used to supplement visual inspection. If a vehicle is 
used for visual inspection, the speed of the vehicle may not be more 
than 5 miles per hour when passing over track crossings and turnouts, 
otherwise, the inspection vehicle speed shall be at the sole discretion 
of the inspector, based on track conditions and inspection 
requirements. When riding over the track in a vehicle, the inspection 
will be subject to the following conditions--
    (1) One inspector in a vehicle may inspect up to two tracks at one 
time provided that the inspector's visibility remains unobstructed by 
any cause and that the second track is not centered more than 30 feet 
from the track upon which the inspector is riding;
    (2) Two inspectors in one vehicle may inspect up to four tracks at 
a time provided that the inspectors' visibility remains unobstructed by 
any cause and that each track being inspected is centered within 39 
feet from the track upon which the inspectors are riding;
    (3) Each main track is actually traversed by the vehicle or 
inspected on foot at least once every two weeks, and each siding is 
actually traversed by the vehicle or inspected on foot at least once 
every month. On high density commuter railroad lines where track time 
does not permit an on track vehicle inspection, and where track centers 
are 15 foot or less, the requirements of this paragraph (b)(3) will not 
apply; and
    (4) Track inspection records must indicate which track(s) are 
traversed by the vehicle or inspected on foot as outlined in paragraph 
(b)(3) of this section.
    (c) Each track inspection must be made in accordance with the 
following schedule --

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

    (d) If the person making the inspection finds a deviation from the 
requirements of this part, the inspector shall immediately initiate 
remedial action.

    Note: to Sec. 213.233 No part of this section will in any way be 
construed to limit the inspector's discretion as it involves 
inspection speed and sight distance.


Sec. 213.235  Switch and track crossing inspections.

    (a) Except as provided in paragraph (b) of this section, each 
switch, turnout, and track crossing must be inspected on foot at least 
monthly. Each switch in Classes 3 through 5 track that is held in 
position only by the operating mechanism and one connecting rod shall 
be operated to all of its positions during one inspection in every 3 
month period.
    (b) In the case of track that is used less than once a month, each 
switch, turnout, and track crossing must be inspected on foot before it 
is used.


Sec. 213.237  Inspection of rail.

    (a) In addition to the track inspections required by Sec. 213.233, 
a continuous search for internal defects must be made of all rail in 
Classes 4 through 5 track, and Class 3 track over which passenger 
trains operate, at least once every 40 mgt or once a year, whichever 
interval is shorter. On Class 3 track over which passenger trains do 
not operate such a search must be made at least once every 30 mgt or 
once a year, whichever interval is longer. (This paragraph (a) is 
effective the first January 1 after [effective date of final rule].)
    (b) Inspection equipment must be capable of detecting defects 
between joint bars, in the area enclosed by joint bars.
    (c) Each defective rail must be marked with a highly visible 
marking on both sides of the web and base.
    (d) 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 Sec. 213.237(a). 
(This paragraph (d) is not retroactive to tests performed prior to the 
effective date of final rule].)
    (e) If a valid search for internal defects cannot be conducted for 
reasons described in paragraph (d) of this section, the track owner 
shall, before the expiration of time or tonnage limits--
    (1) Conduct a valid search for internal defects;
    (2) Reduce operating speed to a maximum of 25 miles per hour until

[[Page 36175]]

such time as a valid search for internal defects can be made; or
    (3) Remove the rail from service.


Sec. 213.239  Special inspections.

    In the event of fire, flood, severe storm, or other occurrence 
which might have damaged track structure, a special inspection must be 
made of the track involved as soon as possible after the occurrence.


Sec. 213.241  Inspection records.

    (a) Each owner of track to which this part applies shall keep a 
record of each inspection required to be performed on that track under 
this subpart.
    (b) Each record of an inspection under Secs. 213.4, 213.233, and 
213.235 shall be prepared on the day the inspection is made and signed 
by the person making the inspection. Records must specify the track 
inspected, date of inspection, location and nature of any deviation 
from the requirements of this part, and the remedial action taken by 
the person making the inspection. The owner shall designate the 
location(s) where each original record shall be maintained for at least 
one year after the inspection covered by the record. The owner shall 
also designate one location, within 100 miles of each state in which 
they conduct operations, where copies of records which apply to those 
operations are either maintained or can be viewed following 10 days 
notice by the Federal Railroad Administration.
    (c) Rail inspection records must specify the date of inspection, 
the location and nature of any internal defects found, the remedial 
action taken and the date thereof, and the location of any intervals of 
track not tested per Sec. 213.237(d). The owner shall retain a rail 
inspection record for at least two years after the inspection and for 
one year after remedial action is taken.
    (d) Each owner required to keep inspection records under this 
section shall make those records available for inspection and copying 
by the Federal Railroad Administration.
    (e) For purposes of compliance with the requirements of this 
section, an owner of track may maintain and transfer records through 
electronic transmission, storage, and retrieval provided that--
    (1) The electronic system be designed so that the integrity of each 
record is maintained through appropriate levels of security such as 
recognition of an electronic signature, or other means, which uniquely 
identify the initiating person as the author of that record. No two 
persons shall have the same electronic identity;
    (2) The electronic storage of each record must be initiated by the 
person making the inspection within 24 hours following the completion 
of that inspection;
    (3) The electronic system must ensure that each record cannot be 
modified in any way, or replaced, once the record is transmitted and 
stored;
    (4) Any amendment to a record must be electronically stored apart 
from the record which it amends. Each amendment to a record must be 
uniquely identified as to the person making the amendment;
    (5) The electronic system must provide for the maintenance of 
inspection records as originally submitted without corruption or loss 
of data;
    (6) Paper copies of electronic records and amendments to those 
records, that may be necessary to document compliance with this part 
must be made available for inspection and copying by the Federal 
Railroad Administration at the locations specified in paragraph (b) of 
this section; and
    (7) Track inspection records shall be kept available to persons who 
performed the inspections and to persons performing subsequent 
inspections.

Subpart G--Train Operations at Track Classes 6 and Higher


Sec. 213.301  Scope of subpart.

    This part applies to all track that is required to support the 
passage of qualified flanged wheel, high speed passenger equipment 
operating between 91 miles per hour and 200 miles per hour and high 
speed freight equipment operating between 81 miles per hour to 200 
miles per hour.


Sec. 213.303  Responsibility for compliance.

    (a) Any owner of track to which this subpart applies who knows or 
has notice that the track does not comply with the requirements of this 
subpart, shall--
    (1) Bring the track into compliance; or
    (2) Halt operations over that track.
    (b) If an owner of track to which this subpart applies assigns 
responsibility for the track to another person (by lease or otherwise), 
notification of the assignment must be provided to the appropriate FRA 
Regional Office at least 30 days in advance of the assignment. The 
notification may be made by any party to that assignment, but must be 
in writing and include the following --
    (1) The name and address of the track owner;
    (2) The name and address of the person to whom responsibility is 
assigned (assignee);
    (3) A statement of the exact relationship between the track owner 
and the assignee;
    (4) A precise identification of the track;
    (5) A statement as to the competence and ability of the assignee to 
carry out the duties of the track owner under this subpart;
    (6) A statement signed by the assignee acknowledging the assignment 
to that person of responsibility for purposes of compliance with this 
subpart.
    (c) The Administrator may hold the track owner or the assignee or 
both responsible for compliance with this subpart and subject to the 
penalties under Sec. 213.313.
    (d) A common carrier by railroad which is directed by the Surface 
Transportation Board to provide service over the track of another 
railroad under 49 U.S.C. 11125 is considered the owner of that track 
for the purposes of the application of this subpart during the period 
the directed service order remains in effect.


Sec. 213.305  Designation of qualified individuals; general 
qualifications.

    Each track owner to which this subpart applies 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 who are not 
railroad employees, must meet the following minimum qualifications when 
required to:
    (a) Supervise restorations and renewals of track each individual 
designated must have--
    (1) At least;
    (i) Five years of responsible supervisory experience in railroad 
track maintenance in track class 4 or higher and the successful 
completion of 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; or
    (ii) A combination of at least one year of responsible supervisory 
experience in track maintenance in class 4 or higher and the successful 
completion of a minimum of 80 hours of specialized training in the 
maintenance of high speed track provided by the employer or by a 
college level engineering program, supplemented by special on the job 
training provided by the employer with emphasis on the maintenance of 
high speed track; or

[[Page 36176]]

    (iii) A combination of at least two years of experience in track 
maintenance in track Class 4 or higher and the successful completion of 
a minimum of 120 hours of specialized training in the maintenance of 
high speed track provided by the employer or by a college level 
engineering program supplemented by special on the job training 
provided by the employer with emphasis on the maintenance of high speed 
track.
    (2) Demonstrated to the track owner that the individual:
    (i) Knows and understands the requirements of this subpart;
    (ii) Can detect deviations from those requirements; and
    (iii) Can prescribe appropriate remedial action to correct or 
safely compensate for those deviations; and
    (3) Written authorization from the track owner to prescribe 
remedial actions to correct or safely compensate for deviations from 
the requirements of this subpart and successful completion of a 
recorded examination on this subpart as part of the qualification 
process.
    (b) Inspect track for defects. Each individual designated must 
have:
    (1) At least:
    (i) Five years of responsible experience inspecting track in Class 
4 or above and the successful completion of 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 inspection of high speed track; or
    (ii) A combination of at least one year of responsible experience 
in track inspection in class 4 or above and the successful completion 
of a minimum of 80 hours of specialized training in the inspection of 
high speed track provided by the employer or by a college level 
engineering program, supplemented by special on the job training 
provided by the employer with emphasis on the inspection of high speed 
track.
    (iii) A combination of at least two years of experience in track 
maintenance in class 4 or above and the successful completion of a 
minimum of 120 hours of specialized training in the inspection of high 
speed track provided by the employer or from a college level 
engineering program, supplemented by special on the job training 
provided by the employer with emphasis on the inspection of high speed 
track.
    (2) Demonstrated to the track owner that the individual:
    (i) Knows and understands the requirements of this subpart;
    (ii) Can detect deviations from those requirements; and
    (iii) Can prescribe appropriate remedial action to correct or 
safely compensate for those deviations; and
    (3) Written authorization from the track owner to prescribe 
remedial actions to correct or safely compensate for deviations from 
the requirements in this subpart and successful completion of a 
recorded examination on this subpart as part of the qualification 
process.
    (c) Individuals designated under paragraph (a) or (b) of this 
section that inspect continuous welded rail track (CWR) or supervise 
the installation, adjustment, and maintenance of CWR in accordance with 
the written procedures established by the track owner must have:
    (1) Current qualifications under either paragraph (a) or (b) of 
this section;
    (2) Successfully completed a training course of at least eight 
hours duration specifically developed for the application of written 
CWR procedures issued by the track owner; and
    (3) Demonstrated to the track owner that the individual:
    (i) Knows and understands the requirements of those written CWR 
procedures;
    (ii) Can detect deviations from those requirements; and
    (iii) Can prescribe appropriate remedial action to correct or 
safely compensate for those deviations; and
    (4) Written authorization from the track owner to prescribe 
remedial actions to correct or safely compensate for deviations from 
the requirements in those procedures and successful completion of a 
recorded examination on those procedures as part of the qualification 
process. The recorded examination may be written, or it may be a 
computer file with the results of an interactive training course.
    (d) With respect to designations under paragraphs (a), (b), and (c) 
of this section, each track owner must maintain written records of:
    (1) Each designation in effect;
    (2) The basis for each designation, including but not limited to:
    (i) The exact nature of any training courses attended and the dates 
thereof;
    (ii) The manner in which the track owner has determined a 
successful completion of that training course, including test scores or 
other qualifying results;
    (3) Track inspections made by each individual as required by 
Sec. 213.369. These records must be made available for inspection and 
copying by the Federal Railroad Administration during regular business 
hours.
    (e) Persons not fully qualified to supervise certain renewals and 
inspect track as outlined in paragraphs (a), (b) and (c) of this 
section, but with at least one year of maintenance of way or signal 
experience, may be qualified by the track owner to pass trains over 
broken rails and pull aparts provided that--
    (1) The person is trained, examined and re-examined periodically 
not to exceed two years, on the following topics as they relate to the 
safe passage of trains over broken rails or pull aparts--
    (i) Rail defect identification, tie condition, track surface and 
alignment, gage restraint, rail end mismatch, joint bars, and maximum 
distance between rail ends over which trains may be allowed to pass;
    (ii) The purpose of the examination will be to ascertain the 
persons ability to effectively apply these requirements and will not be 
used as a disqualifier; and
    (iii) A minimum of four hours training will be deemed adequate for 
initial training.
    (2) The person deems it safe and train speeds are limited to a 
maximum of 10 mph over the broken rail or pull apart;
    (3) The person must watch all movements over the broken rail or 
pull apart and be prepared to stop the train if necessary; and
    (4) Person(s) fully qualified under Sec. 213.305 of this subpart 
are notified and dispatched to the location as soon as practicable for 
the purpose of authorizing movements and effectuating temporary or 
permanent repairs.


Sec. 213.307  Class of track: operating speed limits.

    (a) Except as provided in paragraph (b) of this section and 
Secs. 213.329, 213.337(a) and 213.345(c), the following maximum 
allowable operating speeds apply:

------------------------------------------------------------------------
     Over track that meets all of the           The maximum allowable   
  requirements prescribed in this subpart    operating speed for trains 
                    for                                \1\ is           
------------------------------------------------------------------------
Class 6 track.............................  110 m.p.h.                  
Class 7 track.............................  125 m.p.h.                  
Class 8 track.............................  160 m.p.h                   
Class 9 track.............................  200 m.p.h.                  
------------------------------------------------------------------------
\1\ Freight may be transported at passenger train speeds if the         
  following conditions are met:                                         
(1) The vehicles utilized to carry such freight are of equal dynamic    
  performance and have been qualified in accordance with Sections       
  213.345 and 213.329(d) of this subpart.                               
(2) The load distribution and securement in the freight vehicle will not
  adversely affect the dynamic performance of the vehicle. The axle     
  loading pattern is uniform and does not exceed the passenger          
  locomotive axle loadings utilized in passenger service operating at   
  the same maximum speed.                                               

[[Page 36177]]

                                                                        
(3) No carrier may accept or transport a hazardous material, as defined 
  at 49 CFR 171.8, except as provided in Column 9A of the Hazardous     
  Materials Table (49 CFR 172.101) for movement in the same train as a  
  passenger-carrying vehicle or in Column 9B of the Table for movement  
  in a train with no passenger-carrying vehicles.                       
(b) 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 class of   
  track for which it does meet all of the requirements of this subpart. 
  If a segment does not meet all of the requirements for class 6, the   
  requirements for classes 1 through 5 apply.                           

Sec. 213.309  Restoration or renewal of track under traffic conditions.

    (a) Restoration or renewal of track under traffic conditions is 
limited to the replacement of worn, broken, or missing components or 
fastenings that do not affect the safe passage of trains.
    (b) The following activities are expressly prohibited 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 15 lineal feet of track are involved at 
any one time and the ambient air temperature is not above 95 degrees; 
and
    (3) Removal and replacement of the rail fastenings on more than one 
tie at a time within 15 feet.


Sec. 213.311  Measuring track not under load.

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


Sec. 213.317  Exemptions.

    (a) Any owner of track to which this subpart applies may petition 
the Federal Railroad Administrator for exemption from any or all 
requirements prescribed in this subpart.
    (b) Each petition for exemption under this section must be filed in 
the manner and contain the information required by Secs. 211.7 and 
211.9 of this chapter.
    (c) If the Administrator finds that an exemption is in the public 
interest and is consistent with railroad safety, the Administrator may 
grant the exemption subject to any conditions the Administrator deems 
necessary. Notice of each exemption granted is published in the Federal 
Register together with a statement of the reasons therefore.


Sec. 213.319  Drainage.

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


Sec. 213.321  Vegetation.

    Vegetation on railroad property which is on or immediately adjacent 
to roadbed must 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 and at highway-rail crossings;
    (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. 213.323  Track gage.

    (a) Gage is measured between the heads of the rails at right-angles 
to the rails in a plane five-eighths of an inch below the top of the 
rail head.
    (b) Gage must be within the limits prescribed in the following 
table:

------------------------------------------------------------------------
                                                              The change
                                                              of gage in
                                     The gage     But not      31 feet  
          Class of track            must be at   more than   must not be
                                      least                    greater  
                                                                 than   
------------------------------------------------------------------------
6................................       4' 8''  4' 9\1/4\''      \1/2\''
7................................       4' 8''  4' 9\1/4\''      \1/2\''
8................................       4' 8''  4' 9\1/4\''      \1/2\''
9................................  4' 8\1/4\''  4' 9\1/4\''      \1/2\''
------------------------------------------------------------------------

Sec. 213.327  Alignment.

    (a) Uniformity at any point along the track is established by 
averaging the measured mid-chord offset values for nine consecutive 
points centered around that point and which are spaced according to the 
following table:

------------------------------------------------------------------------
                        Chord Length                           Spacing  
------------------------------------------------------------------------
31'........................................................       7' 9''
62'........................................................      15' 6''
124'.......................................................      31' 0''
------------------------------------------------------------------------

    (b) For a single deviation, alignment may not deviate from 
uniformity more than the amount prescribed in the following table:

----------------------------------------------------------------------------------------------------------------
                                                           The deviation      The deviation      The deviation  
                                                          from uniformity    from uniformity    from uniformity 
                                                          of the mid-chord   of the mid-chord   of the mid-chord
                     Class of track                       offset for a 31-   offset for a 62-  offset for a 124-
                                                           foot chord may     foot chord may     foot chord may 
                                                          not be more than   not be more than   not be more than
                                                              (inches)           (inches)           (inches)    
----------------------------------------------------------------------------------------------------------------
6......................................................              \1/2\              \3/4\             1\1/2\
7......................................................              \1/2\              \1/2\             1\1/4\
8......................................................              \1/2\              \1/2\              \3/4\
9......................................................              \1/2\              \1/2\              \1/2\
----------------------------------------------------------------------------------------------------------------


[[Page 36178]]

    (c) For three or more non-overlapping deviations from uniformity in 
track alignment occurring within a distance equal to five times the 
specified chord length, each of which exceeds the limits in the 
following table, each owner of the track to which this subpart applies 
shall maintain the alignment of the track within the limits prescribed 
for each deviation:

----------------------------------------------------------------------------------------------------------------
                                                           The deviation      The deviation      The deviation  
                                                          from uniformity    from uniformity    from uniformity 
                                                          of the mid-chord   of the mid-chord   of the mid-chord
                     Class of track                       offset for a 31-   offset for a 62-  offset for a 124-
                                                           foot chord may     foot chord may     foot chord may 
                                                          not be more than   not be more than   not be more than
                                                              (inches)           (inches)           (inches)    
----------------------------------------------------------------------------------------------------------------
6......................................................              \3/8\              \1/2\                  1
7......................................................              \3/8\              \3/8\              \7/8\
8......................................................              \3/8\              \3/8\              \1/2\
9......................................................              \3/8\              \3/8\              \3/8\
----------------------------------------------------------------------------------------------------------------

Sec. 213.329  Curves, elevation and speed limitations.

    (a) The maximum crosslevel on the outside rail of a curve may not 
be more than 7 inches. The outside rail of a curve may not be more than 
\1/2\ inch lower than the inside rail.
    (b) The maximum allowable operating speed for each curve is 
determined by the following formula:
[GRAPHIC] [TIFF OMITTED] TP03JY97.012

where--

Vmax = Maximum allowable operating speed (miles per hour).
Ea = Actual elevation of the outside rail (inches).\1\
---------------------------------------------------------------------------

    \1\ Actual elevation for each 155 foot track segment in the body 
of the curve is determined by averaging the elevation for 10 points 
through the segment at 15.5 foot spacing. If the curve length is 
less than 155 feet, average the points through the full length of 
the body of the curve. If Eu exceeds 4 inches, the Vmax 
formula applies to the spirals on both ends of the curve.
---------------------------------------------------------------------------

D = Degree of curvature (degrees).\2\
---------------------------------------------------------------------------

    \2\ Degree of curvature is determined by averaging the degree of 
curvature over the same track segment as the elevation.
---------------------------------------------------------------------------

3 = 3 inches of unbalance.

Appendix A includes tables showing maximum allowable operating speeds 
computed in accordance with this formula for various elevations and 
degrees of curvature for track speeds greater than 90 mph.

    (c) For rolling stock meeting the requirements specified in 
paragraph (d) of this section, the maximum operating speed for each 
curve may be determined by the following formula:
[GRAPHIC] [TIFF OMITTED] TP03JY97.013

where--
Vmax = Maximum allowable operating speed (miles per hour).
Ea = Actual elevation of the outside rail (inches).\1\
D = Degree of curvature (degrees).\2\
Eu = Unbalanced elevation.

    (d) Qualified equipment may be operated at curving speeds 
determined by the formula in paragraph (c) of this section, provided 
each specific class of equipment is approved for operation by the 
Federal Railroad Administration and demonstrate that--
    (1) When positioned on a track with uniform superelevation, 
Ea, reflecting the intended target cant deficiency, 
Eu, no wheel of the equipment unloads to a value of 60 
percent or less of its static value on perfectly level track and the 
roll angle between the floor of the vehicle and the horizontal does not 
exceed 5.7 degrees.
    (2) When positioned on a track with a uniform 7-inch 
superelevation, no wheel unloads to a value less than 60 percent of its 
static value on perfectly level track and the angle, measured about the 
roll axis, between the floor of the vehicle and the horizontal does not 
exceed 8.6 degrees.
    (e) The track owner must notify the Federal Railroad Administrator 
no less than thirty calendar days prior to any proposed implementation 
of the higher curving speeds allowed when the ``Eu'' term, 
above, will exceed three inches. This notification must be in writing 
and shall contain, at a minimum, the following information:
    (1) A complete description of the class of equipment involved, 
including schematic diagrams of the suspension system and the location 
of the center of gravity above top of rail;
    (2) A complete description of the test procedure \1\ and 
instrumentation used to qualify the equipment and the maximum values 
for wheel unloading and roll angles which were observed during testing;
---------------------------------------------------------------------------

    \1\ The test procedure may be conducted in a test facility 
whereby all wheels on one side (right or left) of the equipment are 
raised or lowered by six and then seven inches, 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.
---------------------------------------------------------------------------

    (3) Procedures or standards in effect which relate to the 
maintenance of the suspension system for the particular class of 
equipment;
    (4) Identification of line segment on which the higher curving 
speeds are proposed to be implemented.
    (f) In the case of a track owner, or an operator of a passenger or 
commuter service, who provides passenger or commuter service over 
trackage of more than one track owner with the same class of equipment, 
that person may provide written notification to the Federal Railroad 
Administrator with the written consent of the other affected track 
owners.\2\
---------------------------------------------------------------------------

    \2\ Vehicles presently operating at curving speeds allowed under 
the formula in paragraph (c) of this section, by reason of 
conditional waivers granted by the Federal Railroad Administration, 
shall be considered to have successfully complied with the 
requirements of this section.
---------------------------------------------------------------------------


Sec. 213.331  Track surface.

    (a) For a single deviation in track surface, each owner of the 
track to which this subpart applies shall maintain the surface of its 
track within the limits prescribed in the following table:

[[Page 36179]]



----------------------------------------------------------------------------------------------------------------
                                                                                Class of track                  
                        Track surface                        ---------------------------------------------------
                                                               6 (inches)   7 (inches)   8 (inches)   9 (inches)
----------------------------------------------------------------------------------------------------------------
The deviation from uniform \1\ profile on either rail at the                                                    
 midordinate of a 31-foot chord may not be more than........       1\1/4\       1\1/4\        \3/4\        \1/2\
The deviation from uniform profile on either rail at the                                                        
 midordinate of a 62-foot chord may not be more than........       1\1/4\       1\1/4\       1\1/4\            1
The deviation from uniform profile on either rail at the                                                        
 midordinate of a 124-foot chord may not be more than.......       1\3/4\       1\1/2\       1\1/4\       1\1/4\
The difference in crosslevel between any two points less                                                        
 than 62 feet apart may not be more than....................       1\1/2\       1\1/2\       1\1/2\       1\1/2\
----------------------------------------------------------------------------------------------------------------
\1\ Uniformity for profile is established by placing the midpoint of the specified chord at the point of maximum
  measurement.                                                                                                  

    (b) For three or more non-overlapping deviations in track surface 
occurring within a distance equal to five times the specified chord 
length, each of which exceeds the limits in the following table, each 
owner of the track to which this subpart applies shall maintain the 
surface of the track within the limits prescribed for each deviation:

----------------------------------------------------------------------------------------------------------------
                                                                          Class of track                        
                        Track surface                        ---------------------------------------  9 (inches)
                                                               6 (inches)   7 (inches)   8 (inches)             
----------------------------------------------------------------------------------------------------------------
The deviation from uniform profile on either rail at the                                                        
 midordinate of a 31-foot chord may not be more than........        \7/8\        \7/8\        \1/2\        \3/8\
The deviation from uniform profile on either rail at the                                                        
 midordinate of a 62-foot chord may not be more than........        \7/8\        \7/8\        \7/8\        \3/4\
The deviation from uniform profile on either rail at the                                                        
 midordinate of a 124-foot chord may not be more than.......       1\1/4\            1        \7/8\        \7/8\
----------------------------------------------------------------------------------------------------------------

Sec. 213.333  Automated vehicle inspection systems.

    (a) For track class 7, a qualifying Track Geometry Measurement 
System (TGMS) vehicle shall be operated at least twice within 120 
calendar days with not less than 30 days between inspections. For track 
classes 8 and 9, it shall be operated at least twice within 60 days 
with not less than 15 days between inspections.
    (b) A qualifying TGMS must meet or exceed minimum design 
requirements which specify that--
    (1) Track geometry measurements shall be taken no more than 3 feet 
away from the contact point of wheels carrying a vertical load of no 
less than 10,000 pounds per wheel;
    (2) Track geometry measurements shall be taken and recorded on a 
distance-based sampling interval which shall not exceed 2 feet; and
    (3) Calibration procedures and parameters are assigned to the 
system which assure 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 \1/8\ inch.
    (c) A qualifying TGMS must be capable of measuring and processing 
the necessary track geometry parameters, at an interval of no more than 
every 2 feet, which enables the system to determine compliance with 
Sec. 213.323, Track gage; Sec. 213.327, Alignment; Sec. 213.329, 
Curves; elevation and speed limitations; and Sec. 213.331, Track 
surface.
    (d) A qualifying TGMS must 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 parameters required in paragraph (c) of this 
section;
    (2) Provide an exception report containing a systematic listing of 
all track geometry conditions which constitute an exception to the 
class of track over the segment surveyed.
    (e) The output reports required under paragraph (c) of this section 
must contain sufficient location identification information which 
enable field forces to easily locate indicated exceptions.
    (f) Following a track inspection performed by a qualifying TGMS, 
the track owner must, within two days after the inspection, field 
verify and institute remedial action for all exceptions to the class of 
track.
    (g) The track owner shall maintain for a period of one year 
following an inspection performed by a qualifying TGMS, copy of the 
plot and the exception printout 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.
    (h) For track classes 8 and 9, a qualifying Gage Restraint 
Measurement System (GRMS) shall be operated at least once annually with 
at least 180 days between inspections to continuously compare loaded 
track gage to unloaded gage under a known loading condition. The 
lateral capacity of the track structure must not permit a gage widening 
ratio (GWR) greater than 0.5 inches.
    (i) A GRMS must meet or exceed minimum design requirements which 
specify that--
    (1) Gage restraint shall be measured between the heads of the 
rail--
    (i) At an interval less than or equal to the distance between the 
gage restraint supports.
    (ii) Under an applied vertical load of at least 10,000 pounds per 
rail,
    (iii) Under an applied lateral load which provides for lateral/
vertical load ratio of between 0.5 and 1.25 \1\, and the net lateral 
load, or load severity, is greater than 3000 pounds but less than 8000 
pounds per rail. Load severity is defined by the formula--

    \1\ GRMS equipment using load combinations developing L/V ratios 
which exceed 0.8 must be operated with caution to protect against 
the risk of wheel climb by the test wheelset.
---------------------------------------------------------------------------

S = L -cV
where

S = Load severity, defined as the net lateral load applied to the 
fastener system (pounds).
L = Actual lateral load applied (pounds).
c = Coefficient of friction between rail/tie which is assigned a 
nominal value of (0.4).

[[Page 36180]]

V = Actual vertical load applied (pounds).

    (2) The measured gage values shall be converted to a projected 
loaded gage 24 (PLG24) as follows:

PLG24 = UTG + A * (LTG-UTG), where--

UTG= Unloaded track gage measured at a point at least 10 feet from any 
lateral load application
LTG= Loaded track gage measured at the point of application of the 
lateral load
A = The extrapolation factor used to convert the measured loaded gage 
to expected loaded gage under a 24,000 pound lateral load and a 33,000 
pound vertical load. for all track--
[GRAPHIC] [TIFF OMITTED] TP03JY97.014

where

L = Actual lateral load applied (pounds).
V = Actual vertical load applied (pounds).

    (3) The measured gage value shall be converted to a gage widening 
ratio (GWR) as follows:
[GRAPHIC] [TIFF OMITTED] TP03JY97.015

    (j) A minimum of two vehicles per train operating in classes 8 and 
9 shall be equipped with on-board truck side and carbody 
accelerometers. Each track owner shall have in effect written 
procedures for the notification of track forces when on-board 
accelerometers on trains in classes 8 and 9 indicate a possible track-
related condition.
    (k) For track classes 7 , 8 and 9, an instrumented car having 
dynamic response characteristics that are representative of other 
equipment assigned to service or a portable device that monitors on-
board instrumentation on trains shall be operated over the track at the 
revenue speed profile at a frequency of at least twice within 60 days 
with not less than 15 days between inspections. The instrumented car or 
the portable device shall provide for the monitoring of vertically and 
laterally oriented accelerometers near the end of the vehicle at the 
floor level. In addition, accelerometers shall be mounted at a position 
directly above the axle of each truck. If the carbody lateral, carbody 
vertical, truck frame lateral, or truck frame vertical safety limits 
are exceeded, speeds will be reduced until these vehicle/performance 
safety limits are not exceeded.
    (l) For track classes 8 and 9, an instrumented car having dynamic 
response characteristics that are representative of other equipment 
assigned to service shall be operated over the track at the revenue 
speed profile annually with not less than 180 days between inspections. 
The instrumented car shall be equipped with instrumented wheelsets to 
measure wheel/rail forces. If the wheel/rail force limits are exceeded, 
speeds will be reduced until these vehicle/performance safety limits 
are not exceeded.
    (m) The track owner shall maintain a copy of the most recent 
exception printouts for the inspections required under paragraphs (k) 
and (l) of this section.

                                  Vehicle/Track Interaction Performance Limits                                  
----------------------------------------------------------------------------------------------------------------
             Parameter                    Safety Limit            Filter/Window              Requirements       
----------------------------------------------------------------------------------------------------------------
Wheel/Rail Forces \1\:                                                                                          
    Minimum Vertical Wheel Load....  10 % of Static........  5 ft..................  No wheel of the equipment  
                                                                                      shall be permitted to     
                                                                                      unload to less than 10% of
                                                                                      the static vertical wheel 
                                                                                      load. The static vertical 
                                                                                      wheel load is defined as  
                                                                                      the load that the wheel   
                                                                                      would carry when          
                                                                                      stationary on level track.
                                                                                      The vertical wheel load   
                                                                                      limit shall be increased  
                                                                                      by the amount of          
                                                                                      measurement error.        
    Wheel L/V Ratio................  tan--.5 1+.5tan.                                             exerts on an individual   
                                                                                      rail to the vertical force
                                                                                      exerted by the same wheel 
                                                                                      on the rail shall be less 
                                                                                      than the safety limit     
                                                                                      calculated for the wheel's
                                                                                      flange angle (). 
    Net Axle Lateral...............  50 % of static          5 ft..................  The net lateral force      
                                      vertical axle load.                             exerted by any axle on the
                                                                                      track shall not exceed 50%
                                                                                      of the static vertical    
                                                                                      load that the axle exerts 
                                                                                      on the track.             
    Truck Side L/V Ratio...........  0.6...................  5 ft..................  The ratio of the lateral   
                                                                                      forces that the wheels on 
                                                                                      one side of any truck     
                                                                                      exert on an individual    
                                                                                      rail to the vertical      
                                                                                      forces exerted by the same
                                                                                      wheels on that rail shall 
                                                                                      be less than 0.6.         
Accelerations:                                                                                                  
    Carbody Lateral \2\............  0.5 g peak-to-peak....  10 Hz 1 sec window....  The peak to peak           
                                                                                      accelerations (measured as
                                                                                      the algebraic difference  
                                                                                      between the two extreme   
                                                                                      values of measured        
                                                                                      acceleration in a one-    
                                                                                      second time period) shall 
                                                                                      not exceed 0.5g.          
    Carbody Vertical...............  0.6 g peak-to-peak....  10 Hz 1 sec window....  The peak to peak           
                                                                                      accelerations (measured as
                                                                                      the algebraic difference  
                                                                                      between the two extreme   
                                                                                      values of measured        
                                                                                      acceleration in a one-    
                                                                                      second time period) shall 
                                                                                      not exceed 0.6g.          
    Truck Frame Lateral \3\........  0.4 g RMS for 2 sec...  10 Hz.................  Truck hunting \4\ shall not
                                                                                      develop below the maximum 
                                                                                      authorized speed.         

[[Page 36181]]

                                                                                                                
    Truck Frame Vertical...........  5.0 g zero-to-peak....  10 Hz.................  Truck frame vertical       
                                                                                      accelerations shall not   
                                                                                      exceed 5.0 g              
----------------------------------------------------------------------------------------------------------------
\1\ The lateral and vertical wheel forces shall be measured with instrumented wheelsets with the measurements   
  processed through a filter having a pass band of 0 to 10 Hz.                                                  
\2\ Carbody lateral and vertical accelerations shall be measured near the car ends at the floor level.          
\3\ Truck accelerations in the lateral direction shall be measured at a position directly above the axle. The   
  measurements shall be processed through a filter having a pass band of 0.5 to 10 Hz.                          
\4\ Truck hunting is defined as a sustained cyclic oscillation of the truck which is evidenced by lateral       
  accelerations in excess of 0.4g root mean square for 2 seconds.                                               

Sec. 213.335  Crossties.

    (a) Crossties shall be made of a material to which rail can be 
securely fastened.
    (b) Each 39 foot segment of track shall have--
    (1) A sufficient number of crossties which in combination provide 
effective support that will--
    (i) Hold gage within the limits prescribed in Sec. 213.323(b);
    (ii) Maintain surface within the limits prescribed in Sec. 213.331; 
and
    (iii) Maintain alignment within the limits prescribed in 
Sec. 213.327.
    (2) The minimum number and type of crossties specified in paragraph 
(c) of this section effectively distributed to support the entire 
segment; and
    (3) Crossties of the type specified in paragraph (c) of this 
section that are (is) located at a joint location as specified in 
paragraph (e) of this section.
    (c) For non-concrete tie construction, each 39 foot segment of 
class 6 track shall have fourteen crossties; classes 7, 8 and 9 shall 
have 18 crossties which are not--
    (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) So deteriorated that the tie plate or base of rail can move 
laterally \3/8\ inch relative to the crossties;
    (4) Cut by the tie plate through more than 40 percent of a tie's 
thickness;
    (5) Configured with less than 2 rail holding spikes or fasteners 
per tie plate; or
    (6) Able, due to insufficient fastener toeload, to maintain 
longitudinal restraint and maintain rail hold down and gage.
    (d) For concrete-tie construction, each 39 foot segment of class 6 
track shall have fourteen crossties, classes 7, 8 and 9 shall have 16 
crossties which are not--
    (1) So deteriorated that the prestress strands are ineffective or 
withdrawn into the tie at one end and the tie exhibits structural 
cracks in the rail seat or in the gage of track;
    (2) Configured with less than 2 fasteners on the same rail;
    (3) So deteriorated in the vicinity of the rail fastener such that 
the fastener assembly may pull out or move laterally more than \3/8\ 
inch relative to the crosstie;
    (4) So deteriorated that the fastener base plate or base of rail 
can move laterally more than \3/8\ inch relative to the crossties;
    (5) So deteriorated that rail seat abrasion is sufficiently deep so 
as to cause loss of rail fastener toeload;
    (6) Completely broken through; or
    (7) Able, due to insufficient fastener toeload, to maintain 
longitudinal restraint and maintain rail hold down and gage.
    (e) Class 6 track shall have one non-defective crosstie whose 
centerline is within 18 inches of the rail joint location or two 
crossties whose center lines are within 25 inches either side of the 
rail joint location. Class 7, 8, and 9 track shall have two non-
defective ties within 25 inches each side of the rail joint.
    (f) For track constructed without crossties, such as slab track and 
track connected directly to bridge structural components, the track 
structure must meet the requirements of paragraphs (b)(1) (i), (ii), 
and (iii) of this section.
    (g) In classes 7, 8 and 9 there shall be at least three non-
defective ties each side of a defective tie.
    (h) Where timber crossties are in use there must be tie plates 
under the running rails on at least nine of 10 consecutive ties.
    (i) No metal object which causes a concentrated load by solely 
supporting a rail shall be allowed between the base of the rail and the 
bearing surface of the tie plate.


Sec. 213.337  Defective rails.

    (a) When an owner of track to which this part applies learns, 
through inspection or otherwise, that a rail in that track contains any 
of the defects listed in the following table, a person designated under 
Sec. 213.305 shall determine whether or not the track may continue in 
use. If the person 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 prescribed in the table is initiated--

                                                 REMEDIAL ACTION                                                
----------------------------------------------------------------------------------------------------------------
                                      Length of defect (inch)          Percent of rail head                     
                               -------------------------------------   cross-sectional area    If defective rail
                                                                        weakened by defect      is not replaced,
            Defect                                        But not   -------------------------- take the remedial
                                       More than         more than                  But not    action prescribed
                                                                      Less than    less than        in note     
----------------------------------------------------------------------------------------------------------------
Transverse fissure............  ......................  ...........           70            5  B.               
                                ......................  ...........          100           70  A2.              
                                ......................  ...........  ...........          100  A.               
Compound fissure..............  ......................  ...........           70            5  B.               
                                ......................  ...........          100           70  A2.              
                                ......................  ...........  ...........          100  A.               
Detail fracture...............  ......................  ...........           25            5  C.               
Engine burn fracture..........  ......................  ...........           80           25  D.               

[[Page 36182]]

                                                                                                                
Defective weld................  ......................  ...........          100           80  A2 and E and H.  
                                ......................  ...........  ...........          100  A or E and H.    
Horizontal split head.........  1.....................            2  ...........  ...........  H and F.         
Vertical split head...........  2.....................            4  ...........  ...........  I and G.         
Split web.....................  4.....................  ...........  ...........  ...........  B.               
Piped rail....................  (\1\).................        (\1\)        (\1\)  ...........  A.               
Head web separation...........  ......................  ...........  ...........  ...........  .................
Bolt hole crack...............  \1/2\.................            1  ...........  ...........  H and F.         
                                1.....................       1\1/2\  ...........  ...........  H and G.         
                                1\1/2\................  ...........  ...........  ...........  B.               
                                (\1\).................        (\1\)        (\1\)  ...........  A.               
Broken base...................  1.....................            6  ...........  ...........  D.               
                                6.....................  ...........  ...........  ...........  A or E and I.    
Ordinary break................  ......................  ...........  ...........  ...........  A or E.          
Damaged rail..................  ......................  ...........  ...........  ...........  D.               
Flattened rail................  Depth \3/8\  ...........  ...........  ...........  H.               
                                 and.                                                                           
                                Length  8..                                                          
----------------------------------------------------------------------------------------------------------------
(\1\) Break out in rail head.                                                                                   

Notes: 

    A. Assign person designated under Sec. 213.305 to visually 
supervise each operation over defective rail.
    A2. Assign person designated under Sec. 213.305 to make visual 
inspection. That person may authorize operation to continue without 
visual supervision at a maximum of 10 mph for up to 24 hours prior 
to another such visual inspection or replacement or repair of the 
rail.
    B. Limit operating speed over defective rail to that as 
authorized by a person designated under Sec. 213.305(a)(1)(i) or 
(ii). The operating speed cannot be over 30 mph.
    C. Apply joint bars bolted only through the outermost holes to 
defect within 20 days after it is determined to continue the track 
in use. Limit operating speed over defective rail to 30 mph until 
angle bars are applied; thereafter, limit speed to 50 mph. When a 
search for internal rail defects is conducted under Sec. 213.339 and 
defects are discovered which require remedial action C, the 
operating speed shall be limited to 50 mph, for a period not to 
exceed 4 days. If the defective rail has not been removed from the 
track or a permanent repair made within 4 days of the discovery, 
limit operating speed over the defective rail to 30 mph until joint 
bars are applied; thereafter, limit speed to 50 mph.
    D. Apply joint bars bolted only through the outermost holes to 
defect within 10 days after it is determined to continue the track 
in use. Limit operating speed over the defective rail to 30 mph or 
less as authorized by a person designated under 
Sec. 213.305(a)(1)(i) or (ii) until angle bars are applied; 
thereafter, limit speed to 50 mph.
    E. Apply joint bars to defect and bolt in accordance with 
Sec. 213.351(d) and (e).
    F. Inspect rail 90 days after it is determined to continue the 
track in use.
    G. Inspect rail 30 days after it is determined to continue the 
track in use.
    H. Limit operating speed over defective rail to 50 mph.
    I. Limit operating speed over defective rail to 30 mph.

    (b) As used in this section--

    (1) Transverse Fissure means a progressive crosswise fracture 
starting from a crystalline center or nucleus inside the head from 
which it spreads outward as a smooth, bright, or dark, round or oval 
surface substantially at a right angle to the length of the rail. The 
distinguishing features of a transverse fissure from other types of 
fractures or defects are the crystalline center or nucleus and the 
nearly smooth surface of the development which surrounds it.
    (2) Compound Fissure means a progressive fracture originating in a 
horizontal split head which turns up or down in the head of the rail as 
a smooth, bright, or dark surface progressing until substantially at a 
right angle to the length of the rail. Compound fissures require 
examination of both faces of the fracture to locate the horizontal 
split head from which they originate.
    (3) Horizontal Split Head means a horizontal progressive defect 
originating inside of the rail head, usually one-quarter inch or more 
below the running surface and progressing horizontally in all 
directions, and generally accompanied by a flat spot on the running 
surface. The defect appears as a crack lengthwise of the rail when it 
reaches the side of the rail head.
    (4) Vertical Split Head means a vertical split through or near the 
middle of the head, and extending into or through it. A crack or rust 
streak may show under the head close to the web or pieces may be split 
off the side of the head.
    (5) Split Web means a lengthwise crack along the side of the web 
and extending into or through it.
    (6) Piped Rail means a vertical split in a rail, usually in the 
web, due to failure of the shrinkage cavity in the ingot to unite in 
rolling.
    (7) Broken Base means any break in the base of the rail.
    (8) Detail Fracture means a progressive fracture originating at or 
near the surface of the rail head. These fractures should not be 
confused with transverse fissures, compound fissures, or other defects 
which have internal origins. Detail fractures may arise from shelly 
spots, head checks, or flaking.
    (9) Engine Burn Fracture means a progressive fracture originating 
in spots where driving wheels have slipped on top of the rail head. In 
developing downward they frequently resemble the compound or even 
transverse fissures with which they should not be confused or 
classified.
    (10) Ordinary Break means a partial or complete break in which 
there is no sign of a fissure, and in which none of the other defects 
described in this paragraph (b) are found.
    (11) Damaged Rail means any rail broken or injured by wrecks, 
broken, flat, or unbalanced wheels, slipping, or similar causes.
    (12) Flattened Rail means a short length of rail, not a joint, 
which has flattened out across the width of the rail head to a depth of 
\3/8\ inch or more below the rest of the rail. Flattened rail 
occurrences have no repetitive

[[Page 36183]]

regularity and thus do not include corrugations, and have no apparent 
localized cause such as a weld or engine burn. Their individual length 
is relatively short, as compared to a condition such as head flow on 
the low rail of curves.


Sec. 213.339  Inspection of rail in service.

    (a) A continuous search for internal defects must be made of all 
rail in track at least twice annually with not less than 120 days 
between inspections.
    (b) Inspection equipment must be capable of detecting defects 
between joint bars, in the area enclosed by joint bars.
    (c) Each defective rail must be marked with a highly visible 
marking on both sides of the web and base.
    (d) 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 Sec. 213.337(a).
    (e) If a valid search for internal defects cannot be conducted for 
reasons described in paragraph (d) of this section, the track owner 
shall, before the expiration of time limits--
    (1) Conduct a valid search for internal defects;
    (2) Reduce operating speed to a maximum of 25 miles per hour until 
such time as a valid search for internal defects can be made; or
    (3) Remove the rail from service.


Sec. 213.341  Initial inspection of new rail and welds.

    The track owner shall provide for the initial inspection of newly 
manufactured rail, and for initial inspection of new welds made in 
either new or used rail. A track owner may demonstrate compliance with 
this section by providing for:
    (a) In-service inspection--A scheduled periodic inspection of rail 
and welds that have been placed in service, if conducted in accordance 
with the provisions of Sec. 213.339, and if conducted not later than 90 
days after installation, shall constitute compliance with paragraphs 
(b) and (c) of this section;
    (b) 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 specified in Sec. 213.339. 
The track owner 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. 213.339;
    (c) Welding plant inspection--A continuous inspection at a welding 
plant, if conducted in accordance with the provisions of paragraph (b) 
of this section, and accompanied by a plant operator's report of 
inspection which is retained as a record by the track owner, 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
    (d) 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 not less than one day and not more 
than 30 days after the welds have been made. The initial inspection may 
be conducted by means of portable test equipment. The track owner shall 
retain a record of such inspections until the welds receive their first 
scheduled inspection under Sec. 213.339.
    (e) Each defective rail found during inspections conducted under 
paragraph (a) or (d) of this section must be marked with highly visible 
markings on both sides of the web and base and the remedial action as 
appropriate under Sec. 213.337 will apply.


Sec. 213.343  Continuous welded rail (CWR).

    Each track owner with track constructed of CWR shall have in effect 
written procedures which address the installation, adjustment, 
maintenance and inspection of CWR, and a training program for the 
application of those procedures, which shall be submitted to the 
Federal Railroad Administration within six months following [the 
effective date of the final rule]. FRA shall review each plan for 
compliance with the following--
    (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; and
    (2) Destressing procedures/methods which address proper attainment 
of the desired rail installation temperature range when adjusting CWR.
    (b) Rail anchoring or fastening requirements that will provide 
sufficient restraint to limit longitudinal rail and crosstie movement 
to the extent practical, and specifically addressing 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 train-induced forces, is restricted.
    (c) 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. Rail repair 
practices must take into consideration existing rail temperature so 
that--
    (1) When rail is removed, the length installed shall be determined 
by taking into consideration the existing rail temperature and the 
desired rail installation temperature range; and
    (2) Under no circumstances should rail be added when the rail 
temperature is below that designated by paragraph (a)(1) of this 
section, without provisions for later adjustment.
    (d) Procedures which address the monitoring of CWR in curved track 
for inward shifts of alignment toward the center of the curve as a 
result of disturbed track.
    (e) Procedures which control train 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 and/or longitudinal resistance of the track; 
and
    (2) In formulating the procedures under this paragraph (e), the 
track owner must--
    (i) Determine the speed required, and the duration and subsequent 
removal of any speed restriction based on the restoration of the 
ballast, along with sufficient ballast re-consolidation to stabilize 
the track to a level that can accommodate expected train-induced 
forces. Ballast re-consolidation can be achieved through either the 
passage of train tonnage or mechanical stabilization procedures, or 
both; and
    (ii) Take into consideration the type of crossties used.
    (f) Procedures which prescribe when physical track inspections are 
to be performed to detect buckling prone conditions in CWR track. At a 
minimum, these procedures shall address inspecting track to identify--
    (1) Locations where tight or kinky rail conditions are likely to 
occur;
    (2) Locations where track work of the nature described in paragraph 
(e)(1) of this section have recently been performed; and
    (3) In formulating the procedures under this paragraph (f), the 
track owner shall--
    (i) Specify the timing of the inspection; and
    (ii) Specify the appropriate remedial actions to be taken when 
buckling prone conditions are found.

[[Page 36184]]

    (g) The track owner shall have in effect a comprehensive training 
program for the application of these written CWR procedures, with 
provisions for periodic re-training, for those individuals designated 
under Sec. 213.305(c) of this part as qualified to supervise the 
installation, adjustment, and maintenance of CWR track and to perform 
inspections of CWR track.
    (h) The track owner shall prescribe recordkeeping requirements 
necessary to provide an adequate history of track constructed with CWR. 
At a minimum, these records must include:
    (1) Rail temperature, location and date of CWR installations. This 
record shall be retained for at least one year; and
    (2) A record of any CWR installation or maintenance work that does 
not conform with 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.
    (i) As used in this section --
    (1) Adjusting/Destressing means the procedure by which a rail's 
temperature is re-adjusted 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.
    (2) Buckling Incident means the formation of a lateral mis-
alignment sufficient in magnitude to constitute a deviation of 5 inches 
measured with a 62-foot chord. These normally occur when rail 
temperatures are relatively high and are caused by high longitudinal 
compressive forces.
    (3) Continuous Welded Rail (CWR) means rail that has been welded 
together into lengths exceeding 400 feet.
    (4) Desired Rail Installation Temperature Range means the rail 
temperature range, within a specific geographical area, at which forces 
in CWR should not cause a track buckle in extreme heat, or a pull-apart 
during extreme cold weather.
    (5) 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 and/or longitudinal resistance of the track.
    (6) Mechanical Stabilization means a type of procedure used to 
restore track resistance to disturbed track following certain 
maintenance operations. This procedure may incorporate dynamic track 
stabilizers or ballast consolidators, which are units of work equipment 
that are used as a substitute for the stabilization action provided by 
the passage of tonnage trains.
    (7) Rail Anchors means those devices which are attached to the rail 
and bear against the side of the crosstie to control longitudinal rail 
movement. Certain types of rail fasteners also act as rail anchors and 
control longitudinal rail movement by exerting a downward clamping 
force on the upper surface of the rail base.
    (8) Rail Temperature means the temperature of the rail, measured 
with a rail thermometer.
    (9) Tight/Kinky Rail means CWR which exhibits minute alignment 
irregularities which indicate that the rail is in a considerable amount 
of compression.
    (10) 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.
    (11) Track Lateral Resistance means the resistance provided to the 
rail/crosstie structure against lateral displacement.
    (12) 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.


Sec. 213.345  Vehicle qualification testing.

    (a) All rolling stock types must be qualified for operation for 
their intended track classes in order to demonstrate that the vehicle 
dynamic response to track alignment and geometry variations are within 
acceptable limits to assure safe operation. Rolling stock operating in 
class 6 within one year prior to the promulgation of this subpart shall 
be considered as being successfully qualified for class 6 track and 
vehicles presently operating at class 7 speeds by reason of conditional 
waivers shall be considered as qualified for class 7.
    (b) The qualification testing will insure that the equipment will 
not exceed the vehicle/track performance safety limits specified in 
Sec. 213.333 at any speed less than 10 mph above the proposed maximum 
operating speed.
    (c) To obtain the test data necessary to support the analysis 
required in paragraphs (a) and (b) of this section, the track owner 
shall have a test plan which shall consider the operating practices and 
conditions, signal system, road crossings and trains on adjacent tracks 
during testing. The track owner shall establish a target maximum 
testing speed (at least 10 mph above the maximum proposed operating 
speed) and target test and operating conditions and conduct a test 
program sufficient to evaluate the operating limits of the track and 
equipment. The test program shall demonstrate vehicle dynamic response 
as speeds are incrementally increased from acceptable class 6 limits to 
the target maximum test speeds. The test shall be suspended at that 
speed where any of the vehicle/track performance limits in Sec. 213.333 
are exceeded.
    (d) At the end of the test, when maximum safe operating speed is 
known along with permissible levels of cant deficiency, an additional 
run will be made with the subject equipment over the entire route 
proposed for revenue service at the speeds the railroad will request 
FRA to approve for such service and a second run again at 10 mph above 
this speed. A report of the test procedures and results shall be 
submitted to FRA upon the completions of the tests. The test report 
shall include the design flange angle of the equipment which shall be 
used for the determination of the lateral to vertical wheel load safety 
limit for the track/vehicle performance measurements required per 
Sec. 213.333(k).
    (e) As part of the submittal required in paragraph (d) of the 
section, the operator will include an analysis and description of the 
signal system and operating practices to govern operations in classes 
7, 8 and 9. This statement will include a statement of sufficiency in 
these areas for the class of operation.
    (f) Based on test results and submissions, FRA will approve a 
maximum train speed and value of cant deficiency for revenue service.


Sec. 213.347  Automotive or railroad crossings at grade.

    (a) No at-grade (level) crossings, public or private, or rigid 
railroad crossings at-grade may coexist with class 8 and 9 track.
    (b) If train operation is projected at class 7 speed for a track 
segment that will include rail-highway grade crossings, the track owner 
shall submit for FRA's approval a complete description of the proposed 
warning/barrier system to address the protection of highway traffic and 
high speed trains.


Sec. 213.349  Rail end mismatch.

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

[[Page 36185]]



------------------------------------------------------------------------
                                                         Any mismatch of
                                                         rails at joints
                                                         may not be more
                                                            than the    
                                                            following   
                                                       -----------------
                    Class of track                                On the
                                                         On the    gage 
                                                         tread   side of
                                                         of the    the  
                                                          rail     rail 
                                                          ends     ends 
                                                         (inch)   (inch)
------------------------------------------------------------------------
Class 6, 7, 8 and 9...................................    \1/8\    \1/8\
------------------------------------------------------------------------

Sec. 213.351  Rail joints.

    (a) Each rail joint, insulated joint, and compromise joint must be 
of a structurally sound design and dimensions for the rail on which it 
is applied.
    (b) If a joint bar is cracked, broken, or because of wear allows 
excessive vertical movement of either rail when all bolts are tight, it 
must be replaced.
    (c) If a joint bar is cracked or broken between the middle two bolt 
holes it must be replaced.
    (d) Each rail must be bolted with at least two bolts at each joint.
    (e) Each joint bar must be held in position by track bolts 
tightened to allow the joint bar to firmly support the abutting rail 
ends and to allow longitudinal movement of the rail in the joint to 
accommodate expansion and contraction due to temperature variations. 
When no-slip, joint-to-rail contact exists by design, the requirements 
of this section do not apply. Those locations, when over 400 feet long, 
are considered to be continuous welded rail track and must meet all the 
requirements for continuous welded rail track prescribed in this 
subpart.
    (f) No rail shall have a bolt hole which is torch cut or burned.
    (g) No joint bar shall be reconfigured by torch cutting.


Sec. 213.352  Torch cut rail

    (a) Except as a temporary repair in emergency situations no rail 
having a torch cut end shall be used. When a rail end is torch cut in 
emergency situations, speed over that rail must not exceed the maximum 
allowable for Class 2 track. For existing torch cut rail ends the 
following shall apply--
    (1) Within six months of [the effective date of the final rule], 
all torch cut rail ends in Class 6 track must be removed.
    (2) For class 7, 8, and 9 track, speeds shall be reduced to class 6 
until the torch cut rail is replaced.
    (b) Following the expiration of the time limits specified in 
paragraph a of this section, any torch cut rail end not removed must be 
removed within 30 days of discovery. Speed over that rail must not 
exceed the maximum allowable for Class 2 track until removed.


Sec. 213.353  Turnouts and crossovers, generally.

    (a) In turnouts and track crossings, the fastenings must be intact 
and maintained so as to keep the components securely in place. Also, 
each switch, frog, and guard rail must be kept free of obstructions 
that may interfere with the passage of wheels. Use of rigid rail 
crossings at grade is limited per Sec. 213.347.
    (b) Track must be equipped with rail anchoring through and on each 
side of track crossings and turnouts, to restrain rail movement 
affecting the position of switch points and frogs. Elastic fasteners 
designed to restrict longitudinal rail movement are considered rail 
anchoring.
    (c) Each flangeway at turnouts and track crossings must be at least 
1\1/2\ inches wide.
    (d) For all turnouts and crossovers, the track owner shall prepare 
an inspection and maintenance Guidebook for use by railroad employees 
which shall be submitted to the Federal Railroad Administration. The 
Guidebook shall contain at a minimum--
    (1) Inspection frequency and methodology including limiting 
measurement values for all components subject to wear or requiring 
adjustment.
    (2) Maintenance techniques.
    (e) Each hand operated switch must be equipped with a redundant 
operating mechanism for maintaining the security of switch point 
position.


Sec. 213.355  Frog guard rails and guard faces; gage.

    The guard check and guard face gages in frogs must be within the 
limits prescribed in the following table --

------------------------------------------------------------------------
                                                      Guard      Guard  
                                                      check       face  
                                                     gage,\3\   gage,\4\
                  Class of track                     may not    may not 
                                                     be less    be more 
                                                       than       than  
------------------------------------------------------------------------
Class 6 track.....................................    4' 6\1/           
                                                         2\''     4' 5''
Class 7 track.....................................    4' 6\1/           
                                                         2\''     4' 5''
Class 8 track.....................................    4' 6\1/           
                                                         2\''     4' 5''
Class 9 track.....................................    4' 6\1/           
                                                         2\''    4' 5'' 
------------------------------------------------------------------------
\1\ A line along that side of the flangeway which is nearer to the      
  center of the track and at the same elevation as the gage line.       
\2\ A line \5/8\ inch below the top of the center line of the head of   
  the running rail, or corresponding location of the tread portion of   
  the track structure.                                                  
\3\ The distance between the gage line of a frog to the guard line \1\  
  of its guard rail or guarding face, measured across the track at right
  angles to the gage line.                                              
\4\ The distance between guard lines \1\, measured across the track at  
  right angles to the gage line.                                        

Sec. 213.357  Derails.

    (a) All industrial or other sidetracks connecting with classes 7, 8 
and 9 main tracks shall be equipped with functioning derails of the 
correct size and type unless railroad equipment on the track, because 
of grade characteristics cannot move to foul the main track.
    (b) Each derail must be clearly visible. When in a locked position 
a derail must be free of any lost motion which would prevent it from 
performing its intended function.
    (c) Each derail must be maintained to function as intended.
    (d) Each derail must be properly installed for the rail to which it 
is applied.
    (e) If a track protected by a derail is occupied by standing 
railroad rolling stock, the derail shall be in derailing position.
    (f) Each derail shall be interlocked with the signal system so as 
to produce a maximally restrictive signal aspect if the device is not 
deployed in a completely functional position.


Sec. 213.359  Track stiffness.

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


Sec. 213.361  Right of Way

    The track owner in class 8 and 9 shall submit a barrier plan, 
termed a ``right-of-way plan,'' to the Federal Railroad Administration 
for approval. At a minimum, the plan will contain provisions in areas 
of demonstrated need for the prevention of-
    (a) Vandalism;

[[Page 36186]]

    (b) Launching of objects from overhead bridges or structures into 
the path of trains; and
    (c) Intrusion of vehicles from adjacent rights of way.


Sec. 213.365  Visual inspections.

    (a) All track must be visually inspected in accordance with the 
schedule prescribed in paragraph (c) of this section by a person 
designated under Sec. 213.305.
    (b) Each inspection must be made on foot or by riding over the 
track in a vehicle at a speed that allows the person making the 
inspection to visually inspect the track structure for compliance with 
this part. However, mechanical, electrical, and other track inspection 
devices may be used to supplement visual inspection. If a vehicle is 
used for visual inspection, the speed of the vehicle may not be more 
than 5 miles per hour when passing over track crossings and turnouts, 
otherwise, the inspection vehicle speed shall be at the sole discretion 
of the inspector, based on track conditions and inspection 
requirements. When riding over the track in a vehicle, the inspection 
will be subject to the following conditions--
    (1) One inspector in a vehicle may inspect up to two tracks at one 
time provided that the inspector's visibility remains unobstructed by 
any cause and that the second track is not centered more than 30 feet 
from the track upon which the inspector is riding;
    (2) Two inspectors in one vehicle may inspect up to four tracks at 
a time provided that the inspector's visibility remains unobstructed by 
any cause and that each track being inspected is centered within 39 
feet from the track upon which the inspectors are riding;
    (3) Each main track is actually traversed by the vehicle or 
inspected on foot at least once every two weeks, and each siding is 
actually traversed by the vehicle or inspected on foot at least once 
every month. On high density commuter railroad lines where track time 
does not permit an on track vehicle inspection, and where track centers 
are 15 foot or less, the requirements of this paragraph (b)(3) will not 
apply; and
    (4) Track inspection records must indicate which track(s) are 
traversed by the vehicle or inspected on foot as outlined in paragraph 
(b)(3) of this section.
    (c) Each track inspection must be made in accordance with the 
following schedule--

------------------------------------------------------------------------
              Class of track                     Required frequency     
------------------------------------------------------------------------
6, 7, and 8...............................  Twice weekly with at least 2
                                             calendar-day's interval    
                                             between inspections.       
9.........................................  Three times per week.       
------------------------------------------------------------------------

    (d) If the person making the inspection finds a deviation from the 
requirements of this part, the person shall immediately initiate 
remedial action.
    (e) Each turnout and crossover must be inspected on foot at least 
weekly. The inspection must be in accordance with the Guidebook 
required under Sec. 213.353.
    (f) In track classes 8 and 9, if no train traffic operates for a 
period of 8 hours, a train shall be operated at a speed not to exceed 
100 miles per hour over the track before the resumption of operations 
at the maximum authorized speed.


Sec. 213.367  Special inspections.

    In the event of fire, flood, severe storm, temperature extremes or 
other occurrence which might have damaged track structure, a special 
inspection must be made of the track involved as soon as possible after 
the occurrence.


Sec. 213.369  Inspection records.

    (a) Each owner of track to which this part applies shall keep a 
record of each inspection required to be performed on that track under 
this subpart.
    (b) Except as provided in paragraph (e) of this section, each 
record of an inspection under Sec. 213.365 shall be prepared on the day 
the inspection is made and signed by the person making the inspection. 
Records must specify the track inspected, date of inspection, location 
and nature of any deviation from the requirements of this part, and the 
remedial action taken by the person making the inspection. The owner 
shall designate the location(s) where each original record shall be 
maintained for at least one year after the inspection covered by the 
record. The owner shall also designate one location, within 100 miles 
of each state in which they conduct operations, where copies of record 
which apply to those operations are either maintained or can be viewed 
following 10 days notice by the Federal Railroad Administration.
    (c) Rail inspection records must specify the date of inspection, 
the location and nature of any internal defects found, the remedial 
action taken and the date thereof, and the location of any intervals of 
track not tested per Sec. 213.339(d). The owner shall retain a rail 
inspection record for at least two years after the inspection and for 
one year after remedial action is taken.
    (d) Each owner required to keep inspection records under this 
section shall make those records available for inspection and copying 
by the Federal Railroad Administrator.
    (e) For purposes of compliance with the requirements of this 
section, an owner of track may maintain and transfer records through 
electronic transmission, storage, and retrieval provided that--
    (1) The electronic system be designed such that the integrity of 
each record maintained through appropriate levels of security such as 
recognition of an electronic signature, or other means, which uniquely 
identify the initiating person as the author of that record. No two 
persons shall have the same electronic identity;
    (2) The electronic storage of each record must be initiated by the 
person making the inspection within 24 hours following the completion 
of that inspection;
    (3) The electronic system must ensure that each record cannot be 
modified in any way, or replaced, once the record is transmitted and 
stored;
    (4) Any amendment to a record must be electronically stored apart 
from the record which it amends. Each amendment to a record must be 
uniquely identified as to the person making the amendment;
    (5) The electronic system must provide for the maintenance of 
inspection records as originally submitted without corruption or loss 
of data; and
    (6) Paper copies of electronic records and amendments to those 
records, that may be necessary to document compliance with this part, 
must be made available for inspection and copying by the FRA and track 
inspectors responsible under Sec. 213.305. Such paper copies shall be 
made available to the track inspectors and at the locations specified 
in paragraph (b) of this section.
    (7) Track inspection records shall be kept available to persons who 
performed the inspection and to persons performing subsequent 
inspections.
    (f) Each Track/Vehicle Performance record required under 
Sec. 213.333 (g), and (m) shall be made available for inspection and 
copying by the FRA at the locations specified in paragraph (b) of this 
section.

Appendix A to Part 213--Maximum Allowable Curving Speeds

[[Page 36187]]



                                                            Table 1.--Three Inches Unbalance                                                            
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                                     Elevation of outer rail (inches)                                   
               Degree of curvature               -------------------------------------------------------------------------------------------------------
                                                     0     \1/2\     1    1\1/2\     2    2\1/2\     3    3\1/2\     4    4\1/2\     5     \1/2\     6  
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                                                                                                        
(12)Maximum allowable operating speed (mph)                                                                                                             
                                                                                                                                                        
0 deg.30'.......................................      93     100     107     113     120     125     131     136     141     146     151     156     160
0 deg.40'.......................................      80      87      93      98     103     109     113     118     122     127     131     135     139
0 deg.50'.......................................      72      78      83      88      93      97     101     106     110     113     117     121     124
1 deg.00'.......................................      66      71      76      80      85      89      93      96     100     104     107     110     113
1 deg.15'.......................................      59      63      68      72      76      79      83      86      89      93      96      99     101
1 deg.30'.......................................      54      58      62      66      69      72      76      79      82      85      87      90      93
1 deg.45'.......................................      50      54      57      61      64      67      70      73      76      78      81      83      86
2 deg.00'.......................................      46      50      54      57      60      63      66      68      71      73      76      78      80
2 deg.15'.......................................      44      47      50      54      56      59      62      64      67      69      71      74      76
2 deg.30'.......................................      41      45      48      51      54      56      59      61      63      66      68      70      72
2 deg.45'.......................................      40      43      46      48      51      54      56      58      60      62      65      66      68
3 deg.00'.......................................      38      41      44      46      49      51      54      56      58      60      62      64      66
3 deg.15'.......................................      36      39      42      45      47      49      51      54      56      57      59      61      63
3 deg.30'.......................................      35      38      40      43      45      47      50      52      54      55      57      59      61
3 deg.45'.......................................      34      37      39      41      44      46      48      50      52      54      55      57      59
4 deg.00'.......................................      33      35      38      40      42      44      46      48      50      52      54      55      57
4 deg.30'.......................................      31      33      36      38      40      42      44      45      47      49      50      52      54
5 deg.00'.......................................      29      32      34      36      38      40      41      43      45      46      48      49      41
5 deg.30'.......................................      28      30      32      34      36      38      40      41      43      44      46      47      48
6 deg.00'.......................................      27      29      31      33      35      36      38      39      41      42      44      45      46
6 deg.30'.......................................      26      28      30      31      33      35      36      38      39      41      42      43      45
7 deg.00'.......................................      25      27      29      30      32      34      35      36      38      39      40      42      43
8 deg.00'.......................................      23      25      27      28      30      31      33      34      35      37      38      39      40
9 deg.00'.......................................      22      24      25      27      28      30      31      32      33      35      36      37      38
10 deg.00'......................................      21      22      24      25      27      28      29      31      32      33      34      35      36
11 deg.00'......................................      20      21      23      24      26      27      28      29      30      31      32      33      34
12 deg.00'......................................      19      20      22      23      24      26      27      28      29      30      31      32      33
--------------------------------------------------------------------------------------------------------------------------------------------------------


                                                             Table 2.--Four Inches Unbalance                                                            
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                               Elevation of outer rail (inches)                                         
        Degree of curvature         --------------------------------------------------------------------------------------------------------------------
                                        0      \1/2\      1      1\1/2\     2      2\1/2\     3      3\1/2\     4      4\1/2\     5      5\1/2\     6   
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                                                                                                        
(12) Maximun allowable operating                                                                                                                        
 speed (mph)                                                                                                                                            
                                                                                                                                                        
0 deg.30'..........................      107      113      120      125      131      136      141      146      151      156      160      165      169
0 deg.40'..........................       93       98      104      109      113      118      122      127      131      135      139      143      146
0 deg.50'..........................       83       88       93       97      101      106      110      113      117      121      124      128      131
1 deg.00'..........................       76       80       85       89       93       96      100      104      107      110      113      116      120
1 deg.15'..........................       68       72       76       79       83       86       89       93       96       99      101      104      107
1 deg.30'..........................       62       65       69       72       76       79       82       85       87       90       93       95       98
1 deg.45'..........................       57       61       64       67       70       73       76       78       81       83       86       88       90
2 deg.00'..........................       53       57       60       63       65       68       71       73       76       78       80       82       85
2 deg.15'..........................       50       53       56       59       62       64       67       69       71       73       76       78       80
2 deg.30'..........................       48       51       53       56       59       61       63       65       68       70       72       74       76
2 deg.45'..........................       46       48       51       53       56       58       60       62       64       66       68       70       72
3 deg.00'..........................       44       46       49       51       53       56       58       60       62       64       65       67       69
3 deg.15'..........................       42       44       47       49       51       53       55       57       59       61       63       65       66
3 deg.30'..........................       40       43       45       47       49       52       53       55       57       59       61       62       64
3 deg.45'..........................       39       41       44       46       48       50       52       53       55       57       59       60       62
4 deg.00'..........................       38       40       42       44       46       48       50       52       53       55       57       58       60
4 deg.30'..........................       36       38       40       42       44       45       47       49       50       52       53       55       56
5 deg.00'..........................       34       36       38       40       41       43       45       46       48       49       51       52       53
5 deg.30'..........................       32       34       36       38       39       41       43       44       46       47       48       50       51
6 deg.00'..........................       31       33       35       36       38       39       41       42       44       45       46       48       49
6 deg.30'..........................       30       31       33       35       36       38       39       41       42       43       44       46       47
7 deg.00'..........................       29       30       32       34       35       36       38       39       40       42       43       44       45
8 deg.00'..........................       27       28       30       31       33       34       35       37       38       39       40       41       42
9 deg.00'..........................       25       27       28       30       31       32       33       35       36       37       38       39       40
10 deg.00'.........................       24       25       27       28       29       30       32       33       34       35       36       37       38
11 deg.00'.........................       23       24       25       27       28       29       30       31       32       33       34       35       36
12 deg.00'.........................       22       23       24       26       27       28       29       30       31       32       33       34       35
--------------------------------------------------------------------------------------------------------------------------------------------------------


[[Page 36188]]


        Appendix B to Part 1213.--Schedule of Civil Penalties \1\       
------------------------------------------------------------------------
                                                               Willful  
                    Section                      Violation    violation 
------------------------------------------------------------------------
Subpart A--General:                                                     
    213.4(a) Excepted track \2\...............       $2,500       $5,000
    213.4(b) Excepted track \2\...............        2,500        5,000
    213.4(c) Excepted track \2\...............        2,500        5,000
    213.4(d) Excepted track...................        2,500        5,000
    213.4(e):                                                           
        1, Excepted track.....................        5,000        7,500
        2, Excepted track.....................        7,000       10,000
        3, Excepted track.....................        7,000       10,000
    213.7 Designation of qualified persons to                           
     supervise certain renewals and inspect                             
     track....................................        1,000        2,000
    213.9 classes or track:                                             
        Operating speed limits................        2,500        5,000
    213.11 Restoration or renewal of track                              
     under traffic conditions.................        2,500        5,000
    213.13 Measuring track not under load.....        1,000        2,000
Subpart B--Roadbed:                                                     
    213.33 Drainage...........................        2,500        5,000
    213.37 Vegetation.........................        1,000        2,000
Subpart C--Track geometry:                                              
    213.53 Gage...............................        5,000        7,500
    213.55 Alinement..........................        5,000        7,500
    213.57 Curves: elevation and speed                                  
     limitations..............................        2,500        5,000
    213.59 Elevation of curved track; runoff..        2,500        5,000
    213.63 Track surface......................        5,000        7,500
Subpart D--Track surface:                                               
    213.103 Ballast; general..................        2,500        5,000
    213.109 Crossties:                                                  
        (a) Material used.....................        1,000        2,000
        (b) Distribution of ties..............        2,500        5,000
        (c) Sufficient number of nondefective                           
         ties.................................        1,000        2,000
        (d) Joint ties........................        2,500        5,000
    213.113 Defective rails...................        5,000        7,500
    213.115 Rail end mismatch.................        2,500        5,000
    213.121(a) Rail joints....................        2,500        5,000
    213,121(b) Rail joints....................        2,500        5,000
    213.121(c) Rail joints....................        5,000        7,500
    213.121(d) Rail joints....................        2,500        5,000
    213.121(e) Rail joints....................        2,500        5,000
    213.121(f) Rail joints....................        2,500        5,000
    213.121(g) Rail joints....................        5,000        7,500
    213.123 Tie plates........................        1,000        2,000
    213.127 Track spikes......................        2,500        5,000
    213.133 Turnouts and track crossings                                
     generally................................        1,000        2,000
    213.135 Switches:                                                   
        (a) Through (g).......................        2,500        5,000
        (h) Chipped or worn points............        5,000        7,500
    213.137 Frogs.............................        2,500        5,000
    213.139 Spring rail frogs.................        5,000        7,500
    213.141 Self-guarded frogs................        2,500        5,000
    213.143 Frog guard rails and guard faces;                           
     gage.....................................        2,500        5,000
Subpart E--Track appliances and track-related                           
 devices:                                                               
    213.205 Derails...........................        2,500        5,000
Subpart F--Inspection:                                                  
    213.233 Track Inspections.................        2,000        4,000
    213.235 Switch and track crossings                                  
     inspection...............................        2,000        4,000
    213.237 Inspection of rail................        2,500        5,000
    213.239 Special inspections...............        2,500        5,000
    213.241 Inspection records................        1,000        2,000
------------------------------------------------------------------------
\1\ A penalty may be assessed against an individual only for a willful  
  violation. The Administrator reserves the right to assess a penalty of
  up to $20,000 for any violation where circumstances warrant. See 49   
  CFR Part 209, Appendix A.                                             
\2\ In addition to assessment of penalties for each instance of         
  noncompliance with the requirements identified by this footnote, track
  segments designated as excepted track that are or become ineligible   
  for such designation by virtue of noncompliance with any of the       
  requirements to which this footnote applies are subject to all other  
  requirements of Part 212 until such noncompliance is remedied.        


[[Page 36189]]

    Issued in Washington, D.C. on June 19, 1997.
Donald M. Itzkoff,
Deputy Administrator, Federal Railroad Administration.
[FR Doc. 97-16663 Filed 7-2-97; 8:45 am]
BILLING CODE 4910-06-M