[Federal Register Volume 61, Number 33 (Friday, February 16, 1996)]
[Notices]
[Pages 6286-6290]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 96-3556]



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DEPARTMENT OF TRANSPORTATION

Petition for Waiver of Compliance

    In accordance with Title 49 CFR Sections 211.9 and 211.41 notice is 
hereby given that the Federal Railroad Administration (FRA) has 
received a request for a waiver of compliance from certain requirements 
of Federal railroad safety regulations. The individual petition is 
described below, including the parties seeking relief, the regulatory 
provisions involved, the nature of the relief being requested and the 
petitioner's arguments in favor of relief.

Burlington Northern Railroad

Union Pacific Railroad

(Waiver Petition Docket Number H-95-4)

    The Burlington Northern Railroad (BN) and Union Pacific Railroad 
(UP) seek a waiver of compliance from certain sections of Title 49 Code 
of Federal Regulations Parts 216, Special Notice and Emergency Order 
Procedures: Railroad Track, Locomotive and Equipment, 217, Railroad 
Operating Rules, 218, Railroad Operating Practices, 220, Radio 
Standards and Procedures, 229, Railroad Locomotive Safety Standards, 
233, Signal Systems 

[[Page 6287]]
Reporting Requirements, 235, Instructions Governing Applications for 
Approval of a Discontinuance or Material Modification of a Signal 
System or Relief from the Requirements Of Part 236, Rules, standards, 
and Instructions Governing the Installation, Inspection, Maintenance, 
and Repair of Signal and Train Control Systems, Devices, and 
Appliances, and 240, Qualification and Certification Of Locomotive 
Engineers, under Part 211.51, Tests, to allow them to develop, 
implement, and test technology designed to prevent train collisions and 
overspeed violations and to protect track maintenance personnel from 
trains. The program will enable the industry to demonstrate and 
validate the technology, referred to as for Positive Train Separation 
(PTS), before it is implemented on a larger scale.
    PTS is a non-vital safety overlay that works in conjunction with 
existing methods of operation and signal and control systems to protect 
against the consequences of human error. This approach provides a 
``safety net'' for train operations while retaining the existing 
systems as the primary means of control.
    The PTS safety enhancements are achieved through a centrally 
controlled, communication-based system that enforces movement authority 
and speed restrictions for PTS-equipped trains. Three PTS segments work 
together to provide this enforcement: the server segment, the 
locomotive segment, and the communications segment. The server segment 
determines the enforceable movement authority and speed limit for each 
train under PTS control. This information is sent through the 
communications segment to the locomotive segment, located on board the 
controlling locomotive of each train. The locomotive segment enforces a 
train's movement and speed limits by monitoring the train's location 
and speed and applying the brakes to stop the train if necessary to 
prevent a violation.
    The pilot program will focus on proving PTS concepts and technology 
and on laying the groundwork for a production system. While the purpose 
of PTS is to enhance safety, the pilot program itself is not expected 
to yield immediate safety benefits. The program will focus on testing 
the technology without adversely affecting the safety of operations 
under existing signal and control systems, operating rules, and 
procedures, all of which will remain in effect.
    The PTS pilot program will be implemented on 863 miles of BN and UP 
track in the Pacific Northwest. The pilot territory includes portions 
of four BN operating divisions (Cascade, Pacific, Portland, and Pasco) 
and the Portland and Seattle subdivisions of UP's Boise Service Unit. 
Relief is sought for PTS test operations on all tracks of all types 
included in the pilot territory. The pilot territory includes single 
main track, two main tracks, sidings, and branch lines.
    The following are the current waiver requests and their 
justifications.
Section 216.13
    Special notice for repairs--locomotive. Waiver is requested for 
PTS-equipped locomotives to the extent that non-operation of PTS 
equipment installed on board (whether through malfunction or 
deactivation) shall not be construed as an unsafe condition requiring 
special notice for repairs; waiver is sought for non-PTS-equipped 
locomotives operating in the PTS pilot territory to the extent that the 
absence of PTS equipment on board shall not be construed as an unsafe 
condition requiring special notice for repairs.
    Justification: With or without PTS equipment operating on board the 
controlling locomotive, a train remains subject to existing signal and 
control systems and to the railroad's operating rules. (PTS is an 
overlaid system enhancing current safety without affecting the 
operation of existing systems.) PTS tests require flexibility in 
installing, removing, turning on, and turning off the on-board 
equipment. The PTS pilot will equip only a small subset of locomotives 
operating in the pilot territory.
Section 217.9
    Program of operational tests and inspections; recordkeeping. Waiver 
is requested exempting operation of PTS equipment and procedures from 
the requirements for operational tests and inspections and associated 
recordkeeping.
    Justification: The PTS pilot is a test program during which 
procedures for using PTS equipment and functions will be refined and 
modified. Until such procedures are defined, they cannot be addressed 
in the code of operating rules, timetables, and timetable special 
instructions to which this section applies.
Section 217.11
    Program of instruction on operating rules; recordkeeping; 
electronic recordkeeping. Waiver is requested exempting operation of 
PTS equipment and procedures from the requirements for instruction and 
associated recordkeeping.
    Justification: The PTS pilot is a test program during which 
procedures for using PTS equipment and functions will be refined and 
modified. Until such procedures are defined they cannot be addressed in 
the code of operating rules to which this section applies. In any case 
PTS is expected to have minimal impact on the code of operating rules.
Part 218
    [Subpart D] Prohibition Against Tampering With Safety Devices. 
Waiver is requested exempting on-board PTS equipment from the 
requirements of all sections under Subpart D of Part 218 (sections 51, 
53, 55, 57, 59, and 61) to the extent that PTS equipment on board a 
locomotive shall not be considered a ``safety device'' according to the 
provisions of this subpart at any time during the pilot program.
    Justification: The PTS pilot is a test program. PTS tests require 
flexibility in installing, removing, turning on, and turning off the 
on-board equipment. BN and UP also require the flexibility to 
permanently disable or remove PTS equipment in the event that a 
production system is not implemented.
Part 220
    Radio Standards and Procedures. Clarification is requested 
establishing that digital radio communications are exempt from all 
requirements applicable to radio communications under Part 220.
    Justification: Imposing the requirements of Part 220 would negate 
the efficiencies of digital data communications and, for some 
functions, violate the PTS concept of operations. Digital radio 
communications are expected to enhance safety by eliminating the 
sources of human error which Part 220 is designed to mitigate. 
Exemption of digital communications from Part 220 requirements is 
consistent with the statement of scope in Section 220.1, where the term 
``radio communications'' is explicitly identified with voice 
communications.
Section 220.21
    Railroad operating rules; radio communications; recordkeeping. 
Clarification is requested to establish that during the pilot program, 
neither railroad's operating rules with respect to radio communications 
shall be either construed or required to address procedures governing 
digital data communications.
    Justification: The current operating rules were written to enhance 
the safety of voice radio communications. Whether new rules are needed 
to 

[[Page 6288]]
accommodate digital communications is an open issue, on which the PTS 
pilot program can be expected to provide valuable input.
Section 220.23
    Publication of radio information. Clarification is requested to 
establish that digital radio base stations and wayside interface units 
are exempt from the requirements for publication of radio information 
including locations, channels, and periods of operation.
    Justification: The safety rationale for Section 220.21 does not 
apply to digital radio communications, especially for PTS, where 
communication management functions occur transparently to the user. 
Exemption of digital base stations and wayside interface units from 
Section 220.23 requirements is consistent with the statement of scope 
in Section 220.1, where the term ``radio communications'' is explicitly 
identified with voice communications.
Section 220.61
    Transmission of train orders by radio. Clarification is requested 
establishing that both PTS enforceable authorities and digitally 
transmitted text authorities (including track warrants, track permits, 
track and time, authority to pass an absolute signal at stop, and 
authority to enter track at a location between block signals) are 
exempt from the requirements governing voice transmission of train 
orders, including the following requirements: voice exchange prior to 
transmission of a train order; limitations regarding when and to which 
crew member a train order may be sent; copying a train order in 
writing; repeating a train order back to the dispatcher; and requiring 
the conductor and engineer to have written copies of a train order 
before it is acted upon.
    Justification: The safety rationale for Section 220.61 does not 
apply to digital transmission of either PTS enforceable authorities or 
displayed text authorities. PTS enforceable authorities remain unseen 
by the train crew and lie clearly outside the provisions of this 
section. Digitally transmitted track warrants are expected to enhance 
safety by eliminating the sources of communication error which the 
requirements of Section 220.61 are designed to mitigate. Exemption of 
digital communications from Part 220 requirements is also consistent 
with the statement of scope in Section 220.1, where the term ``radio 
communications'' is explicitly identified with voice communications. 
The PTS pilot program will give opportunity to test the efficacy of 
issuing digital track warrants and other text authorities apart from 
the procedural requirements of Section 220.61.
Section 229.7
    Prohibited acts. Waiver is requested to the extent that PTS 
equipment on board a locomotive shall not be considered 
``appurtenances'' rendering the locomotive subject to the constraints 
of this section.
    Justification: The PTS pilot is a test program. PTS test require 
flexibility in installing, removing, turning on, and turning off the 
on-board equipment. BN and UP also require the flexibility to 
temporarily or permanently disable on-board PTS equipment. Whether or 
not PTS equipment on board a locomotive is functioning, the train 
remains subject to the safety provisions of the existing signal and 
control systems and to the railroad's operating rules.
Section 229.135
    Event recorders. Waiver is requested to the extent that PTS 
equipment on board a locomotive shall not be considered an ``event 
recorder'' subject to the provisions of this section.
    Justification: PTS equipment by design will operate intermittently 
during the pilot program. PTS test require flexibility in installing, 
removing, turning on, and turning off the on-board equipment. BN and UP 
also require the flexibility to temporarily or permanently disable on-
board PTS equipment.
Section 233.9
    Annual reports. Waiver is requested exempting PTS operations in the 
pilot program from the reporting requirement of this section.
    Justification: While a PTS production system may belong to the 
category of ``other similar appliances, methods, and systems'' 
specified in Section 233.1, this requirement would impose an 
unnecessary paperwork burden for a test program.
Section 235.5
    Changes requiring filing of application. Waiver is requested 
exempting the PTS pilot program from the filing requirements of this 
section.
    Justification: The PTS pilot is a test program. PTS tests require 
flexibility in installing, removing, modifying, turning on, and turning 
off the on-board equipment. BN and UP also require the flexibility to 
permanently disable or remove PTS equipment in the event that a 
production system is not implemented.
Section 236.4
    Interference with normal functioning of device. Waiver is requested 
to the extent that PTS equipment shall be excluded from this 
requirement during the pilot program.
    Justification: The PTS pilot is a test program through which the 
``normal functioning'' of PTS will be defined and refined. PTS tests 
require flexibility in installing, removing, turning on, and turning 
off the on-board equipment. With or without PTS equipment operating on 
board the controlling locomotive, the train remains subject to the 
safety provisions of existing signal and control systems and to the 
railroad's operating rules.
Section 236.5
    Design of control circuits on closed circuit principle. Waiver is 
requested excepting PTS equipment from the closed circuit design 
requirement.
    Justification: PTS is an overlay system using solid-state 
components. It will enhance railroad safety while in no way interfering 
with the operation of existing safety devices.
Section 236.11
    Adjustment, repair, or replacement of component. Waiver is 
requested exempting PTS components on board a locomotive from the 
requirements of this section.
    Justification: PTS is an overlay system designed to enhance safety 
while in no way affecting the operation of existing signal and control 
systems. Failure of a PTS component will not jeopardize the safety of 
train operations.
Section 236.15
    Timetable instructions. Waiver is requested exempting the PTS pilot 
territory from the timetable designation requirement of this section.
    Justification: Since the pilot program will consist of tests and 
demonstrations, identifying the test territory in the timetable as 
``PTS'' (or some similar label) would be both premature and an 
unnecessary paperwork burden.
Section 236.23
    Aspects and indications. Waiver is requested to the extent that the 
PTS display on board an equipped locomotive shall not be construed to 
represent or correspond to signal aspects or indications and shall 
therefore be exempt from the requirements of this section.
    Justification: The PTS design excludes any visual display of signal 
aspects or indications. PTS enforceable authorities, which may or may 
not derive from signal indications, are not displayed on 

[[Page 6289]]
board. Only text authorities, such as track warrants, track permits, 
and track and time, are displayed to the train crew. Since PTS is a 
safety overlay, trains remain subject to wayside signals. Information 
on the PTS display will in no way either represent or qualify the 
authority conveyed through wayside signals.
Section 236.76
    Tagging of wires and interference of wires or tags with signal 
apparatus. Waiver is requested exempting PTS equipment from the wire 
tagging requirement.
    Justification: PTS hardware consists of computers, computer 
peripherals, and communication devices. While the inapplicability of 
this section to circuit boards, connectors, and cables would appear 
obvious, waiver is sought for clarification.
Section 236.101
    Purpose of inspection and tests; removal from service of relay or 
device failing to meet test requirements. Waiver is requested exempting 
PTS equipment from the requirement for removal of failed equipment from 
service.
    Justification: The PTS pilot is a test program. PTS tests require 
flexibility in installing, removing, turning on, and turning off the 
on-board equipment. With or without PTS equipment operating on board, a 
train remains subject to the safety provisions of existing signal and 
control systems and to the railroad's operating rules.
Section 236.107
    Ground tests. Waiver is requested exempting PTS equipment in the 
pilot program from the requirement for ground testing.
    Justification: PTS hardware consists of computers, computer 
peripherals, and communication devices. Ground tests would serve no 
purpose in ensuring safety and could be damaging to this equipment.
Section 236.109
    Time releases, timing relays and timing devices. Waiver is 
requested exempting PTS equipment in the pilot program from the annual 
testing requirement.
    Justification: The timing devices in PTS equipment are software-
driven, have no moving parts, and are far more reliable than the 
devices for which this regulation was promulgated.
Section 236.110
    Results of tests. Waiver is requested exempting PTS tests from the 
recordkeeping requirements of this section.
    Justification: The PTS pilot is a test program during which the 
types of tests needed to ensure appropriate levels of maintenance will 
be defined.
Section 236.501
    Forestalling device and speed control. Waiver is requested 
exempting PTS from the requirement for medium-speed restriction in 
paragraph 2 under provision b.
    Justification: PTS is not connected with the signal system and will 
not enforce speed restrictions indicated solely through signals. PTS 
will enforce speed restrictions reflected in the track database or 
issued through the CAD system.
Section 236.502
    Automatic brake application, initiation by restrictive block 
conditions stopping distance in advance. Waiver is requested exempting 
PTS automatic brake applications from the requirement tying brake 
applications to restrictive block conditions.
    Justification: As an overlay system, PTS applies enforcement 
braking with reference to PTS enforceable authorities, independently of 
signal indications. Since PTS enforceable authorities are generated to 
keep trains apart, not to enforce signal indications, the enforceable 
limits may or may not correspond to restrictive signal indications. PTS 
enforceable speed limits do not reflect signal indications requiring a 
reduction in speed because information from signal systems is not 
available to the PTS system.
Section 236.504
    Operation interconnected with automatic block-signal system. Waiver 
is requested exempting PTS from the requirement of interconnection with 
an automatic block-signal system.
    Justification: PTS is an overlay system having no direct connection 
with the signal system.
Section 236.507
    Brake application; full service. UP desires the option for PTS to 
initiate a emergency brake application if after the activation of the 
P2A valve the location determination system ascertains that the train 
will not stop within the authority limit.
Section 236.511
    Cab signals controlled in accordance with block conditions stopping 
distance in 23 advance. Waiver is requested exempting any PTS on-board 
display from the cab-signal requirements in this section.
    Justification: PTS is not an automatic cab signal system and will 
have no direct connection with the signal system.
Section 236.512
    Cab signal indication when locomotive enters block where 
restrictive conditions obtain. Waiver is requested exempting any PTS 
on-board display from the cab-signal requirements in this section.
    Justification: The PTS system will not incorporate information from 
or about intermediate signals. The information available to PTS from 
control points and interlockings does not include signal indications 
requiring a reduction in speed. PTS is not an automatic cab signal 
system. Since PTS is an overlay system the train crew remains 
responsible for adherence to wayside 24 signal indications.
Section 236.514
    Interconnection of cab signal system with roadway signal system. 
Waiver is requested exempting PTS from the requirement of 
interconnection with the roadway signal system.
    Justification: PTS is an overlay system having no direct connection 
with the signal system.
Section 236.515
    Visibility of cab signals. Waiver is requested exempting any PTS 
display from the visibility requirement of this section.
    Justification: PTS is not an automatic cab signal system. The PTS 
design excludes any visual representation of signal aspects or 
indications.
Section 236.534
    Entrance to equipped territory; requirements. Waiver is requested 
exempting the PTS pilot 25 program from the requirements of this 
section.
    Justification: The PTS pilot is a test program. PTS tests require 
flexibility in installing, removing, turning on, and turning off the 
on-board equipment.
Section 236.551
    Power supply voltage; requirement. Waiver is requested exempting 
the on-board PTS power supply from the voltage requirement in this 
section.
    Justification: PTS on-board equipment will function with more than 
a 50% variation in voltage.
Section 236.552
    Insulation resistance; requirement. Waiver is requested exempting 
PTS equipment from the insulation resistance requirement in this 
section.
    Justification: PTS on-board equipment consists of computers, 
computer peripherals, 26 and communications 

[[Page 6290]]
equipment. Insulation resistance tests could be damaging to such 
components.
Section 236.553
    Seal, where required. Waiver is requested exempting PTS equipment 
from the seal requirement in this section.
    Justification: The PTS system will allow for manual disablement of 
on-board PTS functions and equipment both remotely from the dispatching 
office and through an on-board manual function. Use of the on-board 
cutout function will be electronically monitored and reported to the 
dispatcher as an alarm.
Section 236.563
    Delay time. Waiver is requested exempting PTS from the delay time 
requirement in this section.
    Justification: The PTS braking algorithm continuously computes 
braking distance to the next speed restriction or point where a stop is 
required. Information from the signal system is not used in this 
function.
Section 236.566
    Locomotive of each train operating in train stop, train control or 
cab signal territory; equipped. Waiver is requested to the extent that 
the equipment requirements in this section shall not apply to PTS 
during the test period.
    Justification: The PTS pilot is a test program. A small subset of 
locomotives operating in the test territory will be PTS-equipped; the 
majority of trains will not be equipped. PTS tests require flexibility 
in installing, removing, turning on and turning off the on-board 
equipment. BN and UP also require the flexibility to permanently 
disable or remove PTS equipment.
Section 236.567
    Restrictions imposed when device fails and/or is cut out enroute. 
Waiver is requested exempting PTS operations from the restrictions 
associated with device failure or cutout.
    Justification: The PTS pilot is a test program requiring 
flexibility in installing, removing, turning on and turning off the on-
board equipment. Since PTS is a safety overlay, a failure or 
deactivation of PTS equipment has the effect only of suspending the 
safety enhancements associated with PTS, without compromising the 
underlying safety provisions of existing systems and operating rules. 
If a PTS device fails, operations will continue in a normal mode. 
Moreover, the dispatcher is immediately notified if PTS equipment fails 
or is cut out eliminating any need for a reduction in speed.
Section 236.586
    Daily or after trip test. Waiver is requested exempting the PTS 
pilot program from the test requirements of this section. 
Justification: The PTS pilot is a test program during which 
requirements for a daily or after-trip test, if necessary, will be 
defined. PTS equipment is many times more reliable than the equipment 
for which this regulation was promulgated.
Section 236.587
    Departure test. Waiver is requested exempting the PTS pilot program 
from the test requirements of this section.
    Justification: The PTS pilot is itself a test program during which 
the requirements for a departure test will be defined. Further, it is 
likely the departure test will be made without human intervention.
Section 236.588
    Periodic test. Waiver is requested exempting the PTS pilot program 
from the test requirements of this section.
    Justification: The PTS pilot is itself a test program during which 
the requirements for periodic testing will be defined.
Section 236.703
    Aspect. Clarification is requested exempting the PTS display from 
this definition.
    Justification: PTS is not an automatic cab signal system. The PTS 
design excludes any visual representation of signal aspects or 
indications.
Section 236.805
    Signal, cab. Clarification is requested exempting the PTS display 
from this definition.
    Justification: PTS is not an automatic cab signal system. The PTS 
design does not include any visual representation of signal aspects or 
indications.
Section 240.127
    Criteria for examining skill performance. Waiver is requested 
exempting the PTS pilot 31 program from the testing procedures in this 
section.
    Justification: The PTS pilot is itself a test program. Criteria and 
procedures for PTS performance evaluation do not yet exist; they will 
be determined during the program.
Section 240.129
    Criteria for monitoring operational performance of certified 
engineers. Waiver is requested exempting the PTS pilot program from the 
performance monitoring procedures in this section.
    Justification: The PTS pilot is itself a test program. Criteria and 
procedures for PTS performance evaluation do not yet exist; they will 
be determined during the program.
    Interested parties are invited to participate in these proceedings 
by submitting written views, data, or comments. FRA does not anticipate 
scheduling a public hearing in connection with these proceedings since 
the facts do not appear to warrant a hearing. If any interested party 
desires an opportunity for oral comment, they should notify FRA, in 
writing, before the end of the comment period and specify the basis for 
their request.
    All communications concerning this proceeding should identify the 
appropriate docket number (e.g., Waiver Petition Docket Number H-95-4) 
and must be submitted in triplicate to the Docket Clerk, Office of 
Chief Counsel, Federal Railroad Administration, Nassif Building, 400 
Seventh Street, S.W., Washington, D.C. 20590.
    Communications received within 45 days of publication of this 
notice will be considered by FRA before final action is taken. Comments 
received after that date will be considered as far as practicable. All 
written communications concerning these proceedings are available for 
examination during regular business hours (9 a.m.-5 p.m.) in Room 8201, 
Nassif Building, 400 Seventh Street, S.W., Washington, D.C. 20590.

    Issued in Washington, D.C. on February 12, 1996.
Phil Olekszyk,
Deputy Associate Administrator for Safety Compliance and Program 
Implementation.
[FR Doc. 96-3556 Filed 2-15-96; 8:45 am]
BILLING CODE 4910-06-P