[Federal Register Volume 61, Number 44 (Tuesday, March 5, 1996)]
[Notices]
[Pages 8703-8706]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 96-5216]



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DEPARTMENT OF TRANSPORTATION
Federal Railroad Administration
[FRA Emergency Order No. 20, Notice No. 2]


Commuter and Intercity Passenger Railroads, Including Public 
Authorities Providing Passenger Service, and Affected Freight 
Railroads; Clarification of Emergency Order Requiring Enhanced 
Operating Rules and Plans for Ensuring the Safety of Passengers 
Occupying the Leading Car of a Train With Appropriate Amendments

Introduction

    On February 20, 1996, the Federal Railroad Administration (FRA) 
issued Emergency Order No. 20 (Notice No. 1). The order required prompt 
action to immediately enhance passenger train operating rules and 
emergency egress and to develop a more comprehensive interim system 
safety plan addressing cab car forward and multiple unit (MU) 
operations that do not have either cab signal, automatic train stop, or 
automatic train control systems. Subsequent to issuance of the order, 
FRA and the Federal Transit Administration (FTA) recognized that the 
original order's safety measures, while establishing requirements to 
abate the safety risks at issue, would benefit from refinements 
increasing their effectiveness. Three aspects of the original order are 
being refined in this notice. FRA is: (1) More sharply focusing and 
strengthening the provisions relating to the delay in block rule; (2) 
tailoring the signal calling provisions to reflect more diverse 
operating situations; and (3) providing more detailed guidance on the 
emergency egress sampling provision. FRA is also clarifying measures 
that apply to defective cab signal, automatic train stop (ATS) and 
automatic train control (ATC).
    Emergency Order No. 20 generally applies to commuter and intercity 
passenger railroads using push-pull and MU operations where cab signal, 
ATS, or ATC is not in operation and trains are operating in excess of 
30 miles per hour. Although enroute failures are rare events, if cab 
signals, ATS or ATC fail, the relevant safety measures of this order 
apply. The only exception would be when cab signal, ATS or ATC fail on 
track that is not governed by wayside signals. In those instances, 
adherence to existing federal standards and applicable operating rules 
provide a comparable level of safety. It is important to note, however, 
that railroads are not expected to conduct efficiency testing when cab 
signal, ATS, or ATC is the normal method of operation and there is an 
occasional failure. Therefore, railroads are not expected to interfere 
with normal operation of the cab signal, ATS, or ATC systems for such 
efficiency testing. All changes and the clarification addressed above 
reflect discussions that FRA and FTA held with the commuter and 
intercity railroads subsequent to issuance of the order.

(1) Delayed in Block

    The original order required application of the delay-in-block 
provisions regardless of the train's location on the railroad although, 
in the relevant accidents that formed the basis for the order, the 
trains involved were operating in a block immediately preceding an 
interlocking or controlled point. Additionally, the original order 
provided no maximum speed for delayed-in-block movements other than 
that provided in relevant railroad rules. The FRA's refined approach 
will limit the order's applicability to blocks immediately preceding 
interlockings and controlled points and require that the train reduce 
speed in accordance with applicable operating rules, but in no case may 
speed exceed 40 miles per hour. FRA established the maximum speed of 40 
miles per hour in accordance with the reduced speed imposed under its 
regulations addressing failure of cab signal, ATS, or ATC devices (see 
49 CFR 236.567, 236.811). This will more clearly focus the rule on the 
situations intended to be addressed by the original order and ensure 
that the maximum reduced speed permitted where the rule applies is 
standardized and is based on a known standard. In other words, the 
maximum speed where the rule applies will be 40 miles per hour or less, 
depending upon the railroad's rules. FRA is also strengthening the 
delay-in-block rule by adding a measure requiring that appropriate 
signs be installed at each affected signal and at the departure end of 
stations. This will prevent confusion as to where the rule applies.

(2) Signal Calling

    The modification to the signal calling provision reflects the 
reality that designated crew members will be positioned in varying 
locations when receiving the verbal communication identifying the 
signal indication. Although the initial version of the order specified 
a particular location on the train (i.e. in a trailing unit or car), 
the underlying safety concern can be satisfied by having the crew 
member receive and acknowledge the communication regardless of the 
responder's physical location on the train.

(3) Emergency Egress

    The original order required but did not set parameters for testing 
a representative sample of emergency exits. The alteration to the 
emergency egress provisions requires that sampling of emergency window 
exits be conducted in conformity with either of two alternate methods 
commonly recognized for such efforts. This modification provides a 
degree of uniformity industry wide. These methods require sampling 
meeting a 95 percent confidence level that all emergency window exits 
operate properly (i.e., the methods do not accept a defect rate of 5 
percent). Although the original order would have required testing all 
exits on a specific series or type of car if one such car had a 
defective window exit, the amended order permits the use of these 
commonly accepted sampling techniques to determine how many additional 
windows in test. In general, these principles require that the greater 
the percentage of windows initially found defective, the greater the 
percentage of windows that will have to be tested.
    In addition, FRA has modified the emergency egress portion of the 
order to clarify that the exterior marking requirement applies to those 
windows that may be employed for access by emergency responders, which 
may be windows other than, or in addition to, those designed for 
emergency egress for passengers. In addition, FRA has modified the 
interim system safety plan portion of the order to require discussion 
of the railroad's programs and plans for liaison with and training of 
emergency responders with respect to emergency access to passengers. 
The original order required discussion only of methods used to inform 
passengers of the location and method of emergency exits.

Finding and Order

    FRA concludes that certain current conditions and practices on 
commuter and intercity passenger railroads pose an imminent and 
unacceptable threat to public and employee safety. Of greatest concern 
are push-pull and MU operations lacking the protection 

[[Page 8704]]
provided by cab signal, automatic train stop, or automatic train 
control systems. Based on the matters discussed in Notice No. 1 of this 
order, I found that the unsafe conditions discussed there create an 
emergency situation involving a hazard of death or injury to persons. 
While I continue to find an emergency situation to exist, I have 
concluded that certain modifications to the order are necessary. For 
the convenience of those subject to this order, I have set forth here 
all of its terms, as amended. Accordingly, pursuant to the authority of 
49 U.S.C. Sec. 20104, delegated to me by the Secretary of 
Transportation (49 CFR Sec. 1.49), it is hereby ordered that each 
commuter and intercity passenger railroad, and any other entity (e.g., 
freight railroads over whose lines affected passenger operations are 
conducted) whose actions are necessary to effectuate the directives in 
this order, take the following actions:

(1) Delayed-in-Block Rule

    Note: This rule applies to all push-pull and MU operations 
unless cab signal, automatic train stop, or automatic train control 
is in operation, speeds do not exceed 30 m.p.h., or within yard or 
terminal limits as specified for this purpose by the railroad.


     (A) On March 4, 1996, at 12:01 a.m., have in effect, 
publish in its code of operating rules, and comply with a rule that 
requires: If a passenger train operating in the block immediately 
preceding an interlocking or controlled point stops for any reason, or 
its speed is reduced below 10 m.p.h., the train shall proceed under the 
reduced speed set forth in applicable operating rules governing such 
circumstances and be prepared to stop before passing the next signal. 
In no event shall this reduced speed exceed 40 m.p.h., although lower 
speeds are permissible. The train must maintain the prescribed reduced 
speed until the next wayside signal is clearly visible and that signal 
displays a proceed indication. A copy of the rule will be provided to 
the FRA Office of Safety Assurance and Compliance in care of James T. 
Schultz, Staff Director, Operating Practices.
     (B) Within 30 days of issuance of the railroad's rule, a 
railroad operating supervisor shall personally contact each engineer 
and conductor in passenger service and inform them in a face-to-face 
meeting of the requirements of that rule. Such briefing shall be 
documented and such documentation shall be available for FRA review 
upon request, including date, time, location, crew members contacted, 
and supervisor making the contact.
     (C) Within 60 days of issuance of the railroad's rule, 
each engineer/conductor in such passenger service shall receive an 
unannounced operational (``efficiency'') test on the rule which 
requires a full stop at the signal ahead; and, within 90 days of rule 
publication, an on-board operational monitoring ride shall be conducted 
by an operating supervisor of the railroad to ensure a complete 
understanding of rule provisions. Such tests and operational monitoring 
checks shall be documented and such documentation shall be available 
for FRA review upon request, including date, time, location, crew 
members involved, and supervisor making the test/monitoring ride.
     (D) The railroad's program of operational tests and 
inspections under 49 CFR Part 217 shall be revised as necessary to 
include this rule, and shall specifically include a minimum of two such 
tests per year for each passenger engineer.
     (E) Within 30 days of issuance of the railroad's rule, an 
appropriate qualifying appurtenance shall be affixed to each signal 
governing the approach to an interlocking or controlled point signal to 
serve as a visual reminder to the engineer. Appropriate signage shall 
be displayed at the departure end of passenger stations located in the 
block immediately preceding interlockings or controlled points.

(2) Crew Communications Rule

    Note: This rule applies to all push-pull and MU operations 
unless cab signal, automatic train stop, or automatic train control 
is in operation, speeds do not exceed 30 m.p.h., or within yard or 
terminal limits as specified for this purpose by the railroad.

     (A) On March 4, 1996, at 12:01 a.m., have in effect, 
publish in its operating rules, and comply with a rule that requires: A 
crew member located in the operating cab of a controlling locomotive, 
cab car, or MU car, shall have means to communicate orally and shall 
communicate the indication and location of each wayside signal 
affecting the movement of the train as soon as the signal becomes 
visible, for all signals which require either (1) that the train be 
prepared to stop at the next wayside signal, or (2) that the train be 
prepared to pass the next wayside signal at restricted speed. In 
multiple track territory, the crew member shall include the affected 
track number. A copy of the rule shall be provided to the FRA Office of 
Safety Assurance and Compliance in care of James T. Schultz, Staff 
Director, Operating Practices.
     (B) A designated crew member shall immediately acknowledge 
the transmission, and confirm the information to the crew member(s) on 
the controlling locomotive by repeating the message. If the designated 
crew member fails to acknowledge the communication, the engineer must 
ascertain at the next scheduled stop why the message is not being 
confirmed. If necessary due to radio equipment failure, alternative 
means shall be established by the operating crew (e.g., via intercom, 
cellular telephone, etc.) to accomplish the procedure.
     (C) If the engineer fails to control the train movement in 
accordance with either a wayside signal indication or other 
restrictions imposed upon the train, the designated crew member shall 
at once communicate with and caution the engineer regarding the 
restriction, and, if necessary, take appropriate action to ensure the 
safety of the train, including stopping the movement if appropriate.
     (D) Within 30 days of the issuance of the railroad's rule, 
a railroad operating supervisor shall personally contact each engineer 
and conductor in passenger service and inform them in a face-to-face 
meeting of the requirements of this rule. Such briefing shall be 
documented and such documentation shall be available for FRA review 
upon request, including date, time, location, crew members contacted, 
and supervisor making the contact.
     (E) Within 60 days of the issuance of the railroad's rule, 
each engineer/conductor in such passenger service shall receive an 
unannounced operational ``efficiency'' test on the rule; and, within 90 
days of rule publication, an on-board operational monitoring ride shall 
be conducted by an operating supervisor of the railroad to ensure a 
complete understanding of rule provisions. Such tests and operational 
monitoring checks shall be documented and such documentation shall be 
available for FRA review upon request, including date, time, location, 
crew members involved, and supervisor making the test/monitoring ride.
     (F) The railroad's program of operational tests and 
inspections under 49 CFR Part 217 shall be revised as necessary to 
include this rule, and shall specifically include a minimum of two such 
tests per year for each passenger engineer.

(3) Emergency Egress: Marking and Inspecting Exits

     (A) No later than April 20, 1996, ensure that each 
emergency exit location is marked inside the car for passenger and crew 
information. Markings for egress from inside the car shall be 
accompanied by clear and legible instructions for operation of the 
exit. Also, clear markings shall also be provided on the exterior of 
each car 

[[Page 8705]]
indicating which windows may be employed for access by emergency 
responders. All such markings must be clearly visible and legible at 
egress locations. This paragraph does not require action where 
reasonably conspicuous and fully legible markings and instructions 
already exist.
     (B) Immediately begin, and by April 20 complete, a program 
to test a representative sample of emergency window exits on cars in 
its fleets to verify proper operation. Sampling must be conducted to 
meet a 95% confidence level and in accordance with Military Standard 
MIL-STD-105(D) Sampling for Attributes or American National Standards 
Institute ANSI-ASQC Z1.4-1993 Sampling Procedures for Inspections by 
Attributes. Defective units will be repaired before the car is returned 
to service. Railroads must report to FRA when such action is necessary, 
and shall include a timetable for window inspection and replacement on 
the car series to remedy the problem in the most expeditious manner.
     (C) Records of the date, car number, and verification of 
proper exit operation shall be maintained and available for FRA review 
upon request. Each railroad shall also verify emergency exit operation 
as part of routine vehicle maintenance cycles.

(4) Interim System Safety Plans

    Each authority operating or contracting for the operation of push-
pull, EMU or DMU service (including Amtrak) shall, not later than April 
5, 1996, submit to FRA an interim system safety plan for the purpose of 
enhancing the safety of such operations. In developing such plans, the 
authority shall provide opportunity for the riding public and 
designated representatives of railroad employees to comment on proposed 
actions that may affect the quality of service, including passenger 
safety.
    The plan shall address the following hazards associated with 
passenger occupancy of lead units:
     Train-to-train collisions.
     Derailments giving rise to the hazard of impact with fixed 
structures.
     Collisions with heavy vehicles at highway-rail crossings.

The plan shall take into consideration the overall safety of all 
passengers and crew members and shall, at a minimum, address the 
following opportunities for risk reduction:
    (A) Use of cab car/MU car. The authority shall specify the 
circumstances under which occupancy of a cab or MU car in the lead 
position is permitted, by route and train assignment. The authority 
shall propose or report appropriate modifications in such practices, 
taking into consideration service needs (e.g., equipment capacity, 
passenger loadings) and safety issues (e.g., train densities, method of 
operation, availability of cab signals and automatic control, issues 
related to standing passengers, grade crossing exposure, and other 
relevant factors).
    (B) Operating rules. The authority shall review railroad operating 
rules and practices pertinent to the hazards listed above to determine 
if further enhancements in safety are warranted and advise FRA as to 
what action is necessary to enhance the level of safety. Changes in 
existing rules shall be specified. In conducting this review, the 
operating authority shall analyze the measures imposed in sections 1 
and 2 of this order and may propose alternative approaches that ensure 
the same enhancements in safety associated with those measures.
    (C) Adverse conditions. In conducting the review of railroad 
operating rules and practices, consideration shall be given to adverse 
or unusual operating conditions such as weather (e.g., fog, heavy rain 
or snow, flooding, etc.).
    (D) Short-term technology enhancements. The authority shall 
consider short-term enhancements in technology that may improve the 
safety of train operations, such as use of alerting devices, equipping 
of additional locomotives with cab signal/ATC apparatus (where in 
effect on the territory), or other available enhancements to enhance 
engineer performance or provide warning of operation in excess of 
authority provided by the wayside signal system. In addition, the 
authority shall consider whether the installation of additional signals 
on any particular line would appreciably reduce the risk of train 
collisions.
    (E) Crew management. The authority shall review crew management 
practices in light of contemporary literature regarding shift work and 
cumulative fatigue to determine if the alertness and performance of 
employees can be promoted by changes in those practices. Special 
attention shall be given to the issue of night split shifts.
    (F) Highway-rail grade crossings. The authority shall review risks 
to passengers associated with occupancy of cab or MU cars in the lead 
while passing over highway-rail crossings, particularly crossings 
utilized by heavy vehicles and vehicles transporting hazardous 
materials, and shall address measures that can reduce these risks.
    (G) Emergency exit notification. The authority shall review methods 
it uses, in addition to marking emergency exits, to inform passengers 
of the location and operation of those exits, such as flyers dropped on 
seats, announcements to passengers, explanations on the face of 
passenger tickets, etc. The authority shall specify any plans it has to 
increase passenger awareness of the location and operation of emergency 
exits. The authority shall also discuss its plans for liaison with and 
training of emergency responders with respect to emergency access to 
passenger cars.

Upon receipt of plans responsive to the above-reference requirements, 
the Administrator, in consultation with the FTA Administrator, will 
determine whether other mandatory action appears necessary to address 
hazards associated with the subject rail passenger service.

Relief

    Petitions for special approval to take actions not in accordance 
with this order may be submitted to the Associate Administrator for 
Safety, who shall be authorized to dispose of those requests without 
the necessity of amending this order. A copy of this petition should be 
submitted to the Docket Clerk, Office of Chief Counsel, Federal 
Railroad Administration, 400 Seventh Street, S.W., Washington, D.C. 
20590.

Penalties

    Any violation of this order shall subject the person committing the 
violation to a civil penalty of up to $20,000. 49 U.S.C. Secs. 21301. 
FRA may, through the Attorney General, also seek injunctive relief to 
enforce this order. 49 U.S.C. Sec. 20112.

Effective Date and Notice to Affected Persons

    The amendments to this order shall take effect at 12:01 a.m. on 
March 4, 1996. The original order would have required the railroad to 
have its revised operating rules on delay in block and crew 
communications to be in place by March 2. The additional two days 
granted here is intended to ensure that it is feasible to revise, 
issue, and implement the revised rules by Monday, March 4. Other 
deadlines (i.e., for compliance with the emergency egress and interim 
system safety plan requirements) are not changed, but actual dates have 
been inserted to avoid confusion about how to count the days allotted 
for certain tasks. This notice will be published in the Federal 
Register as soon as possible. Prior to publication, copies of this 
notice will be delivered by overnight mail or facsimile to the affected 
passenger railroads, public authorities, and railroad labor 
organizations. 

[[Page 8706]]


Review

    Opportunity for formal review of this Emergency Order will be 
provided in accordance with 49 U.S.C. Sec. 20104(b) and section 554 of 
Title 5 of the United States Code. Administrative procedures governing 
such review are found at 49 CFR Part 211. See 49 CFR Secs. 211.47, 
211.71, 211.73, 211.75, and 211.77.

    Issued in Washington, D.C. on February 29, 1996.
Jolene M. Molitoris,
Administrator.
[FR Doc. 96-5216 Filed 3-1-96; 2:06 pm]
BILLING CODE 4910-06-P