[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