[Federal Register Volume 62, Number 123 (Thursday, June 26, 1997)]
[Proposed Rules]
[Pages 34544-34560]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 97-15818]



[[Page 34543]]

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Part III





Department of Transportation





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Federal Railroad Administration



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49 CFR Part 220



Railroad Communications; Notice of Proposed Rulemaking

  Federal Register / Vol. 62, No. 123 / Thursday, June 26, 1997 / 
Proposed Rules  

[[Page 34544]]



DEPARTMENT OF TRANSPORTATION

Federal Railroad Administration

49 CFR Part 220

[Docket No. RSOR-12; Notice No. 4]
RIN 2130-AB19


Railroad Communications

AGENCY: Federal Railroad Administration (FRA), DOT.

ACTION: Notice of Proposed Rulemaking (NPRM).

-----------------------------------------------------------------------

SUMMARY: In June 1996, FRA convened a working group comprised of rail 
industry and labor representatives to recommend revisions to FRA's 
radio standards and procedures (49 CFR part 220). The working group 
examined extensive data and debated how to make the regulations more 
flexible, thereby improving compliance, and whether to mandate radios 
and other forms of wireless communications to convey emergency and need 
to know information.
    After studying these issues, the working group proposed to require 
wireless communications devices, including radios, for specified 
classifications of railroad operations and roadway workers. This part 
would therefore be retitled to reflect its proposed coverage of other 
means of wireless communications such as cellular telephones and data 
radio terminals. These proposed amendments, which are based upon both 
FRA and working group recommendations, would accommodate changing 
technologies, while continuing to ensure sound safety practices.

DATES: (1) Written comments must be received no later than August 25, 
1997. Comments received after that date will be considered to the 
extent possible without incurring additional expense or delay. Requests 
for formal extension of the comment period must be made by August 11, 
1997.
    (2) Requests for a public hearing must be made by July 28, 1997. 
Public hearings are generally held to provide interested parties an 
opportunity for oral presentations of data, views, or arguments 
concerning the proposed standards. Any person interested in requesting 
a hearing should contact Ms. Renee Bridgers, Docket Clerk, at (202) 
632-3198.

ADDRESSES: Written comments should be submitted to Ms. Renee Bridgers, 
Docket Clerk, Office of Chief Counsel, Federal Railroad Administration, 
400 Seventh Street, S.W., Washington, D.C. 20590. Persons wishing 
notification that their comments have been received should submit a 
stamped, self-addressed postcard with their comments. 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, both before and after the comment 
period closes, during regular business hours in Room 7051 at 1120 
Vermont Avenue, N.W., Washington, D.C. 20005. All hand deliveries 
should be made to the Vermont Avenue address.

FOR FURTHER INFORMATION CONTACT: Gene Cox, Operating Practices 
Specialist, Office of Safety, FRA, 400 Seventh Street S.W., Washington, 
D.C. 20590 (telephone: 202-632-3504); Dennis Yachechak, Operating 
Practices Specialist, Office of Safety, FRA, 400 Seventh Street S.W., 
Washington, D.C. 20590 (telephone: 202-632-3378); or Patricia V. Sun, 
Trial Attorney, Office of Chief Counsel, FRA, 400 Seventh Street S.W., 
Washington, D.C. 20590 (telephone: 202-632-3183).

SUPPLEMENTARY INFORMATION: 

FRA's 1994 Report to Congress

    In 1992, in section 11 of the Rail Safety Enforcement and Review 
Act (RSERA), Pub. L. No. 102-365, 106 Stat. 972, Congress required the 
Secretary of Transportation to conduct an inquiry into the Department's 
railroad radio standards and procedures (49 CFR part 220). As part of 
its inquiry, FRA conducted a field investigation of current voice 
communications technology and practice, held three Roundtable 
discussions on advanced train control technologies, published a notice 
of special safety inquiry (59 FR 11847; March 11, 1994), conducted a 
public hearing on voice radio communications, contracted with the 
Department of Commerce's Institute for Telecommunications Sciences for 
a technical evaluation of advanced train control systems, and consulted 
with other agencies within DOT and with staff of the Federal 
Communications Commission (FCC).
    After completing its inquiry, FRA concluded that railroad radio 
communications were generally good and had steadily improved since 
FRA's last major study of the area in 1987. Several issues arose, 
however. Compliance with the standards and procedures in part 220 was 
poor, possibly due to the inflexibility of FRA's regulations. Employees 
continued to report problems with radio equipment.
    In July 1994, therefore, FRA published its Report to Congress on 
Railroad Communications and Train Control (Report). At page xi of the 
Report, based on the findings of its inquiry, FRA committed to--
     Revising the Radio Standards and Procedures to make the 
regulations more flexible to promote improved compliance.
     Propose, as part of that rulemaking, including in the 
revised rule requirements that railroads provide suitable communication 
links between trains and dispatchers, and between locomotive engineers 
and ground employees, and that back-up systems be established for 
safety critical functions.
     Propose as a part of that rulemaking that each lead 
locomotive be equipped with an operative radio or suitable alternate 
communication equipment.
     Work with a major railroad and its employees to implement 
transmission of movement authorities by digital data railroad, in lieu 
of voice radio communications.
    In the Report, FRA found that radio related problems could be 
divided into two types: hardware concerns (problems involving 
technology application) and human interface concerns (problems 
involving the proper utilization of that technology in accordance with 
FRA regulations and railroad rules). Among the significant problems 
reported in some dispatchers offices were the following:

Hardware Concerns

     ``Bleed-over'' from neighboring dispatcher districts, as 
well as from automatic wayside detectors that overrode dispatching 
frequencies and interrupted radio transmissions with trains.
     Two or more incompatible communications systems in use in 
the same dispatcher's office.
     Lack of a dedicated emergency channel at some locations. 
Some communications systems lacked the capability to prioritize 
incoming calls into regular versus emergency calls.
     Inoperative radios, despite a considerable improvement in 
the reliability of locomotive onboard radios.
     Unusual atmospheric or terrain conditions, rather than 
equipment malfunctions, which disrupted even upgraded communications 
systems, including mobile and cellular telephone systems.

Human Interface Concerns

     Radio frequency congestion caused by nonessential 
transmissions and use of other than assigned frequencies.
     Train dispatcher and field employee failure to comply with 
required radio standards and

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procedures, including failure to transmit train orders properly, 
failure to transmit and repeat on-track authorities properly, failure 
to identify stations properly, and failure to self-identify properly.
     Under-utilization of available frequencies often created 
interference with radio transmissions. Yardmasters and terminal 
switching crews used channels intended for road train use. Channels 
intended exclusively for communication to dispatchers were particularly 
misused: road crews would use dispatching channels while adding or 
removing cars from their trains; maintenance of way workers would use 
dispatching channels to communicate with each other, even though 
separate channels were available for this purpose; and supervisors, 
administrative personnel, clerks, and even railroad taxi drivers would 
use dispatching channels for purposes unrelated to the safety of 
railroad operations.

The Railroad Safety Advisory Committee

    Also in 1994, FRA established its first formal regulatory 
negotiation committee to address roadway worker safety. This committee 
successfully reached consensus conclusions and recommended a NPRM to 
the Administrator, persuading FRA that a more consensual approach to 
rulemaking would likely yield more effective, and more widely accepted, 
rules. Additionally, President Clinton's March 1995 Presidential 
Memorandum titled ``Regulatory Reinvention Initiative'' directed 
agencies to expand their efforts to promote consensual rulemaking. FRA 
therefore decided to move to a collaborative process by creating a 
Railroad Safety Advisory Committee (RSAC or the Committee).
    RSAC is comprised of 48 representatives from 27 member 
organizations, including railroads, labor groups, equipment 
manufacturers, state government groups, public associations, and two 
associate non-voting representatives from Canada and Mexico. The 
Administrator's representative (the Associate Administrator for Safety 
or that person's delegate) is the Chairperson of the Committee. RSAC's 
purpose is to provide recommendations and advice to the Administrator 
on development of FRA's railroad safety regulatory program, including 
issuance of new regulations, review and revision of existing 
regulations, and identification of non-regulatory alternatives for 
improvement of railroad safety.
    FRA has tasked RSAC with safety issues to address, among them 
railroad communications. To address specific tasks, RSAC formed 
standing or temporary subcommittees, or working groups, comprised of 
knowledgeable persons from the organizations represented on RSAC. The 
composition of each working group was approved by the full committee. 
The Railroad Communications Working Group (Working Group or Group) was 
comprised of representatives from the following organizations:

American Public Transit Association (APTA)
The American Short Line Railroad Association (ASLRA)
Association of American Railroads (AAR)
Brotherhood of Locomotive Engineers (BLE)
Brotherhood of Locomotive Engineers, American Train Dispatchers 
Department (ATDD)
Brotherhood of Maintenance of Way Employees (BMWE)
Brotherhood of Railroad Signalmen (BRS)
Burlington Northern Santa Fe (BNSF)
Canadian Pacific Rail System (CP)
Consolidated Rail Corporation (Conrail)
CSX Transportation, Inc. (CSX)
Federal Railroad Administration (FRA)
International Brotherhood of Electrical Workers (IBEW)
National Railroad Passenger Corporation (Amtrak)
Norfolk Southern Corporation (NS)
Railway Progress Institute (RPI)
Transportation Communications International Union (TCU)
United Transportation Union (UTU)

    In its Task Statement (Task No. 96-3) to the Working Group, RSAC 
charged the Group to report back on the following issues:
    1. All matters relating to revision of the existing standards, 
including data required for regulatory analysis;
    2. Communications needs in support of train operations;
    3. Communications needs in support of switching operations; and
    4. The role of communications capability in emergency preparedness, 
including passenger service.
    The Working Group's goal was to produce a preamble and proposed 
rule text recommending revisions to the Radio Standards and Procedures 
contained in 49 CFR Part 220, that are warranted by appropriate data 
and analysis. The Group's recommendations would then be sent to RSAC 
for review. FRA would in turn utilize the consensus recommendations of 
RSAC as the basis for proposed and final agency action whenever 
possible, consistent with applicable law and Presidential guidance. The 
Group could also recommend specific safety policies and procedures that 
the group considered relevant but inappropriate for regulatory action.
    To accomplish this goal, the Working Group held ten meetings, all 
of which were open to the public. Summary minutes were taken, and have 
been placed in a docket available for inspection upon request. FRA 
worked in concert with the Group to develop this NPRM.
    After considerable debate, the Working Group agreed to recommend 
that Part 220 be amended as follows. First, more communications 
equipment would be required on trains operated by large railroads than 
on those operated by small railroads. Large railroads, defined as those 
with 400,000 or more annual employee work hours, would be required to 
equip each train with a working radio in each occupied controlling 
locomotive and with some means of redundant working wireless 
communications. For small railroads, each train's communication 
equipment requirements would be determined by a variety of factors, 
including whether the train transports passengers, hauls hazardous 
materials, engages in joint operations with large railroads, or 
operates above specified speeds.
    Second, for roadway workers, the working group also recommended 
that communication equipment requirements vary according to the size of 
the railroad. Large railroads would be required to equip maintenance of 
way equipment operating without locomotive assistance with a working 
radio; if multiple units are traveling together, only one of the units 
needs to be equipped but the operators of each unit would have 
communications capability with each other. Each employee designated by 
the employing railroad to provide on-track safety for a roadway work 
gang or gangs, and each lone worker would maintain immediate access to 
a working radio. Each maintenance of way work gang would also have to 
be provided intra-gang communications capability. Small railroads, in 
most cases, would have to provide each designated employee in charge, 
and each lone worker, with immediate access to working wireless 
communications, unless the railroad did not operate in excess of 25 
miles per hour. The foregoing communication requirements would not 
apply to roadway work locations that are inaccessible to trains.
    Third, this part would also be retitled to reflect its proposed 
coverage of other means of wireless communications such as cellular 
telephones and data radio terminals with keypads, that comply with the 
proposed communications redundancy requirements. The Working Group also 
recommended additional smaller changes, which are detailed in the 
section-by-section analysis portion of this NPRM.

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    At a meeting on March 24, 1997, RSAC voted to recommend that the 
Administrator issue this document as a proposed Federal regulation and 
continue the rulemaking procedures necessary to adopt its principles in 
a final rule. At the conclusion of the comment period on this proposal, 
FRA will work with the Working Group in developing a final rule.
    The section-by-section analysis discusses all of the proposed 
amendments to part 220.

Scope

    As part of its charter, the Group considered whether to include 
other types of radios currently in use in railroad operations such as 
data radios, digital radios and ``packet radios'' (cellular phone 
packet data) in part 220. The Group decided, however, that it was 
premature to expand application of this rule to new technologies, such 
as positive train control and data transmission systems, that are still 
undergoing research, development, and testing. Automatic train control, 
which is the subject of ongoing program development, will not be 
addressed in this rulemaking.
    As proposed, part 220 would not only include procedures for voice 
radios (radios that utilize dedicated frequency channels for voice 
communications), but would also, for the first time, mandate when 
working radios are required to be used. FRA also proposes to expand the 
rule to cover non-radio means of wireless communications, such as 
cellular telephones and data terminals with keypads, since the Working 
Group decided to require such equipment as either the primary or the 
secondary means of communication for most types of railroad operations. 
The proposed rule (with the exceptions of Secs. 220.37 and 220.38, 
discussed in the section-by-section analysis) does not contain 
procedures for non-radio wireless communications, however. FRA is still 
considering this issue, and asks for comment on whether such procedures 
are needed, and what they should contain.
    All of these proposals are discussed in more detail below.

Proposed Effective Dates

    It is currently contemplated that the final rule would be effective 
120 days after publication, except for Secs. 220.9 and 220.11. Sections 
220.9 and 220.11 would be effective July 1, 1998 for each railroad:
    (1) Providing commuter service in a metropolitan or suburban area;
    (2) Providing intercity passenger service; or
    (3) That has 400,000 or more annual employee work hours in 1997.
    Sections 220.9 and 220.11 would be effective July 1, 1999 for each 
railroad that has fewer than 400,000 annual employee work hours in 
1997.

Impact on Small Railroads

    On June 27, 1996, the Small Business Regulatory Enforcement Act of 
1996 (SBREFA) (Pub. L. 104-121), went into effect. The SBREFA requires 
an administrative agency, when conducting a rulemaking, to focus 
particular attention on the rule's potential economic impacts on small 
entities.
    The Small Business Administration (SBA) defines ``small entity'' by 
industry in regulations issued pursuant to 15 U.S.C. Sec. 632. In 13 
CFR Secs. 121.401-407 and Sec. 121.601, the SBA defines a small entity 
as any ``railroad, line-hauling operation'' with 1,500 or fewer 
employees, and any ``railroad switching and terminal establishments'' 
with 500 or fewer employees. Temporary, full- and part-time workers are 
included as employees, as are employees of independent contractors in 
certain circumstances (see 13 CFR Sec. 121.404 for the full list of 
defining criteria). The total number of employees is calculated by 
averaging the number of temporary, full- and part-time workers used 
over the preceding 12-month period.
    According to SBA guidance, FRA can use a different definition of 
small entity for purposes of the SBREFA, so long as FRA consults with 
the SBA, notifies the public in its proposed rules and proposed 
regulatory flexibility analyses that it is not using the SBA number 
system, and requests comments on the definitions it uses. FRA must also 
provide this notification whenever, in a proposed or final rule, it 
certifies that the rule will have no significant impact on small 
entities. To delineate between small and large railroads, for purposes 
of this rulemaking, FRA proposes to adopt the reporting cut-off used in 
49 CFR parts 217 and 219 (Railroad Operating Rules and Control of 
Alcohol and Drug Use, respectively) of 400,000 annual employee work 
hours (as determined in 1997, the year before implementation). Thus, 
small railroads would be those with fewer than 400,000 annual employee 
work hours; large railroads would be those with 400,000 or more annual 
employee work hours. FRA anticipates that the proposed cut-off of 
400,000 annual employee work hours would cover all Class I and II 
railroads. ASLRA, who represents the interests of small railroads on 
the Working Group, agrees with FRA's proposed definition of small 
railroads for purposes of this rule.
    Recognizing that smaller railroads have unique concerns, FRA 
proposes different communication equipment standards and a longer 
implementation period for small railroads. FRA's purpose is to allow 
small railroads more flexibility without compromising safety. 
Throughout this preamble, the rationale for FRA's proposed treatment of 
small railroads will be discussed in detail.
    The timetable for implementation would, of course, be determined by 
the date of issuance of the final rule. As target dates, however, FRA 
proposes to allow all railroads four months after final rule 
publication to implement the new streamlined procedures, since the 
proposed amendments should not require extensive investment or 
retraining. FRA would phase-in implementation of radio/wireless 
equipment purchase, however, to allow for railroad budget cycles and 
the need to place orders. Small railroads would be allowed an extra 
year to prepare for the required capital investment.
    Thus, under FRA's proposal, the final rule would be effective 120 
days after publication, except for Secs. 220.9 and 220.11. Sections 
220.9 and 220.11 would be effective July 1, 1998 for railroads 
providing commuter service in a metropolitan or suburban area, 
railroads providing intercity passenger service (as used here and in 
Sec. 220.21, this phrase allows for the expansion of passenger service 
by providers other than Amtrak), and railroads with 400,000 or more 
annual employee work hours in 1997. Sections 220.9 and 220.11 would be 
effective July 1, 1999 for railroads with fewer than 400,000 annual 
employee work hours in 1997. Carriers should not wait until the final 
rule becomes effective to begin preparations for implementation of the 
new requirements, however.
    FRA invites comment on the classification system it has chosen as 
well as on these target implementation dates.

Communications Equipment Requirements for Trains

Railroads With 400,000 or More Annual Employee Work Hours

    For large railroads, FRA proposes to mandate working radios as the 
primary means of communication for train crews, with some form of 
redundant wireless communications capability. Reliable, high-quality 
radio communications help ensure that movement authorities are clearly 
understood, that emergency assistance can be quickly requested in the 
event of

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an accident, and that emergency and security warnings can be 
transmitted.
    Moreover, large railroads already rely heavily on radios because of 
the decrease in standard train crew size. Formerly, when crews 
consisted of up to five employees (the engineer, conductor, head 
brakeman, rear brakeman, and fireman), hand/lantern signals were used 
for intra-crew communications. Now, the standard road train crew is 
commonly composed of an engineer and conductor. While the use of radios 
has led to greater operating efficiency, today's smaller crews rely 
more heavily on voice radio for the conduct of switching operations.
    Crews also need to have immediate communications capability to 
handle obstructions, derailments, injuries, and other unanticipated 
events. The withdrawal of train order operators and other 
communications media from the rights of way, together with the 
reductions in train crew size and lengthening of crew districts, makes 
radio the primary means of emergency communication.
    Based on a recent AAR survey, large railroads already provide most 
of their lead locomotives with all-channel radios that allow 
communications between trains and the dispatching center. Most 
railroads also already have policies that require the train's radio to 
be operational at the time of departure.
    The Group therefore recommended to require that the controlling 
locomotive in a train be equipped with a working radio upon departure 
from a terminal. The controlling locomotive must be equipped with a 
working radio only when the locomotive is occupied by an assigned train 
crew and the train is involved in railroad operations. Clearly, if a 
locomotive is unoccupied, there is no one who needs to communicate from 
it.
    To address the possibility that a radio may fail en route, the 
Working Group recommended that each train also have a form of working 
wireless communications upon departure from a terminal. If the radio in 
the controlling locomotive should fail en route, a standby radio, a 
radio on another locomotive in the consist (e.g., a push-pull passenger 
train), or another form of wireless communication will be available as 
a backup until the primary radio can be either repaired or replaced. To 
ensure that a required communication device is working, the device must 
be tested prior to the commencement of a work assignment, a removed 
from service if it is found not be functioning as intended. The Working 
Group decided that wireless communications must be able to reach the 
railroad's control center or an emergency responder, since their 
purpose is mainly emergency notification.

Railroads With Fewer Than 400,000 Annual Employee Work Hours

    Small railroads usually operate short trains, over short distances, 
at slow speeds. They are often located in industrial parks or other 
clearly defined areas where train crews are able to maintain constant 
visual contact during railroad operations. For many of these railroads 
(unlike larger ones), equipping train crews with a working radio and 
some means of redundancy would entail not just a capital investment in 
equipment, but also the hiring of dispatchers and the building of base 
units. Many small railroads already use cellular telephones, not 
radios, as their primary means of communication.
    When operating passenger trains, however, small railroads face the 
same heightened safety considerations as larger ones. For example, if a 
derailment or other emergency occurred, it is crucial that the crew and 
dispatcher be able to communicate with each other. Therefore, small 
railroads would also be required to equip their passenger trains with a 
working radio on each occupied controlling locomotive, and some form of 
communications redundancy.
    For freight trains, requirements would be determined by two 
factors: whether the train operates at greater than 25 miles per hour, 
and whether the train engages in joint operations on the tracks of a 
large railroad. The varying requirements for freight trains operated by 
small railroads will be discussed in more detail in the analysis of 
Sec. 220.9.

Communications Equipment Requirements for Roadway Workers

    On December 16, 1996, FRA published a final rule on Roadway Worker 
Safety (61 FR 65959). That rule was the product of a negotiated 
rulemaking involving several of the same parties participating in the 
Working Group. The Roadway Worker Safety rule will bring about 
significant improvements in the protection afforded workers conducting 
duties on or adjacent to live track. That rule makes careful 
distinctions in the type of protection that must be afforded under a 
variety of common circumstances, and responsibility is placed jointly 
on railroad supervision and workers to ensure that proper protection is 
requested and afforded. The Working Group noted that provision of good 
communications capability could encourage compliance with these 
requirements while facilitating provision of the required protection. 
This factor, plus the ability of roadway workers to quickly apprise the 
control center or approaching trains of unsafe conditions along the 
right of way, at a highway-rail crossing, or in a train inspected for 
dragging equipment and other problems as it ``rolled by'' a work site, 
led the Working Group to recommend the communication requirements 
contained in this proposal.

Railroads With 400,000 or More Annual Employee Work Hours

    The draft language in Sec. 220.11 requires railroads to determine 
who should have access to a working radio by employee function. After 
considerable debate, the Working Group concluded that two categories of 
roadway workers, the Designated Employee in Charge (as defined in 
Subpart C of 49 CFR part 214, Railroad Workplace Safety) of a roadway 
work group, and the lone worker, must maintain immediate access to 
working radio. The term ``maintain immediate access'' is discussed 
below in the section dealing with communication requirements for 
roadway workers of railroad with fewer than 400,000 annual employee 
work hours.
    A designated Employee in Charge and a lone worker have analogous 
communications need. In each case, the employee must be qualified on 
the physical characteristics of his or her assigned territory, and in 
each case, the employee is responsible for providing protection, with 
the difference that the Designated Employee in Charge is responsible 
for an entire roadway gang, while the lone worker is responsible only 
for him or herself. (Not every roadway worker who works alone is 
considered a lone worker, however. Under Sec. 214.7 of FRA's 
regulations on Roadway Workplace Safety, a lone worker is defined as an 
individual roadway worker who is not being afforded on-track safety by 
another roadway worker, who is not a member of a roadway work gang, and 
who is not engaged in a common task with another roadway worker.)
    Maintenance of way equipment traveling as a train between work 
locations would also have to be equipped with at least one working 
radio. Thus, when several maintenance of way units move in tandem, at 
least one of the units would have the capacity to communicate with the 
control center in the event of an emergency. If several maintenance of 
way units are physically separated, only one unit would have to be 
equipped with a working radio, provided that all of the units are under 
the control of the same employee. The

[[Page 34548]]

operators of each additional piece of maintenance of way equipment 
would be required to have wireless communications capability with each 
other.
    Large railroads would also have to provide each maintenance of way 
gang with intra-gang wireless communications capability upon the gang's 
arrival at the work site to enable gang workers to communicate movement 
authorities and other need to know information to each other.

Railroads With Fewer Than 400,000 Annual Employee Work Hours

    In the case of small railroads, the Designated Employee in Charge 
(as defined in subpart C of 49 CFR part 214, Railroad Workplace Safety) 
of a roadway work group, and the lone worker, must maintain either 
immediate access to a working radio or working wireless communications. 
FRA would allow small railroads an alternative to providing immediate 
access to a working radio, since railroads operate at a lower volume, 
often over single track, in limited territories, where the greater 
broadcast capability of a radio is unnecessary. In these circumstances, 
employees usually know where each other is located.
    By ``maintain immediate access,'' FRA intends that the radio or 
wireless communication equipment be either on the employee's person, or 
for the radio, sufficiently close to the employee to allow the employee 
to make a transmission and receive radio transmissions. As a rule of 
reason, this means that a required communications device must be both 
supplied by the railroad and used by the employee. To maintain 
immediate access, the employee must stay within easy hearing distance 
of the communications device so that he or she can continue to monitor 
transmissions. For example, a signal maintainer climbing a signal tower 
could maintain immediate access by carrying a portable radio, or by 
staying within easy hearing distance of the radio speaker mounted on 
his or her vehicle.
    There are three exceptions, however, where FRA believes that the 
risk presented by slow, infrequent trains would be so minimal that no 
means of communication would be required. No communication equipment 
would be required if a small railroad does not operate trains in excess 
of 25 miles per hour. For all railroads, both large and small, no 
communication equipment would be required if the work location of the 
roadway work gang or lone worker is physically inaccessible to trains, 
or has no through or adjacent traffic when roadway workers are present.

Non-radio Wireless Communications Procedures

    As mentioned above, due to time restrictions, the Group did not 
fully debate the issue of whether to propose procedures for the use of 
non-radio wireless communications that would parallel the radio 
procedures in Subpart B of this part. Instead, the Group decided to 
reserve the scope of this issue for the final rule. FRA asks for 
comment on whether such procedures are necessary (e.g., is ordinary 
telephone etiquette sufficient for cellular telephones), and on the 
following questions posed by the Group.
    If FRA decides to adopt non-radio wireless procedures, should they 
be incorporated into part 220 or implemented in a separate rule? With 
non-radio wireless communications, do the same opportunities for 
misunderstanding exist as with radio? How would FRA enforce non-radio 
wireless procedures (e.g., ``over and out'' with cellular telephones) 
since usually only one party to the conversation can be overheard? 
Should radio procedures apply to the transmission of mandatory 
directives by wireless communications? Should there be wireless 
communications procedures to handle en route failure? Some railroads 
already address non-radio wireless procedures in their operating rules.

Reframing of Radio Frequencies

    The Federal Communications Commission (FCC) regulates the radio 
frequencies used by the railroad industry. FRA will continue to monitor 
FCC actions dealing with the bandwidth of channels utilized by 
railroads, and many propose modifications to this part to reflect FCC 
decisions.

Emergency Order No. 20

    On February 22, 1996, FRA issued Emergency Order (EO) No. 20, 
notice no. 1 (61 FR 6876), which required commuter and intercity 
passenger railroads to develop interim safety plans and improved 
operating rules designed to ensure the safety of passengers in the 
leading car of a train. In EO No. 20, notice no. 2, published on March 
5, 1996 (61 FR 8703), FRA modified the signal calling provision in 
notice no. 1. Essentially, during specified types of push-pull and 
multiple unit operations, designated crew members must orally 
communicate wayside signal aspects to the crew in the controlling 
locomotive. Notice no. 2 also states that ``[i]f necessary due to a 
radio equipment failure, alternative means shall be established by the 
operating crew (e.g., via intercom, cellular telephone etc.) to 
accomplish this procedure.''
    While the crew communication requirements in EO No. 20 affect and 
are affected by this NPRM's proposed revisions to part 220, FRA will 
not address this issue here. Instead, FRA will discuss crew 
communications in its second NPRM on passenger equipment standards, 
which is anticipated to be issued in 1998.

Section by Section Analysis

Subpart A--General

Section 220.1  Scope

    As explained earlier in this preamble, FRA proposes to expand the 
scope of this part to allow for newer forms of technology that are 
already in use. For this reason, FRA proposes to change the phrase 
``radio communications'' to ``wireless communications'' and to add the 
definitions of ``working radio'' and ``working wireless 
communications'' to this part.

Section 220.2  Preemptive Effect

    FRA proposes to add a preemption section, which would parallel the 
preemption language in 49 U.S.C. Sec. 20166.

Section 220.3  Application

    This section would remain unchanged.

Section 220.5  Definitions

    Throughout the rule, FRA proposes to substitute ``locomotive'' for 
``engine'' wherever that term appears. The term ``locomotive'' is more 
encompassing, since it also include cab cars and MU units.
    The following is an explanation of each definition that FRA 
proposes to add or amend.
    Control center. In the past, most railroads issued instructions 
from numerous dispatching offices distributed throughout their 
territory. Today, radio communications and other advanced technologies 
have enabled most railroads to centralize management of their 
operations in fewer locations. By control center, FRA means the 
locations from which a railroad issues instructions governing its 
operations.
    Employee. The Rail Safety Enforcement and Review Act (RSERA) (1992) 
clarified that FRA's safety jurisdiction extends to all entities, 
including contractors and their employees, that may violate the 
railroad safety laws. The amended definition of employee would include, 
besides contractors and their employees, and

[[Page 34549]]

individuals authorized by railroads who use radios, or any other form 
of wireless communications in connection with railroad operations.
    Joint operations. This term refers to operations by a small 
railroad on the tracks of a large railroad (one with 400,000 or more 
annual employee work hours). Under Sec. 220.9, a train operated by a 
small railroad that would otherwise be exempt from meeting the 
communication equipment standards would be required to have either a 
working radio or working wireless communications when engaged in 
certain types of joint operations. The proposed definition allows an 
exclusion for interchange operations.
    Lone worker. For consistency, FRA proposes to incorporate this 
definition from its recently published final rule on Roadway Worker 
Protection [61 FR 65959, December 16, 1996].
    Mandatory directive. Throughout part 220, FRA proposes to replace 
the term ``train order'' with ``mandatory directive.'' A mandatory 
directive carries the same authority as the traditional train order, 
but also includes speed restrictions and other types of movement 
authority such as direct train control authorities and track warrants.
    Railroad operation. The proposed definition would substitute 
``locomotive'' for ``engine'' to be consistent with the terminology in 
the remainder of the rule, and would make an editorial change from 
``single'' to ``singly.''
    Roadway worker. For consistency, FRA would also incorporate this 
definition from the recently published final rule on Roadway Worker 
Protection.
    Train. Under this definition, any railroad operation subject to the 
air brake testing requirements of 49 CFR part 232 would be considered a 
train for purposes of this rule. In proposing this definition, the 
Working Group sought to exclude switching operations, and the assembly 
or disassembly of rail cars within a railroad yard, both of which do 
not require an air test. However, the definition does include transfer 
trains, particularly long-distance yard-to-yard movements.
    Working radio. By working radio, FRA means one with an adequate 
power source, free of mechanical malfunctions, that can both transmit 
and receive communications to and from the railroad's control center 
from any location within the rail system (through repeater stations, if 
necessary). In the case of joint operations on another railroad, the 
radio must also be able to reach the control center of the host 
railroad.
    A radio satisfies this definition even if temporary fluctuations or 
interference from weather or terrain occur. (It should be noted, 
however, that under Sec. 220.45 of this part, any communications which 
are not fully understood or completed may not be acted upon and must be 
treated as if not sent). Railroads must maintain the communications 
capability to broadcast over every territory on which they operate, 
however.
    Some members of the Working Group have suggested that railroads be 
permitted to define coverage limits that exclude certain territories, 
such as lightly used branch lines in areas uniformly affected by 
extreme topography, where the cost of placing repeater stations might 
be significant in relation to the benefits afforded. FRA recognizes 
that this issue deserves further consideration and requests comment 
regarding whether the final rule should contain language permitting 
exclusions to ``coverage.'' If so, under what specific conditions might 
this be appropriate? FRA also notes that railroads may petition for 
waivers of these proposed requirements in accordance with the 
procedures contained in 49 CFR part 211 (FRA's Rules of practice); 
however, FRA would prefer for this issue to be resolved within the text 
of the final rule.
    Working wireless communications. As discussed above, FRA proposes 
to require communications redundancy to compensate for failed radio 
communications due to interference, equipment failure, transmission 
difficulties and other problems which will occur even with the most 
advanced equipment.

Section 220.7  Penalty

    As explained above, the RSERA expanded coverage of FRA's 
regulations to include contractors and their employees. FRA proposes to 
amend this section to make clear that this part applies not only to 
railroads but also to any other entity that may violate this part, 
including independent contractors who provide goods and services to 
railroads and the employees of such contractors. In other words, any 
person who is authorized by a railroad to use its wireless 
communications facilities must comply with part 220 procedures, 
regardless of whether the person has a direct employment relationship 
with the railroad.
    FRA would also amend this section to raise the minimum penalty for 
violations of this part from $250 to $500, as already required by the 
RSERA.

Section 220.9  Requirements for Trains

Paragraph (a)
    As discussed above in the section analyzing FRA's proposed 
communications equipment requirements for trains, large railroads would 
be required to equip all trains with a working radio in the controlling 
locomotive and with a back-up means of wireless communications. This 
requirement would apply to both freight and passenger operations.
Paragraph (b)
    As discussed above, small railroads would have to meet the same 
heightened communication equipment standards as large railroads when 
operating passenger trains. Thus all passenger trains, regardless of 
the size of the operating railroad, would have to be equipped with both 
a working radio in the controlling locomotive and with redundant 
working wireless communication equipment.
    For freight trains, the communication requirements are determined 
by two factors: train operating speed, and extent of joint operations. 
If a freight train operates at greater than 25 miles per hour, or 
engages in joint operations on track where the maximum authorized speed 
for freight trains is greater than 25 miles per hour, the train must be 
equipped with a working radio in the controlling locomotive. Similarly, 
a freight train engaged in joint operations on track in proximity to 
track where the maximum authorized speed for passenger trains is 
greater than 40 miles per hour must also be equipped with a working 
radio in the controlling locomotive. The proposed cutoff in 
subparagraph (b)(2)(B), ``within 30 feet measured between track center 
lines of another track,'' is one of the criteria used to determine the 
extent of FRA's jurisdiction over tourist and historic railroads.
    In the conditions described above, FRA would require the crew of 
the freight train to have a working radio to enable them to communicate 
with the host railroad's control center and the other trains on the 
host railroad. For example, if a freight train went into emergency or a 
hazardous materials release occurred, the crew of the freight train 
could broadcast a warning to the crew of a nearby passenger train, in 
addition to the control center.
    A train that engaged in joint operations on track where the maximum 
authorized speed for freight trains is 25 miles per hour or less would 
be required to have working wireless communications, but not a working 
radio in the controlling locomotive.

[[Page 34550]]

    Finally, a train that did not transport passengers or engage in 
joint operations, would also be required to have working wireless 
communications if it transported hazardous materials. No communication 
equipment would be required for a train that did not transport 
passengers or hazardous material, and did not engage in joint 
operations or operate at greater than 25 miles per hour.

Section 220.11  Requirements for Roadway Workers

Paragraph (a)
    As discussed above, a small railroad would not need to provide 
communications equipment if its trains do not operate in excess of 25 
miles per hour. In addition, in the section analyzing FRA's proposed 
communications equipment requirements for roadway workers, large 
railroads would have to provide a working radio to maintenance of way 
equipment moving to or from a work location, or between multiple work 
locations on the same day. The radio would enable the roadway work gang 
to contact the control center when traveling. A unit of equipment 
traveling alone would also need to be radio equipped.
Paragraph (b)
    As discussed above, large railroads would have to provide each 
Designated Employee in Charge, and each lone worker, with immediate 
access to a working radio. Small railroads would have the option of 
providing immediate access to either a working radio or working 
wireless communications.
Paragraph (c)
    As discussed above, a railroad, regardless of size, would not be 
required to provide communication equipment whenever the work location 
of the roadway work gang or lone worker is physically inaccessible to 
trains, or has no through or adjacent traffic when roadway workers are 
present.

Section 220.13  Reporting Emergencies

    In this new section, FRA seeks to emphasize that an employee's 
first priority, in the event of an emergency, is to notify the railroad 
using the quickest means of communications available. An employee 
should notify the proper authorities before undertaking other forms of 
emergency response, such as medical treatment or evacuation, to ensure 
that properly trained and equipped personnel respond to the scene as 
quickly as possible. In reporting emergencies, the employee is to 
follow the procedures in Sec. 220.47 of this part when using a radio, 
or the procedures specified in the railroad's time table, or timetable 
special instructions when using another means of wireless 
communications. Operating rules, timetables, and timetable special 
instructions are required to be filed under Sec. 217.7 of 49 CFR part 
217 (Railroad Operating Rules).
    Because this section includes language originally in 
Sec. 220.47(a), which also covers emergency procedures, Sec. 220.47 
would now only include the requirement that an initial radio 
transmission begin with the word ``emergency'' repeated 3 times.

Subpart B--Radio and Wireless Communication Procedures

    FRA proposes to retitle Subpart B to make clear that the definition 
for working wireless communications, like that for working radio, 
requires that communications equipment be tested and in working 
condition before a work assignment commences. The title to this Subpart 
would be changed to reflect that wireless communication equipment is 
covered by Secs. 220.37 and 220.38; section titles in this Subpart that 
apply only to radio operations have accordingly also been retitled to 
reflect that fact.

Section 220.21  Railroad Operating Rules; Radio Communications: 
Recordkeeping

    FRA proposes to delete the implementation dates from this section 
since these references are no longer necessary.
Paragraph (b)
    The proposed changes to paragraph (b) are strictly editorial. In 
paragraph (b)(1), as explained above in the discussion on effective 
dates, the phrase ``each railroad providing intercity rail service'' 
allows for future expansion of passenger service by providers other 
than Amtrak.
Paragraph (c)
    This paragraph makes clear that FRA would retain the carrier 
classifications (Class I, II, and III railroads) originally created by 
the former Interstate Commerce Commission (ICC). The Department's 
Surface Transportation Board, which succeeded the ICC, has not changed 
these classifications.

Section 220.23  Publication of Radio Information

    The proposed changes are all editorial.

Section 220.25  Instruction and Operational Testing of Employees

    Other than one editorial amendment (from ``[e]ach employee who is 
authorized * * *'' to [e]ach employee who a railroad authorizes * * 
*''), the only proposed change in this section is the addition of 
paragraph (c).
Paragraph (c)
    This paragraph would require each railroad to conduct testing on 
the procedures in this part in accordance with the written program of 
operational tests and inspections required to be filed under Sec. 217.9 
(Railroad Operating Rules, 49 CFR Part 217). Railroads would have to 
test employees on radio procedures in conjunction with the already 
required periodic operating rules tests.

Section 220.27  Identification

Paragraph (a)
    FRA proposes to delete paragraph (a)(3), which required an employee 
(usually the dispatcher) to identify the location of the wayside, base, 
or yard station from which the employee is broadcasting. This 
requirement is now superfluous for those railroads that use central or 
regional dispatching, with a single station for each dispatching 
system. Where this is the case, each dispatching station has a unique 
designation, so that stating that designation would be sufficient 
identification. FRA hopes that streamlining the identification 
requirements will help to reduce radio congestion. If a station does 
not have a unique designation, both the station's name and location 
should continue to be stated.
    The other proposed change would merely combine paragraphs (a)(2) 
and (a)(3) into one paragraph.
Paragraph (b)
    As explained above, FRA proposes to substitute ``locomotive'' for 
``engine'' wherever it appears in the rule. FRA would also delete 
``pakset'' and ``caboose'' since these are no longer widely used terms.

Section 220.29  Statement of Letters and Numbers in Radio 
Communications

    This section would be retitled to limit its applicability to radio 
communications.
Paragraph (b)
    FRA proposes to delete the word ``precision'' as unnecessary, and 
to make other editorial changes such as suggesting a station name as an 
example of what must be spelled for clarity.

[[Page 34551]]

Paragraph (c)
    This paragraph would be amended to provide that a decimal point 
could also be indicated by the use of the words ``dot'', or ``point,'' 
in addition to ``decimal''.

Section 220.31  Initiating a Radio Transmission

    This section would be retitled to limit its applicability to radio 
communications.
    The only proposed changes to the section itself would be to make it 
gender-neutral, by substituting ``the employee'' for ``he'' or ``his.'' 
Similar changes have been made throughout the proposed rule text.
    At one Working Group meeting, it was noted that the current 
regulation differs from practice in other industries because it 
requires the caller to identify him or herself before identifying the 
intended receiver. In the aviation industry, for example, the reverse 
order is followed, with the caller first identifying who he or she 
seeks to contact, and then identifying him or herself. The Group 
debated whether adopting this reverse order of identification could 
reduce dispatcher fatigue and requests for repeats by allowing 
dispatchers to listen specifically for transmissions that are addressed 
to the control center. The Group elected to make no changes; FRA 
invites comment on whether reversing the current identification order 
would improve the quality of railroad communications.

Section 220.33  Receiving a Radio Transmission

    This section would be retitled to limit its applicability to radio 
communications.
Paragraph (a)
    The only proposed change would clarify that an employee need not 
monitor the radio when other immediate duties intervene, but must 
resume monitoring once those circumstances are over.
Paragraphs (b) and (c)
    FRA would delete paragraph (b) since it would be made redundant by 
proposed paragraph (a). Current paragraph (c) would be redesignated as 
paragraph (b).
    Unless required by a railroad's operating rules, FRA does not 
propose to require a railroad employee to copy the following 
instructions when in signaled territory: permission to pass a stop 
signal, occupy main track in CTC territory or to move with the current 
of traffic, make a reverse movement within the limits of the same 
block, and permission for foul time. This is because the instructions 
are advisory in nature, and that, in these instances the train either 
already possesses authority to occupy the main track by signal 
indication, or the operating rules themselves convey this authority. 
Similarly, information such as trespassers or debris on track ahead 
usually involve imminent conditions that may change by the time the 
next train passes by, and are also advisory in nature. While these 
short-term instructions must be repeated, they need not be copied since 
they will soon be acted upon. In contrast, in non-signaled territory, 
occupancy of, or fouling a main track typically requires some form of 
initial movement authority from the train dispatcher or control 
operator, and, therefore, must be in writing.
    On the other hand, copying is necessary when an order will be acted 
upon later, or is of a long-term nature. In such instances, FRA 
believes that an employee must have a written reference to avoid the 
risk that the employee may later rely on a faulty recollection of the 
instruction.
Paragraph (b)(1)
    FRA would continue to allow communications involving yard switching 
operations to be transmitted without having to be repeated back to the 
transmitting party. Switching that involves occupying or potentially 
fouling main track may present different kinds of risks than switching 
in a yard environment. Yard channels are more subject to overcrowding 
because of their volume of operations.
    Some members of the Working Group would prefer to omit the 
requirement to repeat communications in all circumstances where 
switching is being performed. FRA requests further comment on this 
issue and will ensure full reconsideration in the Working Group prior 
to publication of a final rule.

Section 220.35  Ending a Radio Transmission

    This section would be retitled to limit its applicability to radio 
communications.
    In its 1994 Report, FRA noted that this section has been widely 
disregarded, and expressed doubts about whether continuing to enforce 
this section would be the best use of agency resources. For this 
reason, at one of the Working Group meetings, FRA suggested making 
``over and out'' a recommended practice instead of a required one. In 
FRA's experience, when railroads rigidly enforce ``over and out'', 
superfluous conversations disappear and radio discipline improves. 
Nevertheless, this section remains the least complied with in part 220, 
and there is potential individual liability for both railroad officers 
and employees who fail to comply with this requirement.
    As the Working Group deliberations closed, there was disagreement 
regarding the appropriate treatment of this provision. FRA has retained 
the existing provision in the rule text as proposed in this NPRM with 
the expectation that the matter can be resolved in the Working Group at 
the final rule stage.
    FRA seeks comment on this issue. Should FRA enforce this section 
against individuals? Would agency resources be better spent ensuring 
that the proper parties act on a transmission? If so, how could this be 
done? Are there alternate, equally effective ways to indicate the end 
of a transmission? Is this procedure necessary when the dispatcher has 
achieved a one-to-one identification with a particular employee? If 
retained, should this requirement be enforced in terminals?

Section 220.37  Testing Radio and Wireless Communication Equipment

    As discussed above, this section would be retitled and expanded in 
scope to cover testing of all the communication equipment required by 
Secs. 220.9 and 220.11.
Paragraph (a)
    By substituting ``as soon as practicable'' for ``at least once 
during each tour of duty,'' FRA proposes to require the engineer and 
conductor to perform a voice test at the start of their tour. 
Currently, this section allows a crew to perform a voice test at any 
point during their trip. Revising this section would prevent the crew 
from delaying the test, e.g., not performing a voice test until right 
before the first time the crew uses the radio. A crew should not wait 
until they are several hours into their trip before checking to see 
whether the radio works properly or whether it needs to be replaced.
    FRA would also delete the phrase ``outside yard limits'' to ensure 
that a voice test is conducted even when a train does not leave yard 
limits, and the phrase ``where the train is made up'' to make clear 
that at each intermediate crew change point, the new crew must perform 
a voice test at the start of their tour.
Paragraphs (b) and (c)
    Existing paragraphs (b) and (c) would be deleted, since these 
requirements

[[Page 34552]]

would be covered in proposed Sec. 220.38, discussed below. A new 
paragraph (b) would be added requiring that the test of a radio shall 
consist of voice transmissions with another radio. The employee 
receiving the transmission shall advise the employee conducting the 
test of the clarity of the transmission.
    FRA has not specified the testing procedures that must be followed 
for other forms of wireless communications. FRA seeks comments on 
whether the rule should specify such testing procedures and, if so, 
what these procedures should contain.

Section 220.38  Communication Equipment Failure

    This section is new and covers the equipment failure of all the 
communication equipment required by Secs. 220.9 and 220.11.
Paragraph (a)
    In the current rule, only Sec. 220.41, which merely requires that 
the employee notify the proper authorities, addresses the issue of 
radio failure. In addition to notification, this proposed section would 
also require that inoperative radios and other mandatory wireless 
communication equipment be removed from service as soon as they are 
discovered.
Paragraph (b)
    If a radio fails en route, the controlling locomotive could proceed 
until the earlier of, the next calendar day inspection or the nearest 
repair point where the equipment could be repaired or replaced. The 
movements allowed for radio repair in paragraph (b) mirror those found 
in 49 CFR Sec. 229.9(b), which specifies the movements allowed for 
repair of non-complying locomotives. Members of the working group asked 
that comment be requested regarding flexibility for designation of 
repair points. For instance, in order to encourage aggressive action to 
replace failed radios, should the rule expressly provide that placement 
of one or more radios on locomotives at a particular location does not 
constitute that location as a ``repair point''?

Section 220.39  Continuous Radio Monitoring

    This section would be retitled to limit its applicability to radio 
communications. The intent of the other proposed changes is strictly 
editorial. This section would continue to be written in terms of the 
radio, not the employee, to make clear that it requires the radio to be 
constantly monitored, but does not require every employee to monitor. 
Only the employee who is custodian of the radio would be responsible 
for ensuring monitoring.

Section 220.41  Notification on Failure of Radio

    Proposed Sec. 220.38, discussed above, which also addresses radio 
and equipment failures, would make this section redundant. FRA would 
therefore remove and reserve this section.

Section 220.43  Radio Communications Consistent With Federal 
Regulations and Railroad Operating Rules

    This section would be retitled to limit its applicability to radio 
communications, and amended to make an editorial change (``must'' to 
``shall''). As reworded, this section would make explicit what had 
previously been implicit, by requiring a radio communication to comply 
with this part and with FCC regulations, in addition to the railroad's 
operating rules.

Section 220.45  Radio Communications Shall be Complete

    This section would be retitled to limit its applicability to radio 
communications, but would otherwise remain unchanged.

Section 220.47  Emergency Radio Transmissions

    This section would also be retitled to limit its applicability to 
radio communications. As mentioned above in the discussion on proposed 
Sec. 220.13, Sec. 220.13(a) would include the language originally in 
Sec. 220.47(a). FRA would retain the requirement that an initial 
transmission begin with ``emergency'' repeated 3 times, however 
(subsequent transmissions do not have to begin this way). In this 
section, FRA therefore proposes to delete paragraph (a). Additionally, 
FRA would change the word ``transmission'' to ``communication,'' to 
emphasize that the emergency frequency or channel must be kept clear 
for the duration of the two-way conversation between the reporting 
employee and the emergency responder.

Section 220.49  Radio Communication Used in Shoving, Backing or Pushing 
Movements

    This section would be retitled to limit its applicability to radio 
communications. In the title of this section, the term ``shoving'' 
would be substituted for ``switching.'' The proposed title would make 
clear that this section applies to back-up moves only. The term 
``switching'' is irrelevant, since this section also applies when road 
trains make back-up moves.
    The phrase ``in lieu of hands signals'' would be deleted to 
emphasize that this section applies whenever a radio is used. FRA also 
proposes to substitute ``continual'' for ``continuous,'' since the 
former implies a succession of occurrences that are very close 
together, with only small breaks between them; while the latter implies 
an unbroken succession of occurrences. This editorial change would 
clarify that employees are not required to converse ceaselessly when 
using radio communication to make a shoving, backing or pushing 
movement.

Section 220.51  Radio Communications and Signal Indications

    This section would be retitled to limit its applicability to radio 
communications. In paragraph (b), FRA proposes to delete the phrase 
``in automatic block territory'' to emphasize that the prohibition 
against conveying signal indications applies to all types of territory.

Section 220.61  Transmission of Mandatory Directives

    In this section, FRA proposes to substitute ``mandatory directive'' 
for ``train order'' wherever that term appeared. Also, instead of 
breaking this section out into a separate subpart (Subpart C), FRA 
would integrate this section, which addresses the transmission of 
mandatory directives by radio, into Subpart B, which covers all radio 
procedures. Subpart C would thus be reserved for non-radio wireless 
procedures, if FRA decides to adopt them.
    Other than the changes discussed below, all other proposed 
amendments are intended strictly to modernize and streamline this 
section.
Paragraph (5)(i)
    By inserting the word ``each'' and removing the word ``both,'' FRA 
intends to clarify that it is not sufficient for the engineer and 
conductor to share a copy of the mandatory directive, even if they have 
both read it. This section requires, and has always required (contrary 
to some railroad interpretations), the conductor and the engineer to 
have their own individual copies. Both, in turn, are then responsible 
for ensuring that all members of the crew responsible for operation of 
the train read and understand the directive before it is acted upon. 
Personnel on passenger and commuter trains who are not directly 
involved in the operation of a train, such as lounge care attendants 
and ticket takers, are not required to read and understand each 
mandatory directive.

[[Page 34553]]

    The Working Group recommended, and the proposed rule provides, that 
mandatory directives that have been fulfilled or canceled be marked 
with an ``X'' or in accordance with the railroad's operating rules. 
Compliance with this requirement will ensure that employees do not 
later become confused as to which mandatory directives are applicable 
at any point in time.
    For both train crews (paragraph 5(i)) and roadway gangs (paragraph 
5(ii)), FRA suggested that the Working Group consider whether to 
require each employee responsible for executing a mandatory directive 
to retain a copy of that directive until the end of their work 
assignment. After investigating a 1996 fatal head-on collision at 
Smithfield, West Virginia, FRA issued a Safety Bulletin (61 FR 64191) 
advising that railroads require train crews to retain copies of 
mandatory directives for seven work days after the completion of the 
work assignment. This is already the practice on NORAC (the Northeast 
Operating Rules Advisory Committee) member railroads. Retention of 
mandatory directives for the duration of the work assignment would also 
enable both railroads and FRA to enforce compliance with the copying 
requirement. Moreover, since copies of mandatory directives are already 
being generated, retention for the duration of the assignment would not 
impose any additional paperwork burden on the industry.
    The Working Group did not have time to explore the retention issue 
fully, however. FRA has therefore not required in the proposed rule 
that any employee retain a mandatory directive beyond the time it has 
been fulfilled or canceled. FRA solicits comment on the value of 
retention. Could retention of copies of mandatory directives lead to 
employee confusion as to which directives were outstanding and which 
still needed to be acted upon, or would the requirement to mark 
fulfilled directives ensure that employees acted upon the correct 
directive? This issue will be revisited thoroughly by the Working Group 
in its consideration of the final rule.
Paragraph (5)(ii)
    For roadway gangs, FRA proposes to require that the mandatory 
directive be ``acknowledged,'' instead of ``read and understood,'' by 
those employees who need to know. Often, the employee in charge is the 
only member of the roadway gang who has been qualified on the physical 
characteristics of the area assigned to the gang. At the beginning of 
the assignment, the designated employee in charge should provide a 
detailed job briefing notifying the other roadway workers of the gang's 
movement limitations, authorities, and other relevant information. 
Mandatory directives which have been fulfilled or canceled would be 
marked with an X or in accordance with the railroad's operating rules. 
Commenters are requested to address whether the mandatory directives 
should be retained until the end of their work assignment (see 
discussion under paragraph (5)(i), above).

Regulatory Impact

Executive Order 12866 and DOT Regulatory Policies and Procedures

    This rule has been evaluated in accordance with existing policies 
and procedures. It is believed that the rule will be determined to be 
non-significant under both Executive Order 12866 and DOT policies and 
procedures (44 FR 11034; February 26, 1979). FRA has prepared and 
placed in the docket a regulatory analysis addressing the economic 
impact of the proposed rule. Document inspection and copying facilities 
are available at 1120 Vermont Avenue, 7th Floor, Washington, D.C. 
Photocopies may also be obtained by submitting a written request to the 
FRA Docket Clerk at Office of Chief Counsel, Federal Railroad 
Administration, 400 Seventh Street, SW., Washington, DC 20590.
    As part of the regulatory impact analysis FRA has assessed 
quantitative measurements of costs and benefits expected from the 
adoption of the proposed rule. Over a twenty year period, the Net 
Present Value (NPV) of the estimated quantifiable societal benefits is 
$102.8 million, and the NPV of the estimated costs is $39.9 million.
    The major costs anticipated from adopting this proposed rule 
include: the installation of radios for locomotives; the purchase of 
cellular telephones or other form of wireless communication for 
locomotives of smaller railroads operating trains in situations with 
decreased risk; usage fees for cellular telephones; the installation of 
radios in some maintenance-of-way equipment; the purchase of additional 
portable radios for roadway work groups and lone-workers; training on 
radio procedures; maintenance for locomotive and portable radios; and 
replacement cellular telephones.
    The major benefits anticipated from adopting this proposed rule 
include: reduction of injuries and fatalities of roadway workers; 
reduced trespasser fatalities; reduction of railroad worker injury 
severity from a quicker emergency response; reduced grade crossing 
accidents; and reduced railroad accidents that were caused by the 
improper usage of radios.
    Additionally, FRA anticipates other qualitative benefits accruing 
from this proposed rule which are not factored into the quantified 
analysis. These include increased efficiency within the industry, and a 
reduction in hazardous material spills.

Regulatory Flexibility Act

    The Regulatory Flexibility Act of 1980 (5 U.S.C. 601 et seq.) 
requires a review of final rules to assess their impact on small 
entities. FRA's assessment of small entity impact can be found in 
Appendix B of the NPRM's Regulatory Impact Analysis, located in the 
docket.
    After consultation with the Office of Advocacy of the SBA, FRA will 
use the delineation of less than 400,000 annual employee hours as being 
representative of small entities. This grouping is one that FRA has 
used in the past (in 49 CFR parts 217 and 219) to alleviate reporting 
requirements. Typically, FRA uses the Surface Transportation Board's 
(STB) revenue-based classification of Class III railroads as being 
representative of small entities. Many Class III railroads have fewer 
than 400,000 annual employee hours. Using 400,000 annual employee hours 
as the line between small and non-small entities provides advantages 
over the Class III distinction. FRA already maintains a database 
containing information on which railroads fall below this line. 
Additionally, this delineation does not provide the same automatic 
exemption as the Class III distinction does for switching and terminal 
railroads. By using this grouping for small railroads, FRA is capturing 
most small entities that would be defined by the SBA as small 
businesses.
    FRA certifies that this rule is expected to have a significant 
economic impact on a number of small entities. There are no small 
government jurisdictions affected by this regulation. Approximately 450 
small entities will be impacted. However, the actual burden on most of 
these railroads will vary because of their different operating 
characteristics.
    Entities that are not subject to this rule include railroads that 
do not operate on the ``general railroad system of transportation'' due 
to FRA's current exercise of its jurisdiction (See  49 CFR part 209, 
Appendix A). FRA's jurisdictional approach greatly reduces the number 
of tourist, scenic, historic, and excursion railroads that are subject 
to this rule and its associated burdens. FRA estimates that 
approximately 180 small entities will be exempted from the

[[Page 34554]]

proposed requirements of this regulation since they do not operate on 
the general system of transportation.
    The communication requirements pertaining to locomotives, as set 
forth in Sec. 220.9 of this rule have been designed to minimize the 
impact on small railroads. While large railroads are required to have a 
working radio and wireless communication redundancy in every train, 
small railroads are only required to comply with this standard for 
trains used to transport passengers. A radio is required on a freight 
train operated by a small railroad only when the train operates at 
greater than 25 miles per hour or engages in joint operations on a 
large railroad where either the maximum authorized speed for freight 
trains exceeds 25 miles per hour on the track being used, or the track 
being used is adjacent to and within 30 feet of another track on which 
the maximum speed for passenger trains exceeds 40 miles per hour. Any 
form of wireless communication device can be used on a freight train 
operated by a small railroad when the train is engaged in joint 
operations with a large railroad and the maximum authorized speed on 
the track being used is 25 miles per hour or less.
    In addition, a wireless communications device is required when a 
freight train of a small railroad transports hazardous material that is 
required to be placarded under 49 CFR part 172 and does not otherwise 
fit into one of the above mentioned categories requiring other types of 
communications equipment. The flexibility afforded to small railroads 
with these alternatives will lessen the costs imposed on these 
railroads.
    The communications requirements pertaining to roadway workers, as 
set forth in Sec. 220.11 of this rule, have been designed to minimize 
the impact on small railroads. The subsection (a) requirement of 
equipping maintenance of way equipment with communications capability 
upon arriving at a work site, does not apply to small railroads. Under 
subsection (b), large railroads must provide each employee designated 
by the employer to provide on-track safety for a roadway work group and 
each lone worker with immediate access to a working radio. However, 
small railroads can provide such employees with immediate access to 
working wireless communications. Small railroads may also be able to 
avoid any of the communication equipping requirements of Sec. 220.11 if 
they meet the exceptions set forth in subsection (c).
    Most small railroads will have a low enough volume and train 
frequency not to be impacted by the requirements of Sec. 220.11, since 
paragraph (c) exempts small railroads that meet certain specified 
conditions. To qualify for an exemption from Sec. 220.11, a small 
railroad may not operate a large volume of traffic over a branch line. 
Generally, the ability of a railroad to perform track-related 
maintenance on track(s) that are taken out of service is inversely 
related to the volume and frequency of trains on its branch lines.

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 C to part 220--Schedule of Civil 
Penalties 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.

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 220 do not have sufficient federalism 
implications to warrant the preparation of a Federalism Assessment. The 
fundamental policy decision providing that Federal regulations should 
govern aspects of service provided by municipal and public benefit 
corporations (or agencies) of State governments is embodied in the 
statute quoted above. FRA has made every effort to provide reasonable 
flexibility to State-level decision making and has included commuter 
authorities as full partners in development of this proposed rule.

Paperwork Reduction Act

    The proposed rule contains some new information collection 
requirements. The information collection requirements currently in 49 
CFR part 220 were approved by the Office of Management and Budget (OMB) 
under OMB approval numbers 2130-0035 and 2130-0524 and are marked with 
an ``*'' below. These information collection requirements plus any new 
information collection requirements resulting from this rulemaking 
proceeding will be submitted to OMB for approval under the Paperwork 
Reduction Act of 1995, 44 U.S.C. 3501 et seq. at the final rule stage. 
The sections that contain the current and proposed new information 
collection requirements are listed below. All estimates include the 
time for reviewing instructions; searching existing data sources; 
gathering or maintaining the needed data; and reviewing the 
information.

--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                                                                                                 Total  
                                                                                                 Average time per       Total annual burden     annual  
             CFR section                    Respondent universe       Total annual responses         response                  hours            burden  
                                                                                                                                                 cost   
--------------------------------------------------------------------------------------------------------------------------------------------------------
220.13--Reporting emergencies.......  680 railroads.................  N/A...................  Usual and Customary     N/A...................         N/A
                                                                                               Practice under Common                                    
                                                                                               Law.                                                     
* 220.21--Railroad operating rules;   680 railroads.................  N/A...................  Approved by OMB under   N/A...................         N/A
 radio communication; recordkeeping.                                                           2130-0035.                                               
                                                                                               Requirement will not                                     
                                                                                               impose any new burden.                                   
220.23--Publication of radio          680 railroads.................  N/A...................  Usual and Customary     N/A...................         N/A
 information.                                                                                  Procedure.                                               
* 220.25--Instruction and             N/A...........................  N/A...................  Approved by OMB under   N/A...................         N/A
 operational testing of employees.                                                             2130-0035.                                               
--Instruction.......................  680 railroads.................  Additional 15,000       30 minutes............  Annual burden will        $187,500
                                                                       employees trained.                              increase by 7,500                
                                                                                                                       hours to include                 
                                                                                                                       training for roadway             
                                                                                                                       workers.                         

[[Page 34555]]

                                                                                                                                                        
--Periodic operational testing--new   680 railroads.................  Additional 33,333       15 minutes............  Increase of 8,333         $208,325
 requirement.                                                          tests.                                          hours annually.                  
220.27--Identification..............  N/A...........................  N/A...................  Usual and Customary     N/A...................         N/A
                                                                                               Procedure.                                               
220.31--Initiating a radio            N/A...........................  N/A...................  Usual and Customary     N/A...................         N/A
 transmission--identification.                                                                 Procedure.                                               
220.33--Receiving a radio             N/A...........................  N/A...................  Usual and Customary     N/A...................         N/A
 transmission--acknowledgement.                                                                Procedure.                                               
220.35--Ending a radio transmission.  N/A...........................  N/A...................  Usual and Customary     N/A...................         N/A
                                                                                               Procedure.                                               
220.37--Testing radio and wireless    680 railroads.................  780,000 tests.........  30 seconds............  6,500 hours...........    $162,500
 communication equipment.                                                                                                                               
220.38--Communication equipment       N/A...........................  N/A...................  Usual and Customary     N/A...................         N/A
 failure--notification.                                                                        Procedure.                                               
220.47--Emergency radio transmission  N/A...........................  N/A...................  Usual and Customary     N/A...................         N/A
                                                                                               Procedure.                                               
220.61--Transmission of mandatory                                                                                                                       
 directives:                                                                                                                                            
*--Copying and repeating of           N/A...........................  N/A...................  Approved by OMB under   N/A...................         N/A
 mandatory directive.                                                                          2130-0524.                                               
--Train crews--marking with an X      680 railroads.................  52,000 X's............  15 seconds............  217 hours.............      $5,425
 mandatory directives fulfilled or                                                                                                                      
 canceled.                                                                                                                                              
--On track equipment--marking with    680 railroads.................  39,000 X's............  15 seconds............  163 hours.............      $4,075
 an X mandatory directives fulfilled                                                                                                                    
 or canceled.                                                                                                                                           
--------------------------------------------------------------------------------------------------------------------------------------------------------

    Pursuant to 44 U.S.C. 3506(c)(2)(B), FRA solicits comments on the 
quality, utility, and clarity of the information to be collected; and 
on whether these information collection requirements are necessary for 
the proper performance of the function of FRA, including whether the 
information has practical utility; whether FRA's estimates of the 
burden of the information collection requirements are accurate; and 
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.
    Organizations and individuals desiring to submit comments on these 
information collection requirements should direct them to Gloria 
Swanson Eutsler, Federal Railroad Administration, RRS-211, 400 7th 
Street, S.W., Washington, D.C. 20590, or contact Mrs. Eutsler at (202) 
632-3318. The final rule will address any public comments received 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 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 220

    Communications, Railroads.

    Accordingly, for the reasons stated in the preamble, FRA proposes 
to revise 49 CFR part 220 to read as follows:

PART 220--RAILROAD COMMUNICATIONS

Subpart A--General

Subpart A--General

Sec.
220.1  Scope.
220.2  Preemptive effect.
220.3  Application.
220.5  Definitions.
220.7  Penalty.
220.9  Requirements for trains.
220.11  Requirements for roadway workers.
220.13  Reporting emergencies.

Subpart B--Radio and Wireless Communication Procedures

220.21  Railroad operating rules; radio communications; 
recordkeeping.
220.23  Publication of radio information.
220.25  Instruction and operational testing of employees.
220.27  Identification.
220.29  Statement of letters and numbers in radio communications.
220.31  Initiating a radio transmission.
220.33  Receiving a radio transmission.
220.35  Ending a radio transmission.
220.37  Testing radio and wireless communication equipment.
220.38  Communication equipment failure.
220.39  Continous radio monitoring.
220.41  [Reserved]
220.43  Radio communications consistent with federal regulations and 
railroad operating rules.
220.45  Radio communication shall be complete.
220.47  Emergency radio transmissions.
220.49  Radio communication used in shoving, backing or pushing 
movements.
220.51  Radio communications and signal indications.
220.61  Transmission of mandatory directives.
Appendix A to Part 220--Recommended Phonetic Alphabet
Appendix B to Part 220--Recommended Pronunciation of Numerals
Appendix C to Part 220--Schedule of Civil Penalties

    Authority: 49 U.S.C. 20103, 21301, 21304, 21311 (1994); and 49 
CFR 1.49(m).

Subpart A--General


Sec. 220.1  Scope.

    This part prescribes minimum requirements governing the use of 
wireless communications in connection with railroad operations. So long 
as these minimum requirements are met,

[[Page 34556]]

railroads may adopt additional or more stringent requirements.


Sec. 220.2  Preemptive effect.

    Under 49 U.S.C. 20106 (formerly section 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 not incompatible with this part and that 
does not unreasonably burden interstate commerce.


Sec. 220.3  Application.

    (a) Except as provided in paragraph (b) of this section, this part 
applies to railroads that operate trains or other rolling equipment on 
standard gage track which is part of the general railroad system of 
transportation.
    (b) This part does not apply to:
    (1) A railroad that operates only on track inside an installation 
which is not part of the general railroad system of transportation; or
    (2) Rapid transit operations in an urban area that are not 
connected with the general railroad system of transportation.


Sec. 220.5  Definitions.

    As used in this part, the term:
    Control center means the locations on a railroad from which the 
railroad issues instructions governing railroad operations.
    Division headquarters means the location designated by the railroad 
where a high-level operating manager (e.g., a superintendent, division 
manager, or equivalent), who has jurisdiction over a portion of the 
railroad, has an office.
    Employee means an individual who is engaged or compensated by a 
railroad or by a contractor to a railroad, who is authorized by a 
railroad to use its wireless communications in connection with railroad 
operations.
    Joint operations means rail operations conducted by more than one 
railroad on the track of a railroad subject to the requirements of 
Sec. 220.9(a), except as necessary for the purpose of interchange.
    Lone worker means an individual roadway worker who is not being 
afforded on-track safety by another roadway worker, who is not a member 
of a roadway work gang, and who is not engaged in a common task with 
another roadway worker.
    Mandatory directive means any movement authority or speed 
restriction that affects a railroad operation.
    Railroad operation means any activity which affects the movement of 
a train, locomotive, on-track equipment, or track motor car, singly or 
in combination with other equipment, on the track of a railroad.
    Roadway worker means any employee of a railroad, or of a contractor 
to a railroad, whose duties include inspection, construction, 
maintenance or repair of railroad track, bridges, roadway, signal and 
communication systems, electric traction systems, roadway facilities or 
roadway maintenance machinery on or near track or with the potential of 
fouling a track, and flagmen and watchmen/lookouts.
    System headquarters means the location designated by the railroad 
as the general office for the railroad system.
    Train means one or more locomotives coupled with or without cars, 
requiring an air brake test in accordance with 49 CFR part 232, except 
during switching operations or where the operation is that of 
classifying and assembling rail cars within a railroad yard for the 
purpose of making or breaking up trains.
    Working radio means a radio that can communicate with the control 
center of the railroad (through repeater stations, if necessary to 
reach the center) from any location within the rail system, with the 
exception of limited segments of territory where topography or 
transient weather conditions temporarily prevent effective 
communication. In the case of joint operations on another railroad, the 
radio must be able to reach the control center of the host railroad.
    Working wireless communications means the capability to communicate 
with either a control center or an emergency responder of the railroad 
through such means as radio, portable radio, cellular telephone, or 
other means of two-way communication, from any location within the rail 
system, with the exception of limited segments of territory where 
topography or transient weather conditions temporarily prevent 
effective communication. In the case of joint operations on another 
railroad, the working wireless communication must be able to reach the 
control center of the host railroad.


Sec. 220.7  Penalty.

    Any person (including but not limited to a railroad; any manager, 
supervisor, official, or other employee or agent of a railroad; any 
owner, manufacturer, lessor, or lessee of railroad equipment, track, or 
facilities; any independent contractor providing goods or services to a 
railroad; and any employee of such owner, manufacturer, lessor, lessee, 
or independent contractor) who violates any requirement of this part or 
causes the violation of any such requirement is subject to a civil 
penalty of at least $500 and not more than $10,000 per violation, 
except that: Penalties may be assessed against individuals only for 
willful violations; where a grossly negligent violation or a pattern of 
repeated violations has created an imminent hazard of death or injury, 
or has caused death or injury, a penalty not to exceed $20,000 per 
violation may be assessed; and the standard of liability for a railroad 
will vary depending upon the requirement involved. Each day a violation 
continues shall constitute a separate offense. (See appendix C to this 
part for a statement of agency civil penalty policy).


Sec. 220.9  Requirements for trains.

    (a) Except as provided for in paragraph (b) of this section, each 
occupied controlling locomotive in a train shall have a working radio, 
and each train shall also have communications redundancy. For purposes 
of this section, ``communications redundancy'' means a working radio on 
another locomotive in the consist or other means of working wireless 
communications.
    (b) The following requirements apply to a railroad that has fewer 
than 400,000 annual employee work hours:
    (1) Any train that transports passengers shall be equipped with a 
working radio in the controlling locomotive and with redundant working 
wireless communications capability in the same manner as provided in 
paragraph (a) of this section.
    (2) Any train that operates at greater than 25 miles per hour; or 
engages in joint operations on track where the maximum authorized speed 
for freight trains exceeds 25 miles per hour; or engages in joint 
operations on a track that is adjacent to and within 30 feet measured 
between track center lines of another track on which the maximum 
authorized speed for passenger trains exceeds 40 miles per hour, shall 
be equipped with a working radio in the controlling locomotive.
    (3) Any train that engages in joint operations, where the maximum 
authorized speed of the track is 25 miles per hour or less, shall be 
equipped with working wireless communications in the controlling 
locomotive.
    (4) Any train not described in paragraph (b) of this section that 
transports hazardous material required to be placarded under the 
provisions of part 172 of this title shall be equipped with working 
wireless communications in the controlling locomotive.

[[Page 34557]]

Sec. 220.11  Requirements for roadway workers.

    (a) The following requirements apply to a railroad that has 400,000 
or more annual employee work hours:
    (1) Maintenance of way equipment operating without locomotive 
assistance between work locations shall have a working radio on at 
least one such unit in each multiple piece of maintenance of way 
equipment traveling together under the same movement authority. The 
operators of each additional piece of maintenance of way equipment 
shall have communications capability with each other.
    (2) Each maintenance of way work gang shall have intra-gang 
communications capability upon arriving at a work site.
    (b) Each employee designated by the employer to provide on-track 
safety for a roadway work gang or gangs, and each lone worker, shall 
maintain immediate access to a working radio, except that a railroad 
with fewer than 400,000 annual employee work hours can provide 
immediate access to working wireless communications as an alternative 
to a working radio.
    (c) This section does not apply to:
    (1) Railroads which have fewer than 400,000 annual employee work 
hours, and which do not operate trains in excess of 25 miles per hour; 
or
    (2) Railroad operations where the work location of the roadway work 
gang or lone worker:
    (i) is physically inaccessible to trains; or
    (ii) has no through or adjacent rail traffic during the period when 
roadway workers will be present.


Sec. 220.13  Reporting emergencies.

    (a) Employees shall immediately report by the quickest means 
available derailments, collisions, storms, wash-outs, fires, 
obstructions to tracks, and other hazardous conditions which could 
result in death or injury, damage to property or serious disruption of 
railroad operations.
    (b) In reporting emergencies, employees shall follow:
    (1) The procedures of Sec. 220.47 of this part when using a radio; 
or
    (2) The procedures specified for reporting emergencies in the 
railroad's timetables or timetable special instructions, when using 
another means of wireless communications.
    (c) Employees shall describe as completely as possible the nature, 
degree and location of the hazard.

Subpart B--Radio and Wireless Communication Procedures


Sec. 220.21  Railroad operating rules; radio communications; 
recordkeeping.

    (a) The operating rules of each railroad with respect to radio 
communications shall conform with the requirements of this part.
    (b) Thirty days before commencing to use radio communications in 
connection with railroad operations each railroad shall retain one copy 
of its current operating rules with respect to radio communications at 
the locations prescribed in paragraphs (b)(1) and (b)(2) of this 
section. Each amendment to these operating rules shall be filed at such 
locations within 30 days after it is issued. These records shall be 
made available to representatives of the Federal Railroad 
Administration for inspection and photocopying during normal business 
hours.
    (1) Each Class I railroad, each Class II railroad, each railroad 
providing intercity rail passenger service, and each railroad providing 
commuter service in a metropolitan or suburban area shall retain such 
rules at each of its division headquarters and at its system 
headquarters; and
    (2) Each Class III railroad and any other railroad subject to this 
part but not subject to paragraph (b)(1) of this section shall retain 
such rules at the system headquarters of the railroad.
    (c) For purposes of this section, the terms Class I railroad, Class 
II railroad, and Class III railroad have the meaning given these terms 
in 49 CFR Part 1201.


Sec. 220.23  Publication of radio information.

    Each railroad shall designate its territory where radio base 
stations are installed, where wayside stations may be contacted, and 
designate the appropriate radio channels used by these stations in 
connection with railroad operations by publishing them in a timetable 
or special instruction. The publication shall indicate the periods 
during which base and wayside radio stations are operational.


Sec. 220.25  Instruction and operational testing of employees.

    Each employee who a railroad authorizes to use a radio in 
connection with a railroad operation shall be:
    (a) Provided with a copy of the railroad's operating rules 
governing the use of radio communication in a railroad operation;
    (b) Instructed in the proper use of radio communication as part of 
the program of instruction prescribed in Sec. 217.11 of this chapter; 
and
    (c) Periodically tested under the operational testing requirements 
in Sec. 217.9 of this chapter.


Sec. 220.27  Identification.

    (a) Except as provided in paragraph (c) of this section, the 
identification of each wayside, base or yard station shall include at 
least the following minimum elements, stated in the order listed:
    (1) Name of railroad. An abbreviated name or initial letters of the 
railroad may be used where the name or initials are in general usage 
and are understood in the railroad industry; and
    (2) Name and location of office or other unique designation.
    (b) Except as provided in paragraph (c) of this section, the 
identification of each mobile station shall consist of the following 
elements, stated in the order listed:
    (1) Name of railroad. An abbreviated name or initial letters of the 
railroad may be used where the name or initial letters are in general 
usage and are understood in the railroad industry;
    (2) Train name (number), if one has been assigned, or other 
appropriate unit designation; and
    (3) When necessary, the word ``locomotive'', ``motorcar'', or other 
unique identifier which indicates to the listener the precise mobile 
transmitting station.
    (c) If positive identification is achieved in connection with 
switching, classification, and similar operations wholly within a yard, 
fixed and mobile units may use short identification after the initial 
transmission and acknowledgement consistent with applicable Federal 
Communications Commission regulations governing ``Station 
Identification''.


Sec. 220.29  Statment of letters and numbers in radio communications.

    (a) If necessary for clarity, a phonetic alphabet shall be used to 
pronounce any letter used as an initial, except initial letters of 
railroads. See appendix A of this part for the recommended phonetic 
alphabet.
    (b) A word which needs to be spelled for clarity, such as a station 
name, shall first be pronounced, and then spelled. If necessary, the 
word shall be spelled again, using a phonetic alphabet.
    (c) Numbers shall be spoken by digit, except that exact multiples 
of hundreds and thousands may be stated as such. A decimal point shall 
be indicated by the word ``decimal,'' ``dot,'' or ``point''. (See 
appendix B to this part, for a recommended guide to the pronunciation 
of numbers.)

[[Page 34558]]

Sec. 220.31  Initiating a radio transmission.

    Before transmitting by radio, an employee shall:
    (a) Listen to ensure that the channel on which the employee intends 
to transmit is not already in use;
    (b) Identify the employee's station in accordance with the 
requirements of Sec. 220.27; and
    (c) Verify that the employee has made radio contact with the person 
or station with whom the employee intends to communicate by listening 
for an acknowledgment. If the station acknowledging the employee's 
transmission fails to identify itself properly, the employee shall 
require a proper identification before proceeding with the 
transmission.


Sec. 220.33   Receiving a radio transmission.

    (a) Upon receiving a radio call, an employee shall promptly 
acknowledge the call, identifying the employee's station in accordance 
with the requirements of Sec. 220.27 and stand by to receive. An 
employee need not attend the radio during the time that this would 
interfere with other immediate duties relating to the safety of 
railroad operations.
    (b) An employee who receives a transmission shall repeat it to the 
transmitting party unless the communication:
    (1) Relates to yard switching operations;
    (2) Is a recorded message from an automatic alarm device; or
    (3) Is general in nature and does not contain any information, 
instruction or advice which could affect the safety of a railroad 
operation.


Sec. 220.35   Ending a radio transmission.

    (a) At the close of each transmission to which a response is 
expected, the transmitting employee shall say ``over'' to indicate to 
the receiving employee that the transmission is ended.
    (b) At the close of each transmission to which no response is 
expected, the transmitting employee shall state the employee's 
identification followed by the word ``out'' to indicate to the 
receiving employee that the exchange of transmissions is complete.


Sec. 220.37   Testing radio and wireless communication equipment.

    (a) Each radio and redundant wireless communication equipment used 
under Secs. 220.9 and 220.11 shall be tested as soon as practicable to 
ensure that the equipment functions as intended prior to the 
commencement of the work assignment.
    (b) The test of a radio shall consist of an exchange of voice 
transmissions with another radio. The employee receiving the 
transmission shall advice the employee conducting the test of the 
clarity of the transmission.


Sec. 220.38   Communication equipment failure.

    (a) Any radio or wireless communication device found not to be 
functioning as intended when tested pursuant to Sec. 220.37 shall be 
removed from service and the dispatcher or other employee designated by 
the railroad shall be so notified as soon as practicable.
    (b) If a radio fails on the controlling locomotive en route, the 
train may continue until the earlier of--
    (1) The next calendar day inspection, or
    (2) The nearest forward point where the radio can be repaired or 
replaced.


Sec. 220.39   Continuous radio monitoring.

    Each radio used in a railroad operation shall be turned on to the 
appropriate channel as designated in Sec. 220.23 and adjusted to 
receive communications.


Sec. 220.41   [Reserved]


Sec. 220.43  Radio communications consistent with Federal regulations 
and railroad operating rules.

    Radio communication shall not be used in connection with a railroad 
operation in a manner which conflicts with the requirements of this 
part, Federal Communication Commission regulations or the railroad's 
operating rules. The use of citizen band radios for railroad operating 
purposes is prohibited.


Sec. 220.45  Radio communication shall be complete.

    Any radio communication which is not fully understood or completed 
in accordance with the requirements of this part and the operating 
rules of the railroad, shall not be acted upon and shall be treated as 
though not sent.


Sec. 220.47  Emergency radio transmissions.

    An initial emergency radio transmission shall be preceded by the 
word ``emergency,'' repeated three times. An emergency transmission 
shall have priority over all other transmissions and the frequency or 
channel shall be kept clear of non-emergency traffic for the duration 
of the emergency communication.


Sec. 220.49  Radio communication used in shoving, backing or pushing 
movements.

    When radio communication is used in connection with the shoving, 
backing or pushing of a train, locomotive, car, or on-track equipment, 
the employee directing the movement shall give complete instructions or 
keep in continual radio contact with the employee receiving the 
instructions. The distance of the movement shall be specified, and the 
movement shall stop in one-half the remaining distance unless 
additional instructions are received. If the instructions are not 
understood or continual radio contact is not maintained, the movement 
shall be stopped immediately and may not be resumed until the 
misunderstanding has been resolved, radio contact has been restored, or 
communication has been achieved by hand signals or other procedures in 
accordance with the operating rules of the railroad.


Sec. 220.51  Radio communications and signal indications.

    (a) No information may be given by radio to a train or engine crew 
about the position or aspect displayed by a fixed signal. However, 
radio may be used by a train crew member to communicate information 
about the position or aspect displayed by a fixed signal to other 
members of the same crew.
    (b) Except as provided in the railroad's operating rules, radio 
communication shall not be used to convey instructions which would have 
the effect of overriding the indication of a fixed signal.


Sec. 220.61  Transmission of mandatory directives.

    (a) Each mandatory directive may be transmitted by radio only when 
authorized by the railroad's operating rules. The directive shall be 
transmitted in accordance with the railroad's operating rules and the 
requirements of this part.
    (b) The procedure for transmission of a mandatory directive by 
radio is as follows:
    (1) The train dispatcher or operator shall call the addressees of 
the mandatory directive and state the intention to transmit the 
mandatory directive.
    (2) Before the mandatory directive is transmitted, the employee to 
receive and copy shall state the employee's name, identification, 
location, and readiness to receive and copy. An employee operating the 
controls of moving equipment shall not receive and copy mandatory 
directives. A mandatory directive shall not be transmitted to employees 
on moving equipment, if such directive cannot be received and copied 
without impairing safe operation of the equipment.
    (3) A mandatory directive shall be copied in writing by the 
receiving

[[Page 34559]]

employee in the format prescribed in the railroad's operating rules.
    (4) After the mandatory directive has been received and copied, it 
shall be immediately repeated in its entirety. After verifying the 
accuracy of the repeated mandatory directive, the train dispatcher or 
operator shall then state the time and name of the employee designated 
by the railroad who is authorized to issue mandatory directives. An 
employee copying a mandatory directive shall then acknowledge by 
repeating the time and name of the employee so designated by the 
railroad.
    (5)(i) For train crews, before a mandatory directive is acted upon, 
the conductor and engineer shall each have a written copy of the 
mandatory directive and make certain that the mandatory directive is 
read and understood by all members of the crew who are responsible for 
the operation of the train. Mandatory directives which have been 
fulfilled or canceled shall be marked with an ``X'' or in accordance 
with the railroad's operating rules.
    (ii) For on-track equipment, before a mandatory directive is acted 
upon, the employee in charge of the on-track equipment shall have a 
written copy of the mandatory directive and make certain that the 
mandatory directive is acknowledged by all employees who are 
responsible for executing that mandatory directive. Mandatory 
directives which have been fulfilled or canceled shall be marked with 
an ``X'' or in accordance with the railroad's operating rules.
    (6) A mandatory directive which has not been completed or which 
does not comply with the requirements of the railroad's operating rules 
and this part, may not be acted upon and shall be treated as though not 
sent. Information contained in a mandatory directive may not be acted 
upon by persons other than those to whom the mandatory directive is 
addressed.

Appendix A to Part 220--Recommended Phonetic Alphabet

A--ALFA
B--BRAVO
C--CHARLIE
D--DELTA
E--ECHO
F--FOXTROT
G--GOLF
H--HOTEL
I--INDIA
J--JULIET
K--KILO
L--LIMA
M--MIKE
N--NOVEMBER
O--OSCAR
P--PAPA
Q--QUEBEC
R--ROMEO
S--SIERRA
T--TANGO
U--UNIFORM
V--VICTOR
W--WHISKEY
X--XRAY
Y--YANKEE
Z--ZULU

    The letters ``ZULU'' should be written as ``Z'' to distinguish 
it from the numeral ``2''.

Appendix B to Part 220--Recommended Pronunciation of Numerals

    To distinguish numbers from similar sounding words, the word 
``figures'' should be used preceding such numbers. Numbers should be 
pronounced as follows:

------------------------------------------------------------------------
              Number                               Spoken               
------------------------------------------------------------------------
0.................................  0                                   
1.................................  WUN                                 
2.................................  TOO                                 
3.................................  THUH-REE-                           
4.................................  FO-WER                              
5.................................  FI-YIV                              
6.................................  SIX                                 
7.................................  SEVEN                               
8.................................  ATE                                 
9.................................  NINER                               
------------------------------------------------------------------------

(The figure ZERO should be written as ``O'' to distinguish it from 
the letter ``O''. The figure ONE should be underlined to distinguish 
it from the letter ``I''. When railroad rules require that numbers 
be spelled, these principles do not apply.)

    The following examples illustrate the recommended pronunciation 
of numerals:

------------------------------------------------------------------------
              Number                               Spoken               
------------------------------------------------------------------------
44................................  FO--WER FO-WER                      
500...............................  FI-YIV HUNDRED                      
1000..............................  WUN THOUSAND                        
1600..............................  WUN SIX THOUSAND                    
14899.............................  WUN FO-WER ATE NINER NINER          
20.3..............................  TOO ZERO DECIMAL THUH-REE           
------------------------------------------------------------------------


         Appendix C to Part 220--Schedule of Civil Penalties \1\        
------------------------------------------------------------------------
                                                               Willful  
                    Section                      Violation    violation 
------------------------------------------------------------------------
220.21  Railroad operating rules; radio                                 
 communications:                                                        
    (a).......................................       $5,000       $7,500
    (b).......................................        2,500        5,000
220.23  Publication of radio information......        2,500        5,000
220.25  Instruction of employees..............        5,000        7,500
220.27  Identification........................        1,000        2,000
220.29  Statement of letters and numbers......        1,000        2,000
220.31  Initiating a transmission.............        1,000        2,000
220.33  Receiving a transmission..............        1,000        2,000
220.35  Ending a transmission.................        1,000        2,000
220.37  Voice test............................        5,000        7,500
220.39  Continuous monitoring.................        2,500        5,000
220.41  Notification on failure of train radio        2,500        5,000
220.43  Communication consistent with the                               
 rules........................................        2,500        5,000
220.45  Complete communications...............        2,500        5,000
220.47  Emergencies...........................        2,500        5,000
220.49  Switching, backing or pushing.........        5,000        7,500
220.51  Signal indications....................        5,000        7,500
220.61  Transmission of train orders by radio.        5,000        7,500
------------------------------------------------------------------------
\1\ A penalty may be assessed against and 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.                                                      


[[Page 34560]]

    Issued in Washington, DC on June 11, 1997.
Jolene M. Molitoris,
Federal Railroad Administrator.
[FR Doc. 97-15818 Filed 6-25-97; 8:45 am]
BILLING CODE 4910-06-M