[Federal Register Volume 64, Number 31 (Wednesday, February 17, 1999)]
[Notices]
[Pages 7940-7943]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 99-3844]


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DEPARTMENT OF TRANSPORTATION

Federal Railroad Administration


Petition for Waiver of Compliance

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

Alaska Railroad Corporation (Waiver Petition Docket Number FRA-
1998-4901)

    Alaska Railroad Corporation(ARRC), seeks a waiver of compliance 
from certain sections of Title 49 CFR Parts 216, Special Notice and 
Emergency Order Procedures: Railroad Track, Locomotive and Equipment; 
217, Railroad Operating Rules; 218, Railroad Operating Practices; 220, 
Radio Standards and Procedures; 229, Railroad Locomotive Safety 
Standards; 233, Signal Systems Reporting Requirements; 235, 
Instructions Governing Applications for Approval of a 2 Discontinuance 
or Material Modification of a Signal System or Relief from the 
Requirements Of Part 236; 236, Rules, Standards, and Instructions 
Governing the Installation, Inspection, Maintenance, and Repair of 
Signal and Train Control Systems,

[[Page 7941]]

Devices, and Appliances; and 240, Qualification and Certification Of 
Locomotive Engineers, under Part 211.51, Tests, to allow them to 
develop, implement, and test technology designed to prevent train 
collisions and overspeed violations and to protect track maintenance 
personnel from trains. The program will enable ARRC to demonstrate and 
validate the technology, referred to as Precision Train Control (PTC), 
before it is implemented on a larger scale.
    PTC is a communications-based system designed to precisely manage 
the movements of trains in real time. PTC will generate a movement plan 
for all trains and then provide each train's engineer information 
necessary to keep the train on plan. PTC will monitor each train's 
position, velocity and acceleration in real time in respect to the 
movement plan and will prompt the engineer to take action before a 
violation occurs associated with limits of authority, track bulletins, 
track speed, speed restrictions, and working limits of track 
maintenance personnel. PTC will require the installation of a computer-
aided dispatching (CAD) system from which the PTC system will be 
controlled. The PTC system will consist of three segments that work 
together to provide enforcement against train movement violations: the 
central office segment; the locomotive segment; and the communications 
segment. The central office segment will consist of the CAD, a server 
and movement planner that will develop and issue enforceable movement 
authorities and speed limits for each PTC-equipped train. This 
information is sent through the communications segment to the 
locomotive segment located onboard the controlling locomotive of each 
train. The locomotive segment enforces a train's movement and speed 
limits by monitoring and reporting the train's location and speed and 
applying the brakes to stop the train if necessary to prevent a 
violation.
    The PTC program will be implemented system wide on the ARRC in the 
State of Alaska. All main track on all subdivisions on the ARRC will be 
included in the project. Total trackage will be 534.3 miles.
    The following are the waiver requests and their justifications:
    Sec. 216.13  Special notice for repairs--locomotive. Waiver is 
requested for PTC-equipped locomotives to the extent that non-operation 
of PTC equipment installed onboard (whether through malfunction or 
deactivation) shall not be construed as an unsafe condition requiring 
special notice for repairs. Waiver is also sought for non-PTC-equipped 
locomotives operating in the PTC test territory to the extent that the 
absence of PTC equipment onboard shall not be construed as an unsafe 
condition requiring special notice for repairs.
    Justification: With or without PTC equipment operating onboard the 
controlling locomotive, a train remains subject to existing operating 
rules. PTC tests require flexibility in installing, removing, turning 
on, and turning off the onboard equipment. The PTC tests will involve 
only a small subset of locomotives that will be PTC-equipped for 
testing.
    Sec. 217.9  Program of operational tests and inspections; record 
keeping. Waiver is requested exempting operation of PTC equipment and 
procedures from the requirements for operational tests and inspections 
and associated record keeping.
    Justification: During the PTC test phase, procedures for using PTC 
equipment and functions will be refined and modified. Until such 
procedures are defined, they cannot be addressed in the General Code of 
Operating Rules (GCOR). In any case, PTC is expected to have minimal 
impact on the operating rules.
    Sec. 217.11  Program of instruction on operating rules; record 
keeping; electronic record keeping. Waiver is requested exempting 
operation of PTC equipment and procedures from the requirements for 
instruction and associated record keeping.
    Justification: During the PTC test phase, procedures for using PTC 
equipment and functions will be refined and modified. Until such 
procedures are defined, they cannot be addressed in the GCOR. In any 
case, PTC is expected to have minimal impact on the operating rules.
    Part 218  [Subpart D] Prohibition Against Tampering With Safety 
Devices. Waiver is requested exempting onboard PTC equipment from the 
requirements of Sec. 218.51, 218.53, 218.55, 218.57, 218.59, and 128.61 
to the extent that PTC equipment onboard a locomotive shall not be 
considered a ``safety device'' according to the provisions of this 
subpart at any time during the test phase.
    Justification: PTC tests require flexibility in installing, 
removing, turning on, and turning off the onboard equipment. The ARRC 
also needs the flexibility to permanently disable or remove PTC 
equipment in the event that a production system is not implemented.
    Part 220  Radio Standards and Procedures. Clarification is 
requested establishing that digital radio communications are exempt 
from all requirements applicable to radio communications under Part 
220.
    Justification: Imposing the requirements of Part 220 would negate 
the efficiencies of digital data communications and adversely affect 
the PTC concept of operations. Digital radio communications are 
expected to enhance safety by eliminating the sources of human error 
which Part 220 is designed to mitigate.
    Sec. 220.21  Railroad operating rules; radio communications; record 
keeping. Clarification is requested to establish that during PTC 
testing, operating rules with respect to radio communications shall not 
be construed or required to address procedures governing digital data 
communications.
    Justification: The GCOR radio rules were written to enhance the 
safety of voice radio communications. Whether new rules are needed to 
accommodate digital communications is an open issue which will be 
decided during the PTC test phase.
    Sec. 220.23  Publication of radio information. Clarification is 
requested to establish that digital radio base stations and wayside 
interface units are exempt from the requirements for publication of 
radio information including locations, channels, and periods of 
operation.
    Justification: The safety rationale of these requirements does not 
apply to digital radio communications used in PTC where communication 
management functions occur transparently to the user.
    Sec. 220.61  Transmission of train orders by radio. Clarification 
is requested establishing that both PTC digitally transmitted 
enforceable authorities and text authorities including track warrants, 
track permits and track bulletins are exempt from the requirements 
governing the voice transmission of train orders, especially: voice 
exchange prior to transmission of a train order; limitations regarding 
when and to which crew member a train order may be sent; copying a 
train order in writing; repeating a train order back to the dispatcher; 
and requiring the conductor and engineer to have written copies of a 
train order before it is acted upon.
    Justification: The safety rational of these requirements does not 
apply to digital transmission of either PTC enforceable authorities or 
displayed text authorities. PTC enforceable authorities are transparent 
to the train crew and are clearly outside the provisions of this 
section. Digitally transmitted track warrants, track permits and track 
bulletins are expected to enhance safety by eliminating the sources of

[[Page 7942]]

communication error which the requirements are designed to mitigate.
    Sec. 229.7  Prohibited acts. Waiver is requested to the extent that 
PTC equipment onboard a locomotive shall not be considered 
``appurtenances'' rendering the locomotive subject to the constraints 
of this section.
    Justification: PTC test require flexibility in installing, 
removing, turning on, and turning off the onboard equipment. ARRC 
requires the flexibility to temporarily or permanently disable onboard 
PTC equipment. Whether or not PTC equipment onboard a locomotive is 
functioning, the train remains subject to the provisions of the rules 
governing the current methods of operation.
    Sec. 229.135  Event recorders. Waiver is requested to the extent 
that PTC equipment onboard a locomotive shall not be considered an 
``event recorder'' subject to the provisions of this section.
    Justification: PTC equipment by design will operate intermittently 
during the test phase. The data accumulated by the onboard PTC 
equipment will be used to develop and refine PTC functions. Such data 
can be expected to contain anomalies that do not reflect true operating 
conditions, but by analysis will contribute to achieving necessary 
objectives in the PTC design.
    Sec. 233.9  Reports. Waiver is requested exempting PTC operations 
in the test phase from the reporting requirement of this section.
    Justification: ARRC recognizes that a PTC production system is 
subject to the provisions of this section, however, imposition of the 
requirements during the test phase would be an unnecessary paperwork 
burden.
    Sec. 235.5  Changes requiring filing of application. Waiver is 
requested exempting PTC from the requirements of this section during 
the test phase.
    Justification: PTC tests require flexibility in installing, 
removing, modifying, turning on, and turning off the PTC equipment. 
ARRC also requires the flexibility to permanently disable or remove PTC 
equipment in the event that a production system is not implemented.
    Sec. 236.4  Interference with normal functioning of device. Waiver 
is requested to the extent that PTC equipment shall be excluded from 
this requirement during the test phase.
    Justification: During the PTC test phase, the ``normal 
functioning'' of PTC will be identified, refined and defined. PTC tests 
require flexibility in installing, removing, turning on, and turning 
off the PTC equipment. With or without PTC equipment operating onboard 
the controlling locomotive, the train remains subject to the provisions 
of the rules governing the existing methods of operation.
    Sec. 236.5  Design of control circuits on closed circuit principle. 
Waiver is requested excepting PTC equipment from the closed circuit 
design requirement.
    Justification: PTC is composed of solid state components that are 
software driven. Neither the hardware or software can technically be 
designed to meet the provisions of this section.
    Sec. 236.11  Adjustment, repair, or replacement of component. 
Waiver is requested exempting PTC components onboard a locomotive from 
the requirements of this section.
    Justification: PTC test require flexibility in installing, 
removing, modifying, turning on and turning off PTC equipment. Failure 
of a PTC component will not jeopardize the safety of train operations. 
With or without PTC equipment operating onboard the controlling 
locomotive, the train remains subject to the provisions of the rules 
governing the existing methods of operation.
    Sec. 236.15  Timetable instructions. Waiver is requested exempting 
PTC territory from the timetable designation requirement of this 
section during the PTC test phase.
    Justification: The PTC test phase will consist of tests and 
demonstrations, identifying the test territory in the timetable would 
be both premature and an unnecessary paperwork burden.
    Sec. 236.23  Aspects and indications. Waiver is requested to the 
extent that the PTC display onboard an equipped locomotive shall not be 
construed to represent or correspond to signal aspects or indications 
subject to the requirements of this section.
    Justification: The ARRC is a non signaled railroad. The PTC design 
excludes any visual display of signal aspects or indications. PTC 
enforceable authorities, which may or may not derive from signal 
indications, are not displayed onboard. Only text authorities, such as 
track warrants, track permits and track bulletins, are displayed to the 
train crew. Information on the PTC display will in no way represent 
authority conveyed through wayside signals.
    Sec. 236.76  Tagging of wires and interference of wires or tags 
with signal apparatus. Waiver is requested exempting PTC equipment from 
the wire tagging requirement.
    Justification: PTC hardware consists of computers, computer 
peripherals, and communication devices. While the inapplicability of 
this section to circuit boards, connectors, and cables would appear 
obvious, waiver is sought for clarification.
    Sec. 236.101  Purpose of inspection and tests; removal from service 
of relay or device failing to meet test requirements. Waiver is 
requested exempting PTC equipment from the requirement for removal of 
failed equipment from service.
    Justification: PTC tests require flexibility in installing, 
removing, turning on, and turning off the onboard equipment. With or 
without PTC equipment operating onboard, a train remains subject to the 
provisions of the rules governing the existing methods of operation.
    Sec. 236.107  Ground tests. Waiver is requested exempting PTC 
equipment from the requirement for ground tests during the test phase.
    Justification: PTC hardware consists of computers, computer 
peripherals, and communication devices. Ground tests would serve no 
purpose in ensuring safety and could be damaging to the equipment.
    Sec. 236.109  Time releases, timing relays and timing devices. 
Waiver is requested exempting PTC equipment from the testing 
requirement of this section during the test phase.
    Justification: The timing devices in PTC equipment are software-
driven, have no moving or visible parts, and are far more reliable than 
the devices for which this regulation was promulgated to address.
    Sec. 236.110  Results of tests. Waiver is requested exempting PTC 
tests from the record keeping requirements of this section.
    Justification: During the PTC test phase, the types of tests needed 
to ensure appropriate levels of maintenance will be defined.
    Sec. 236.501  Forestalling device and speed control. Waiver is 
requested exempting PTC from the requirement for medium-speed 
restriction.
    Justification: PTC is not connected to a signal system and will not 
enforce speed restrictions indicated by signal aspects. PTC will 
enforce speed restrictions reflected in the track database or issued 
through the CAD system.
    Sec. 236.504  Operation interconnected with automatic block-signal 
system. Waiver is requested exempting PTC from the requirement of 
interconnection with an automatic block-signal system.
    Justification: The ARRC is a non-signaled railroad and PTC will 
have no connection to a signal system; however, PTC will operate to 
perform its intended function in the event of failure of the engineer 
to obey a restrictive condition displayed in the cab.

[[Page 7943]]

    Sec. 236.511  Cab signals controlled in accordance with block 
conditions stopping distance in advance. Waiver is requested exempting 
the PTC onboard display from the cab-signal requirements in this 
section.
    Justification: PTC is not an automatic cab signal system and will 
have no connection to a signal system.
    Sec. 236.514  Interconnection of cab signal system with roadway 
signal system. Waiver is requested exempting PTC from the requirement 
of interconnection with a roadway signal system.
    Justification: There are no roadway signal systems installed on the 
ARRC, therefore PTC will have no connection with a signal system.
    Sec. 236.515  Visibility of cab signals. Waiver is requested 
exempting the PTC display from the visibility requirements of this 
section during the test phase.
    Justification: PTC is not an automatic cab signal system and the 
design excludes any visual representation of signal aspects or 
indications. However, the visibility requirements will be met in the 
PTC production system.
    Sec. 236.534  Entrance to equipped territory; requirements. Waiver 
is requested exempting the PTC from the requirements of this section 
during the test phase.
    Justification: PTC tests require flexibility in installing, 
removing, turning on, and turning off PTC equipment.
    Sec. 236.551  Power supply voltage; requirement. Waiver is 
requested exempting the onboard PTC power supply from the voltage 
requirement of this section.
    Justification: PTC onboard equipment will function with more then a 
50% variation in voltage.
    Sec. 236.552  Insulation resistance; requirement. Waiver is 
requested exempting PTC equipment from the insulation resistance 
requirement of this section.
    Justification: PTC onboard equipment consists of computers, 
computer peripherals, and communications equipment. Insulation 
resistance tests could be damaging to such components.
    Sec. 236.553  Seal, where required. Waiver is requested exempting 
PTC equipment from the seal requirement of this section.
    Justification: The PTC system will allow for manual disablement of 
onboard PTC functions and equipment both remotely from the dispatching 
office and through an onboard manual function. Use of the onboard 
cutout function will be electronically monitored and reported to the 
dispatcher as an alarm.
    Sec. 236.566  Locomotive of each train operating in train stop, 
train control or cab signal territory; equipped. Waiver is requested to 
the extent that the equipped requirements in the section shall not 
apply to PTC during the test phase.
    Justification: A small subset of locomotives operating in the test 
territory will be PTC-equipped; the majority of trains will not be 
equipped. PTC tests require flexibility in installing, removing, 
turning on and turning off the onboard equipment. In any case, all PTC 
tests will be conducted under the provisions of the rules governing the 
existing methods of operation.
    Sec. 236.567  Restrictions imposed when device fails and/or is cut 
out en route. Waiver is requested exempting PTC tests from the 
restrictions associated with device failure or cutout.
    Justification: PTC tests require flexibility in installing, 
removing, turning on and turning off the on-board equipment. All PTC 
tests will be conducted under the provisions of the rules governing the 
existing methods of operation and a failure or deactivation of the PTC 
equipment will not jeopardize safety of train operations.
    Sec. 236.586  Daily or after trip test. Waiver is requested 
exempting PTC from the requirements of this section during the test 
phase.
    Justification: During the PTC test phase, the requirements for a 
daily or after-trip test, if necessary, will be defined. An objective 
is to perform this test without human intervention.
    Sec. 236.587  Departure test. Waiver is requested exempting PTC 
from the test requirements of this section during the test phase.
    Justification: During the PTC test phase, the requirements for a 
departure test will be defined. An objective is to perform this test 
without human intervention.
    Sec. 236.588  Periodic test. Waiver is requested exempting PTC from 
the requirements of this section during the test phase.
    Justification: During the PTC test phase, the requirements for 
periodic testing will be defined.
    Sec. 236.703  Aspect. Clarification is requested exempting the PTC 
display from this definition.
    Justification: PTC is not an automatic cab signal system and its 
design does not include any visual representation of signal aspects or 
indications.
    Sec. 236.805  Signal, cab. Clarification is requested exempting the 
PTC display from this definition.
    Justification: PTC is not an automatic cab signal system and its 
design does not include any visual representation of signal aspects or 
indications.
    Sec. 240.127  Criteria for examining skill performance. Waiver is 
requested exempting PTC from the testing requirements of this section 
during the test phase.
    Justification: Criteria and procedures for PTC performance 
evaluation do not yet exist; they will be identified and defined during 
the PTC test phase.
    Sec. 240.129  Criteria for monitoring operational performance of 
certified engineers. Waiver is requested exempting PTC from the 
performance monitoring procedures during the test phase.
    Justification: Criteria and procedures for PTC performance 
evaluation do not yet exist; they will be identified and defined during 
the test phase.
    Interested parties are invited to participate in these proceedings 
by submitting written views, data, or comments. FRA does not anticipate 
scheduling a public hearing in connection with these proceedings since 
the facts do not appear to warrant a hearing. If any interested party 
desires an opportunity for oral comment, they should notify FRA, in 
writing, before the end of the comment period and specify the basis for 
their request.
    All communications concerning this proceeding should identify the 
appropriate docket number (e.g., Waiver Petition Docket Number FRA-
1998-4901) and must be submitted in triplicate to the Docket Clerk, 
Office of Chief Counsel, Federal Railroad Administration, Nassif 
Building, 400 Seventh Street, SW, Washington, DC 20590.
    Communications received within 45 days of publication of this 
notice will be considered by FRA before final action is taken. Comments 
received after that date will be considered as far as practicable. All 
written communications concerning these proceedings are available for 
examination during regular business hours (9 a.m.-5 p.m.) on the 7th 
floor, 1120 Vermont Avenue, NW, Washington, DC 20590.

    Issued in Washington, DC, on February 10, 1999.
Grady C. Cothen, Jr.,
Deputy Associate Administrator for Safety Standards and Program 
Development.
[FR Doc. 99-3844 Filed 2-16-99; 8:45 am]
BILLING CODE 4910-06-P