[Federal Register Volume 64, Number 190 (Friday, October 1, 1999)]
[Notices]
[Pages 53435-53444]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 99-25541]
-----------------------------------------------------------------------
DEPARTMENT OF TRANSPORTATION
Federal Railroad Administration
Petitions for Waivers of Compliance; Petition for Exemption for
Technological Improvements
In accordance with Title 49 Code of Federal Regulations (CFR)
Sections 211.9 and 211.41, and 49 U.S.C. 20306, notice is hereby given
that the Federal Railroad Administration (FRA) has received a request
for waiver of compliance with certain requirements of the Federal
railroad safety regulations and a request for exemption of certain
statutory provisions. The individual petition is described below,
including the party seeking relief, the regulatory and statutory
provisions involved, the nature of the relief being sought and the
petitioner's arguments in favor of relief.
Utah Transit Authority
FRA Waiver Petition No. FRA-1999-6253
Utah Transit Authority (UTA) seeks a permanent waiver of compliance
from certain CFR parts of Title 49, specifically: Part 219, Control of
Alcohol and Drug Use; part 221, Rear End Marking Device--Passenger,
Commuter and Freight Trains; part 223, Safety Gazing Standards--
Locomotives, Passenger Cars and Cabooses; part 225, Railroad Accidents/
Incidents--Report Classification, and Investigations; part 228, Hours
of Service of Railroad Employees; part 229, Railroad Locomotive Safety
Standards; part 231 Railroad Safety Appliance Standards; part 234,
Grade Crossing Signal System Safety; part 238, Passenger Equipment
Safety Standards; part 239, Passenger Train Emergency Preparedness;
part 240, Qualification and Certification of Locomotive Engineers; and
the statutory requirements 49 U.S.C. 20301 through 20305.
UTA seeks approval of shared track usage and waiver of certain FRA
regulations involving light rail passenger operations on the planned
light rail transit system known as ``TRAX.'' The TRAX System will
operate on an approximately 15 mile track between downtown Salt Lake
City and the City of Sandy, Utah to the south. FRA has jurisdiction
over a portion of the TRAX System because it will be connected to the
general railroad system of transportation; a portion of the TRAX System
will be on a rail line on which a short line freight railroad currently
operates, and will continue to operate after start-up of TRAX service.
In each section entitled ``Justification,'' FRA merely sets out
UTA's justifications which are included in its petition. In doing so,
UTA references the proposed Joint Policy Statement on Shared Used of
the General Railroad System issued by FRA and the Federal Transit
Administration (FTA) (64 FR 28238; May 25, 1999) (``Policy
Statement''). The proposed policy statement suggests that regulation of
light rail service on the general rail system, under conditions of
temporal separation from conventional rail movements, be handled
through application of complementary strategies. FRA regulations would
generally be employed to address hazards common to light rail and
conventional operations for which consistent handling is necessary,
while other hazards would be handled under FTA's program of State
Safety Oversight (49 CFR Part 659). See proposed Policy Statement for
details. Since FRA has not yet concluded its
[[Page 53436]]
investigation of the planned TRAX system, the agency takes no position
at this time on the merits of UTA's stated justifications. As part of
FRA's review of the petition, the Federal Transit Administration will
appoint a non-voting liaison to FRA's Safety Board, and that person
will participate in the board's consideration of UTA's waiver petition.
Part 219 Control of Alcohol and Drug Use
Part 219 prescribes minimum Federal safety standards for the
control of alcohol and drug use by railroad workers for the purpose of
preventing accidents and casualties in railroad operations that result
from impairment of employees by alcohol or drugs.
Justification
UTA requests a waiver of all of the requirements of part 219 so
that all of the employees assigned to the TRAX System who would
otherwise be covered employees under this part, would become covered
employees subject to UTA's existing drug and alcohol program under the
FTA rules at 49 CFR part 653, Prevention of Prohibited Drug Use in
Transit Operations, and part 654, Prevention of Alcohol Misuse in
Transit Operations. UTA believes that this would provide UTA with
operational advantages while preserving an equivalent level of safety.
The FTA regulations apply to recipients of Federal mass transit
funds, except those ``specifically excluded'' because they are
recipients operating railroads regulated by FRA. 49 CFR 653.5 and
654.5. In such cases, a recipient is to follow FRA regulations in 49
CFR part 219 for its ``railroad operations.'' However, such a recipient
is still required to certify that it is in compliance with applicable
rules and to comply with parts 653 and 654 for its ``non-railroad
operations.''
UTA is a recipient of Federal mass transit funds, and therefore,
would be subject to the compliance certification provision of FTA's
regulations at parts 653 and 654 for any railroad operations otherwise
covered by FRA's regulations at 49 CFR part 219, and is currently
subject to all of the requirements of parts 653 and 654 for UTA's bus
operations. If granted a waiver from the requirements of part 219, the
subject light rail operations would automatically fall under the
regulatory jurisdiction of FTA. Thus, all of the employees assigned to
the LRT operation, who would otherwise be covered employees under this
part, would become covered employees under FTA's rules at parts 653 and
654.
Application of the FTA drug and alcohol rules, when implemented in
compliance with the FRA rule, would provide an equivalent level of
safety consistent with the policy underlying part 219. A basic review
of the respective FRA and FTA regulations reveals that they are quite
similar in purpose, structure and substance. Both regulations are
intended to enhance safety by prohibiting and eliminating misuse of
drugs and alcohol which might otherwise result in accidents and
injuries to employees and the traveling public. Both regulations
provide for procedural and recordkeeping requirements to safeguard the
integrity of the program and provide privacy and due process
protections for covered employees. Finally, both sets of regulations
prohibit impaired employees from performing safety sensitive functions
and require testing of essentially the same personnel under similar
circumstances (i.e., random, post-accident, reasonable suspicion, and
return-to-duty testing, and in the case of drugs, pre-employment
testing).
Although there are differences between the regulations, there are
no major policy differences with respect to the need to eliminate drug
and alcohol misuse or the primary importance of safety in
transportation operations. The most obvious difference involves the
application of penalties for non-compliance. Under FRA rules, a
regulated entity found to be in violation of the rule may be subject to
the assessment of civil penalties in accordance with a published
schedule. The FTA regulations do not contain such a civil penalty
structure. However, under the FTA regulations, compliance is a
condition for eligibility for receipt of Federal funds. Non-compliance
can result in suspension of eligibility for applicable Federal funding
altogether. Thus, the severity of the potential penalty serves as a
deterrent in the same way as the FRA civil penalty program.
Part 221 Section 221.13(d)--Marking Devices Display; Section
221.14(a)--Marking Devices
Sections 221.13(d) and 221.14(a) contain requirements that
passenger, commuter and freight trains be equipped with and display
rear end marking devices. The requirements are intended to reduce the
likelihood of rear-end collisions due to the inconspicuity of the rear-
end of a leading train.
Justification
UTA seeks a waiver from these requirements because the TRAX
vehicles, while having rear end lights, will not have the specific
marking devices set forth in the regulation. However, exemption from
the marking device requirement in this case will not compromise safety.
The TRAX light rail cars are designed to have two taillights
permanently mounted into the car body. These red lights are designed to
be visible for a distance of 500 feet from the rear-end of the train
and are located 45 inches above the top of rail. Because the rear
lights on the TRAX vehicles will make them conspicuous to any trailing
train, the TRAX vehicle lighting will provide an equivalent level of
safety to that provided by the FRA regulation.
Part 223 Section 223.9(c)--Glazing Requirements; Section 223.17--
Identification.
Section 223.9(c) requires that passenger cars be equipped with FRA-
certified glazing in all windows. This requirement is intended to
reduce the likelihood of injury to passengers and/or employees from
breakage and shattering of windows (including windshields). Section
223.17 requires each passenger car that is fully equipped with FRA
compliant glazing material to have a notice of compliance stenciled on
an interior wall of the car. This serves the purpose of providing
notice about the glazing material in the car.
Justification
UTA requests a waiver of this requirement because the TRAX vehicle
will conform instead to the windshield and window requirements of
Sec. 6.04 of Appendix A of California Public Utilities Commission
(CPUC) General Order 143-A. Under this standard, windshields and other
windows must be made of laminated safety glass or shatter-proof or
tempered glazing material. Glass meeting this standard is break-
resistant in normal usage, but if broken, will ``crumble'' into pebble-
like pieces, posing no significant hazard to passengers, employees, or
rescue personnel. The use of such safety glass windows is standard
throughout the rail transit industry for (among other applications) in-
street light rail operations, where it has proved both durable and
safe. In addition, the interior side of the window surfaces will have a
carbonate coating. While the primary purpose of the coating is to
render the windows resistant to graffiti, the coating also serves to
provide additional protection against spalling in the event the window
is broken. This extra protection adds to the safety of the windows.
Finally, the risk associated with vandalism (such as by rocks
[[Page 53437]]
thrown against the windows) is addressed from an operational standpoint
in the security portions of the Safety Plan.
Section 223.9 Emergency Exit Window Markings.
Section 223.9(d) sets forth requirements for the marking of
emergency windows and the posting of emergency window operating
instructions. These requirements are intended to help passengers and
emergency responders distinguish emergency windows from other windows
and provide information on the operation of the emergency windows.
Justification
UTA requests a waiver from these requirements because the TRAX
vehicles are not equipped with emergency windows. Thus, identification
of some windows as ``emergency windows'' and the posting of special
operating instructions is not appropriate in this instance.
Section 223.15(c) Emergency Window Requirements
Section 223.15(c) requires each passenger train car to be equipped
with at least four emergency windows designed to permit rapid and easy
removal during an emergency. This requirement is intended to enhance
safety by providing emergency egress in addition to egress through
vehicle doorways.
Justification
UTA requests a waiver of this requirement because although the TRAX
vehicle will not literally meet this standard, it will meet or exceed
the safety objective of the requirement. As noted above, the TRAX
vehicles will not be manufactured with emergency windows. Rather, the
TRAX vehicle is designed so that the doorways provide the requisite
emergency exit capability. In fact, the TRAX vehicle doorways provide
greater access/egress capability than is found on conventional commuter
rail cars.
Each vehicle has four sets of double doors on each side of the
vehicle. Each set of double doors provides a 8-foot by 4-foot opening,
and the vehicle is designed such that the cars can completely empty in
less than one minute with all doors open. The doors are releasable
through an emergency release lever and may be opened without power
supply. The interior door release levers will be clearly marked and in
a location accessible to all passengers. These release features make it
very unlikely that a crash would render more than one set of doors in a
car, if any, inoperative, and enable quick and easy opening of the
doors by passengers. Even if one set of doors were inoperative after a
crash, the other sets of doors would still provide significant
opportunity for egress. The placement of two sets of doors on each side
of the vehicle will provide significant capacity for mobility in and
out of each side of the car should one side not be suitable for use in
exiting the train.
UTA believes that the doors will provide emergency egress capacity
equivalent to or better than FRA emergency exit window requirements.
With these features, there is little risk of passengers becoming
trapped or rescue personnel being unable to reach passengers.
Accordingly, a waiver of Sec. 223.15(c) is justified. In addition, the
TRAX Emergency Response Plan provides for passenger evacuation and
crowd control planning.
Part 225 Railroad Accidents/Incidents Reporting
Part 225, Reports Classification, and Investigations, prescribes
reporting requirements for accident/incidents meeting the materiality
thresholds in Sec. 225.19. The reporting requirements support FRA's
enforcement efforts and provide information to detect trends on an
industry-wide basis.
Justification
UTA requests a waiver of reporting and investigation requirements
for injuries because UTA will be following the injury reporting
requirements which will be established by UDOT, as required by UTA's
System Safety Program Plan (SSPP). In addition, UTA is responsible for
compliance with applicable Occupational Safety and Health
Administration workplace injury reporting requirements. Compliance with
FRA regulations for injuries on the Shared Trackage would require the
creation of a separate administrative structure for injury reporting,
which would place an unnecessary administrative burden on UTA without
enhancing safety.
Part 228 Records and Reporting
Sections 228.17(a) (2)-(10) of part 228 contain train movement
recordkeeping requirements to be maintained by persons performing
dispatcher functions. These requirements are intended to aid FRA in
enforcing the statutory hours of service requirements by providing a
detailed record of train movements and crew locations.
Justification
UTA requests a waiver of these requirements because they will
create an unnecessary paperwork burden for UTA, while providing little
of the benefit they do in the freight railroad operating environment.
The requirements of Secs. 228.17(a)(2)-(10) are designed for freight
railroad operations, where there usually are multiple dispatching
districts, varying train consists, routes and locomotive power units,
changing train schedules, and unscheduled trains. On freight railroads
dispatcher and train crew working hours may vary and reporting stations
may change. Usually work is not confined to a short segment of rail
line and overnight time away from home is common. In this environment
the FRA-required dispatcher records are useful for keeping track of
trains and train crews, which is essential to assuring compliance with
the hours of service requirements without disruption to service.
TRAX service, however, is very different. TRAX Controllers will
operate out of one facility, running the same consist on the same route
every operating day. TRAX service will operate on a scheduled basis on
a 15-mile line, and will make station stops. Controllers and vehicle
operators will work fixed schedules, with many of the same controllers
and vehicle operators working the same hours each week. TRAX records
maintained by other personnel will contain information on the
controllers and vehicle operators working on particular times on
particular days. Controllers and vehicle operators will not need to be
away from their home terminals as part of their work duty. Although
TRAX controllers will control the movement of freight trains once the
trains are admitted to the Shared Trackage, the controllers are not
responsible for dispatching freight trains or tracking crew movements
generally. Thus, in the TRAX operating environment, the standard
records maintained by UTA on train and train crew movements and
operator attendance will provide sufficient information to determine
service hours worked.
Part 229 Railroad Locomotive Safety Standards
Sections 229.46-229.59 set forth standards related to operation and
maintenance of railroad locomotive air brake systems. These
requirements are intended to ensure that locomotive brake components
are and remain in good working order to permit the proper function of
the brake system and to
[[Page 53438]]
reduce the likelihood of accidents due to failures of locomotive brakes
and/or brake system components.
Justification
Standard railroad locomotives employ air brake systems and
Secs. 229.46-229.59 are designed to regulate such systems. The TRAX
vehicles, however, use electrically activated hydraulic brakes,
supplemented by dynamic brakes and magnetic track brakes. Because the
TRAX vehicles do not have air brakes, Secs. 229.46-229.59 are not
applicable to the TRAX vehicle brake system. UTA assures FRA, however,
that safety will not be compromised. UDOT regulations and UTA's Safety
Plan for the operation and maintenance of the TRAX System will require
that the inspection, testing, maintenance and operation of the brake
equipment on the TRAX vehicle rise to an equivalent level of safety as
that achieved through compliance with Secs. 229.46-229.59 on
conventional commuter rail equipment.
UTA requests that FRA confirm that Secs. 229.46-229.59 are not
applicable to the TRAX System. Alternatively, should FRA determine that
these sections do apply, UTA requests a waiver of these sections since
the differences between air brake and electrically activated hydraulic
brake systems render application of the requirements inappropriate and
because UDOT regulations and the UTA Safety Plan will provide an
equivalent level of safety.
Section 229.61 Draft System
Section 229.61 requires that couplers be free of excessive slack,
breaks and cracks in certain critical component areas. Section 229.61
also requires a device to be provided to prevent drawbar and
articulated connection pins from falling out in the case of breakage.
The purpose of these requirements is to ensure that the coupler is in
good working order to perform as required.
Justification
UTA requests a waiver from the requirements in Sec. 229.61 because
the TRAX vehicles do not utilize a draft system for coupling. Rather,
the TRAX vehicle has a Scharfenberg Coupler, which is an automatic way
of connecting the light rail vehicles both physically and electrically.
As the two couplers come into contact with each other, the indexed
male/female coupler faces its mate providing a ridged interface. As the
coupler faces come together the electrical head cover swings up and
allows the pin connectors to engage, allowing train line communication.
The coupler is an energy absorbing connecting device in both buff and
draft. The coupler is capable of absorbing 175 kN at a velocity of 3
mph. The buff and draft loads are transmitted to the car underframe via
the coupler shank and rubber cushion draw gear. When the two couplers
are connected, the coupler locks form a parallelogram where the draft
forces are counterbalancing each other, thus making unintentional
uncoupling impossible. The coupler attaches to the vehicle underframe
via four cap bolts torqued to 295 ft. lbs. See Exhibit J. The Safety
Plan will provide for operation and maintenance of vehicle couplers in
good working order.
Section 229.65 Spring Rigging
Section 229.65 sets forth requirements for the safety of springs
and shock absorbers. The purpose of these requirements is to ensure
that these components are in good working order and that safety hazards
will be minimized if the components do break.
Justification
UTA requests a waiver of the requirements of Sec. 229.65 because
the TRAX vehicle has a different type of suspension system than that
envisioned by the regulation. The suspension system of the TRAX vehicle
consists of a primary elastometric element (Chevron spring type) and a
secondary coil spring. The maximum amount of vehicle drop in the event
of spring breakage is three inches. In the event of a vehicle
derailment, the powered and non-powered bogies are held to the car
frame using bogie retainer rods.
In accordance with the Safety Plan, UTA will maintain the TRAX
vehicles' suspension system to ensure that the suspension system is
free of material defects and operates in good working order.
Section 229.71 Clearance above Top of Rail
Section 229.71 requires that no part or appliance of a locomotive,
with limited exceptions, be less than 2 1/2 inches above the top of
rail. The purpose of this requirement is to ensure that inappropriate
parts of the locomotive do not make contact with the tracks or
obstructions on the tracks, thereby decreasing the risk of derailment.
Justification
UTA requests a waiver from this requirement because the track
brakes on the TRAX vehicle are located between the wheels of the truck
just one inch above the rail. The track brakes, which are essentially
large magnets, must be positioned there to operate properly. However,
the presence of the track brakes close to the track does not present a
safety hazard. Because of the placement of the brakes between the
wheels, any obstruction on the track would be struck by the wheels
before striking the brakes.
Section 229.77(b) Current Collectors
Section 229.77(b) requires that each pantograph operating on an
overhead trolley wire have a device for locking and grounding it in the
lowest position, which can be applied and released only from a position
where the operator has a clear view of the pantograph and roof and
without mounting the roof. The purpose of this requirement is to reduce
the risk of electrical shock injury due to defective or ungrounded
pantographs.
Justification
UTA requests a waiver from this requirement because in the TRAX
vehicle the operator will not be able to see the pantograph from the
cab. However, if the pantograph is defective, the train will be unable
to move and the operator will know there is a problem with the
pantograph. On the TRAX vehicles, the pantograph is raised and lowered
electrically from inside the controlling cab. In the event that
manually raising or lowering the pantograph is necessary, it is done
from inside the vehicle with a specialized tool. Thus, the operator
remains separated from risks associated with contact with the
pantograph.
Section 229.125 Headlights and Auxiliary Lights
Sections 229.125(a), (b), (d), and (f) contain specifications for
the placement and brightness of locomotive headlights and auxiliary
lights. The purpose of these requirements is to reduce the risk of
collisions attributable to inconspicuity of the train, particularly in
low light level situations.
Justification
UTA requests a waiver from this requirement because the exterior
lighting of the TRAX vehicle is designed in conformance with Secs. 5.01
and 5.02 of Appendix A of CPUC General Order 143-A. See Exhibit I.
These lights on the TRAX vehicles will provide an equivalent level of
conspicuity to the vehicles, thereby meeting FRA's regulatory
objective.
In accordance with CPUC General Order 143-A, the TRAX vehicles will
be equipped with two headlights that are capable of revealing a person
or motor vehicle in clear weather at a distance of 600 feet and which
will be adjusted so as not to interfere with the vision of
[[Page 53439]]
motor vehicle drivers. The TRAX vehicles also will be equipped with a
third light, centrally positioned near the top of the vehicle, creating
a triangle configuration with the headlights. This triangular lighting
configuration will render the TRAX vehicle easily distinguishable to
motor vehicles and freight trains.
In addition, the TRAX vehicle will have two red lights which will
emit a light plainly visible in clear weather from a distance of not
less than 500 feet to the rear of the train. The TRAX vehicle will also
have two red stoplights mounted on the end with the taillights. These
stoplights will be capable of producing approximately 150 percent of
the intensity of the taillights and will be illuminated whenever any
brake other than the parking brake is applied. These lights will make
the TRAX vehicle clearly visible to any other train on the tracks, as
well as to motor vehicle traffic at grade crossings.
Section 229.135 Event Recorders
Section 229.135 requires that, with certain exceptions, any train
which is operated faster than 30 mph must be equipped with an in-train
event recorder in the lead locomotive. Event recorders keep automatic
records of various type of train activities, such as speed, brake
applications, signals passed, etc., that can be used both to aid in the
reconstruction of accidents and to monitor safety compliance by train
operators.
Justification
UTA requests a waiver from this requirement because the TRAX
vehicles will not be equipped with event recorders. However, the Train
Control Units (TCU) within each vehicle are capable of capturing all of
the information required by the regulation, except for throttle
position. Although the TCU is not a continuous recorder, it is
activated any time a fault is seen and the information captured is
saved indefinitely (it cannot be overwritten like it can be on a
traditional event recorder). Consequently, in the event of an accident,
the TCU will capture virtually all the same information required by the
regulation, making this information available to UTA and state and
federal investigators for accident reconstruction and safety oversight
purposes.
Part 231 Passenger Cars Without End Platforms
Section 231.14 specifies the requisite location, number,
dimensions, and manner of application of a variety of railroad car
safety appliances (e.g., hand brakes, ladders, handholds, steps),
directly implementing a number of statutory requirements found in 49
U.S.C. 20301 through 20305.
The statute contains specific standards for automatic couplers,
sill steps, hand brakes, and secure ladders and running boards. Where
ladders are required, the statute mandates compliant handholds or grab
irons for the roof of the vehicle at the top of each ladder. Compliant
grab irons or handholds also are required for the ends and sides of the
vehicles, in addition to standard height drawers. In addition, the
statute requires trains to be equipped with a sufficient number of
vehicles with power or train brakes so that the engineer may control
the train's speed without the use of a common hand brake. At least 50
percent of the vehicles in the train must be equipped with power or
train brakes, and the engineer must use the power or train brakes on
those vehicles and all other vehicles equipped with such brakes that
are associated with the equipped vehicles in the train.
Aside from these statutory-based requirements, the regulations
provide additional and parallel specifications for hand brakes, sill
steps, side handholds, end handholds, end handrails, side-door steps
and uncoupling levers. More specifically, each passenger vehicle must
be equipped with an efficient hand brake that operates in conjunction
with the power brake on the train. The hand brake must be located so
that it can be safely operated while the passenger vehicle is in
motion. Passenger cars must have four sill steps and side-door steps
and prescribed tread length, dimensions, material, location, and
attachment devices for sill steps and side-door steps. In addition,
there are requirements for the number, composite material, dimensions,
location, and other characteristics for side and end handholds and end
handrails. Finally, this section requires the presence of uncoupling
attachments that can be operated by a person standing on the ground.
These very detailed regulations are intended to ensure that
sufficient safety appliances are available and that they will function
safely and securely as intended.
Justification
As noted above, some of the requirements in Sec. 231.14 are
required by statute and, therefore, are not subject to waiver under
FRA's regulatory waiver provisions. FRA does, however, have the
statutory authority to provide exemptions from these statutory
requirements. 49 U.S.C. 20306. Consequently, UTA requests exemption
from and/or waiver of these requirements, as appropriate, because the
TRAX light rail vehicles will be equipped with their own array of
safety devices resulting in equivalent safety. These are discussed
below in greater detail.
The TRAX light rail vehicles are low boarding vehicles. The risk of
falling while climbing aboard the vehicle is minimal, and therefore
most of the listed appliances are not necessary for safety. The TRAX
light rail vehicles do, however, have equivalent versions of some of
the safety appliances that are tailored to TRAX operations. For
example, to ensure passenger and crew safety during the embarking/
disembarking process and during operation of the vehicles, the TRAX
light rail vehicles are equipped with grab handles and bars. In
addition, each vehicle is equipped with an appliance running the length
of the front of the vehicle to provide protection against foreign
objects being caught under the car body while the vehicle is in motion.
Also, the TRAX light rail vehicles are equipped with automatic
couplers, rendering uncoupling levers unnecessary.
The TRAX light rail vehicles will have brakes that meet the
standards set forth in CPUC General Order 143-A, Exhibit I, and will be
inspected, tested, and maintained as required by Section 5 of the UTA
Safety Plan, Exhibit G. Therefore, the TRAX light rail vehicle brake
system will be equivalent to a standard air brake system, and thus
provide an equivalent level of safety.
UTA is aware that it may obtain exemption from the statutory safety
appliance requirements mentioned above only if application of such
requirements would ``preclude the development or implementation of more
efficient railroad transportation equipment or other transportation
innovations.'' 49 U.S.C. 20306. The exemption for technological
improvements was originally enacted to further the implementation of a
specific type of freight car, but the legislative history shows that
Congress intended the exemption to be used elsewhere so that ``other
types of railroad equipment might similarly benefit.'' S. Rep. 96-614,
at 8, (1980), reprinted in 1980 U.S.C.C.A.N. 1156, 1164.
FRA has recognized the potential public benefits of temporally
separated transit use on segments of the general railroad system. Light
rail transit systems ``promote more livable communities by serving
those who live and work in urban areas without adding congestion to the
nation's overcrowded
[[Page 53440]]
highways.'' FRA Policy Statement at 28238. They ``take advantage of
underutilized urban freight rail corridors to provide service that, in
the absence of the existing right of way, would be prohibitively
expensive.'' There have been many technological advances in types of
equipment used for passenger rail operations, such as the use of light
rail transit vehicles that will be used for the TRAX light rail system.
Light rail transit equipment is energy efficient for passenger rail
operations because it is lighter than conventional passenger equipment.
Most light rail vehicles are electric, which reduces air pollution.
Light rail vehicles are able to quickly accelerate or decelerate, which
makes them more suitable than other equipment types in systems with
closely-configured stations. Denying UTA's request for an exemption
from certain safety appliance requirements, would preclude the
implementation of light rail transit for shared use/temporal separation
operations. Moreover, compliance with the statutory requirements is not
necessary for safe operations.
With regard to the regulatory requirements of Sec. 231.14, the TRAX
light rail vehicles will be equipped with safety appliances that are
more appropriate for light rail transit vehicles, thus achieving an
equivalent or superior level of safety in the TRAX operating
environment.
Section 234.105(c)(3) Activation Failure
Section 234.105 sets forth procedures to be followed in the event
of a failure of the activating mechanism of a highway-rail grade
crossing warning system. Section 234.105(c) provides for alternative
means of actively warning highway users of approaching trains during
periods of warning system activation failure. These requirements are
intended to prevent collisions between motor vehicles and trains at
grade crossings due to failure of the grade crossing warning system by
providing for alternate means of controlling traffic at such crossings.
Justification
UTA requests a waiver from this requirement because this procedure
is not compatible with TRAX operations. In cases of grade crossing
warning system activation failures, UTA will deploy flaggers or request
the deployment of uniformed law enforcement officers to provide traffic
control services, in accordance with the requirements of this section.
However, there may be times at which no flagger or uniformed law
enforcement officer is available. In such instances, UTA will not be
able to follow the procedure in Sec. 234.105(c)(3) to move the train
through the crossing because the TRAX vehicles will be operated by one
person crews, and that crewmember cannot leave the train to flag the
crossing. Instead, UTA proposes to bring the train to a full stop at
the crossing, sound an appropriate audible warning device on the
vehicle, then proceed through the crossing at restricted speed as
conditions permit (in any case less than 15 mph). The combination of
the proposed procedure along with the fact that almost all of the
crossings will have non-mountable clearly marked medians, will provide
a level of safety equivalent to that provided by the FRA rule, while
causing less disruption to TRAX service.
Section 238.113 Emergency Window Exits
Section 238.235 requires passenger cars to have a minimum of four
emergency exit windows of specified size and operational
characteristics. This requirement is intended to provide for
sufficient, easily accessible avenues of egress from passenger cars in
the case of emergency.
Justification
UTA requests a waiver of this requirement on the same basis with,
and with the same justification as, the waiver requested for
Sec. 223.15(c).
Section 238.115(b) Emergency Lighting and Back-up Power
Section 238.123(b) requires passenger cars to provide battery
powered emergency lighting meeting certain specified standards. The
purpose of this requirement is to ensure that in an emergency
situation, sufficient lighting will remain available to aid passengers,
crew members and, rescue personnel to access and leave the train
safely.
Justification
UTA seeks a waiver from some of the requirements of Sec. 238.115(b)
because the TRAX vehicle uses an emergency lighting system typical of
light rail vehicles in service throughout North America.
The emergency lighting on the TRAX vehicle will operate in all
equipment within 45 degrees of vertical and will operate for a period
of at least four hours, in excess of the FRA standard. The emergency
lights, placed over every other door, will provide sufficient light to
facilitate easy egress from and access to the low interior floor. The
emergency lighting and back-up power in the operator's cab will be
sufficient to permit safe operation of the control, radio, and public
address system.
TRAX vehicles will operate in an urban/suburban region; the route
is at-grade with many easy points of access. The farthest distance
between the track and a street access point is 1,000 feet. Emergency
responders will be able to reach any portion of the system reasonably
quickly.
The TRAX emergency lighting and back-up power systems will provide
necessary and adequate functioning in the TRAX environment. This
request is consistent with FRA's position on the appropriate treatment
of this part as stated in the Policy Statement. Policy Statement at
28242. Accordingly, a waiver of Sec. 238.115(b) is justified.
Section 238.203 Static End Strength
Section 238.203 provides for the overall compressive strength of
rail passenger cars. This section is intended to prevent sudden,
brittle-type failure of the main structure of a passenger car, thereby
providing protection of occupants in the case of a crash.
Justification
UTA requests a waiver of these requirements because the TRAX
vehicles are constructed to comply with Sections 6.02--6.03 of Appendix
A of CPUC General Order 143-A. Specifically, each TRAX vehicle will be
equipped with collision or cab-end corner posts, and the connection of
the corner posts to the supporting structures (and the supporting
structure itself) must be able to develop the full bending capacity of
the collision or corner posts. Further, the vehicle will be designed
and constructed such that all major structural components meet or
exceed the following for both an unloaded and a fully loaded LRV body:
under the action of an end compression load applied to twice the
unladen car body weight applied longitudinally at the end sills, there
shall be no permanent strain in any structural member and there shall
be no stress in any such member exceeding the yield strength of yield
point of the material.
The TRAX vehicle is manufactured using a low alloy high tensile
steel frame. This framework consists of two end sections attached to a
single articulation joint. Each end section is made up of an end
underframe which contains the anti-climber, body bolster, corner posts
and the anti-telescoping structural safety design feature. The SD 100
design permits end structure loading to be transferred from the anti-
climber through the corner posts up to the roof structure. This
transfer of structural loading to the roof structure
[[Page 53441]]
helps to protect the passenger compartment by preventing the floor
structure from receiving the full load. The car body side sheets also
add to the structural integrity of the SD 100 car body. The TRAX
vehicle has a specified compression load at coupler anchorage level of
445 kN (100,000 lbs). The tested compression loading, using an empty
car at the level of the anti-climber, was 687.21 kN (154,500 lbs). This
is in line with the design compression loads commonly found on light
rail transit vehicles in service in North America.
UTA believes that the design and construction of the TRAX vehicles
will provide an equivalent level of safety, particularly in the TRAX
operating environment. As noted previously, because of the temporal
separation of the freight and passenger operations over the TRAX line,
the risk of collisions between freight and passenger trains is
virtually eliminated. Consequently, the need for the TRAX vehicles to
have sufficient structural strength to survive a collision with a
freight train is minimized. The CPUC standard for light rail vehicles
will ensure that the vehicles will have sufficient structural capacity
to survive collision with each other or other objects (such as motor
vehicles) with limited risk of injury to occupants.
Section 238.205(b) Anti-climbing Mechanism
Section 238.205(b) requires locomotives, including MU locomotives
(as defined in Sec. 238.5), to have forward and rear end anti-climbing
mechanisms capable of resisting an upward or downward vertical force of
200,000 pounds without failure. These requirements are intended to
prevent override or telescoping of one passenger train unit into
another in the event of high compressive forces caused by a derailment
or collision.
Justification
UTA requests a waiver from these requirements because the TRAX
vehicle will have an anti-climber mechanism on each end of the vehicle
designed and constructed with projecting steel corrugations that will
interlock with a similar device on another LRV, as required under
Section 6.01 of Appendix A of CPUC General Order 143-A.
UTA believes that the design and construction of the TRAX vehicle
anti-climbers will provide an equivalent level of safety, particularly
in the TRAX operating environment. As noted previously, because of the
temporal separation of the freight and passenger operations over the
TRAX line, the risk of collisions between freight and passenger trains
is significantly reduced. Consequently, a requirement that the TRAX
vehicles have anti-climbers designed to sustain a collision with a
freight train is unnecessarily burdensome. The CPUC standard for light
rail vehicles will ensure that the anticlimbers function as intended to
lessen the severity of collision between light rail vehicles.
Section 238.207 Link Between Coupling Mechanism and Car Body
Section 238.207 sets forth strength requirements for the link
between the car coupling mechanism and the car body. The purpose of
this requirement is to avoid a premature failure of the draft system so
that the anticlimbing mechanism will have an opportunity to engage.
Justification
UTA requests a waiver from the requirements of Sec. 238.207 because
the TRAX vehicle does not utilize a draft system for coupling. Rather,
the TRAX vehicle has a Scharfenberg Coupler, which is an automatic way
of connecting the light rail vehicles both physically and electrically.
As the two couplers come into contact with each other, the indexed
male/female coupler faces its mate providing a ridged interface. As the
coupler faces come together the electrical head cover swings up and
allows the pin connectors to engage, allowing train line communication.
The coupler is an energy absorbing connecting device in both buff and
draft. The coupler is capable of absorbing 175 kN at a velocity of 3
mph. The buff and draft loads are transmitted to the car underframe via
the coupler shank and rubber cushion draw gear. When the two couplers
are connected, the coupler locks form a parallelogram where the draft
forces are counterbalancing each other, thus making unintentional
uncoupling impossible. The coupler attaches to the vehicle underframe
via four cap bolts torqued to 295 ft. lbs. The Safety Plan will provide
for operation and maintenance of vehicle couplers in good working
order.
Section 238.209 Forward-Facing End Structure of Locomotives
Section 238.209 prescribes several strength-related characteristics
for the skin of the forward-facing end of each locomotive. These
requirements are intended to provide protection to persons in the
occupied area of the locomotive cab.
Justification
UTA requests a waiver from these requirements because the TRAX
vehicles are designed to meet standard light rail transit car
specifications. The TRAX vehicle is manufactured with a low alloy high
tensile steel frame. This framework consists of two end sections
attached to a single articulation joint. Each end section is made up of
an end underframe which contains the anti-climber, body bolster, corner
posts, and the anti-telescoping structural safety design feature. This
design permits end structure loading to be transferred away from the
end of the locomotive to the roof structure, providing protection to
the passengers and crew inside the vehicle. This design has been used
in light rail vehicles in service throughout the country without
reported problems arising related to the front end strength of the
vehicles.
Section 238.211 Collision Posts
Section 238.211 requires passenger equipment to have two full-
height collision posts of specified strength at each end where coupling
and uncoupling are expected. This requirement is intended to provide
for protection against crushing of occupied areas of passenger cars in
the event of a collision or derailment.
Justification
UTA requests a waiver of these requirements because the TRAX
vehicles are constructed to comply with Secs. 6.02-6.03 of Appendix A
of CPUC General Order 143-A. Specifically, each TRAX vehicle will be
equipped with collision or cab-end corner posts, and the connection of
the corner posts to the supporting structures (and the supporting
structure itself) must be able to develop the full bending capacity of
the collision or corner posts. Further, the vehicle will be designed
and constructed such that all major structural components meet or
exceed the following for both an unloaded and a fully loaded LRV body:
under the action of an end compression load applied to twice the
unladen car body weight applied longitudinally at the end sills, there
shall be no permanent strain in any structural member and there shall
be no stress in any such member exceeding the yield strength of yield
point of the material.
The TRAX vehicle is manufactured using a low alloy high tensile
steel frame. This framework consists of two end sections attached to a
single articulation joint. Each end section is made up of an end
underframe which contains the anti-climber, body bolster,
[[Page 53442]]
corner posts, and the anti-telescoping structural safety design
feature. The SD 100 design permits end structure loading to be
transferred from the anti-climber through the corner posts up to the
roof structure. This transfer of structural loading to the roof
structure helps to protect the passenger compartment by preventing the
floor structure from receiving the full load. The car body side sheets
also add to the structural integrity of the SD 100 car body. The TRAX
vehicle has a specified compression load at coupler anchorage level of
445 kN (100,000 lbs). The tested compression loading, using an empty
car at the level of the anti-climber, was 687.21 kN (154,500 lbs). This
is in line with the design compression loads commonly found on light
rail transit vehicles in service in North America.
The design and construction of the TRAX vehicles will provide an
equivalent level of safety, particularly in the TRAX operating
environment. As noted previously, because of the temporal separation of
the freight and passenger operations over the TRAX line, the risk of
collisions between freight and passenger trains is virtually
eliminated. Consequently, the need for the TRAX vehicles to have
sufficient structural strength to survive a collision with a freight
train is minimized. The CPUC standard for light rail vehicles will
ensure that the vehicles will have sufficient structural capacity to
survive collision with each other or other objects (such as motor
vehicles) with limited risk of injury to occupants.
Section 238.213 Corner Posts
Section 238.213 requires two full-height corner posts of specified
strength at the end of each vehicle. These requirements serve to
provide protection to occupant compartments from side-swipe type
collisions.
Justification
UTA requests a waiver of these requirements because the TRAX
vehicles are constructed to comply with Secs. 6.02-6.03 of Appendix A
of CPUC General Order 143-A. Specifically, each TRAX vehicle will be
equipped with collision or cab-end corner posts, and the connection of
the corner posts to the supporting structures (and the supporting
structure itself) must be able to develop the full bending capacity of
the collision or corner posts. Further, the vehicle will be designed
and constructed such that all major structural components meet or
exceed the following for both an unloaded and a fully loaded LRV body:
under the action of an end compression load applied to twice the
unladen car body weight applied longitudinally at the end sills, there
shall be no permanent strain in any structural member and there shall
be no stress in any such member exceeding the yield strength of yield
point of the material.
The TRAX vehicle is manufactured using a low alloy high tensile
steel frame. This framework consists of two end sections attached to a
single articulation joint. Each end section is made up of an end
underframe which contains the anti-climber, body bolster, corner posts,
and the anti-telescoping structural safety design feature. The SD 100
design permits end structure loading to be transferred from the anti-
climber through the corner posts up to the roof structure. This
transfer of structural loading to the roof structure helps to protect
the passenger compartment by preventing the floor structure from
receiving the full load. The car body side sheets also add to the
structural integrity of the SD 100 car body. The TRAX vehicle has a
specified compression load at coupler anchorage level of 445 kN
(100,000 lbs). The tested compression loading, using an empty car at
the level of the anti-climber, was 687.21 kN (154,500 lbs). This is in
line with the design compression loads commonly found on light rail
transit vehicles in service in North America.
The design and construction of the TRAX vehicles will provide an
equivalent level of safety, particularly in the TRAX operating
environment. As noted previously, because of the temporal separation of
the freight and passenger operations over the TRAX line, the risk of
collisions between freight and passenger trains is virtually
eliminated. Consequently, the need for the TRAX vehicles to have
sufficient structural strength to survive a collision with a freight
train is minimized. The CPUC standard for light rail vehicles will
ensure that the vehicles will have sufficient structural capacity to
sustain collision with each other or other objects (such as motor
vehicles) with limited risk of injury to occupants.
Section 238.215 Rollover Strength
Section 238.215 sets forth the structural requirements intended to
prevent significant deformation of the occupant compartments of
passenger cars in the event the car rolls onto its side or roof. Under
this section, a passenger car must be able to support twice the dead
weight of the vehicle while the vehicle is resting on its roof or side.
Justification
UTA requests a waiver from the requirements of Sec. 238.215 because
the TRAX vehicle is built to different design criteria which will
provide an equivalent level of safety. The TRAX vehicle employs a low
alloy high tensile steel frame in a lightweight low-floor design. The
low-floor design lowers the center of gravity, as well as the load
conditions, in rollover circumstances. The lower center of gravity
makes the TRAX vehicle less prone to rollover than a standard commuter
rail car. Moreover, in the unlikely event of a rollover, the lighter
weight of the TRAX vehicle means that the roof does not have to support
as much weight as a standard commuter rail car. Finally, the design
features of the TRAX vehicle provide for structural protection of the
occupant compartments, achieving an adequate level of safety.
The basic TRAX vehicle design has been in use in transit systems
throughout North America for the last 20 years without reported
problems related to rollover strength issues.
Section 238.217 Side Structure
Section 238.217 sets strength requirements for side posts, corner
braces and outside sheathing. These specifications are intended to
provide for additional structural protection, so that a car will derail
before it collapses into the occupant compartments.
Justification
UTA requests a waiver from the requirements of Sec. 238.217 because
the TRAX vehicle is built to different design criteria which will
provide an equivalent level of safety. The TRAX vehicle is manufactured
using a low alloy high tensile steel frame with car body side sheets
which provide protection to the occupant compartment of the vehicle by
safeguarding the structural integrity of the vehicle, while also
maintaining the vehicle's lightweight design features. Additionally,
the relatively short train length ensures that the vehicle will not
occupy a grade crossing for an extended period, lowering the risk of
collisions.
Overall, UTA believes that although the TRAX vehicle may not
conform to the specific requirements of the regulation, the vehicle
will provide, in conjunction with the other safety design features of
the vehicle, a sufficient measure of safety.
Section 238.221 Glazing
Section 238.221 reiterates the safety glazing standards of 49 CFR
part 223 and establishes standards for glazing securement components.
The new requirements for glazing securement are designed to ensure that
the glazing frame be capable of holding the glazing
[[Page 53443]]
in place against all forces which it is required to resist under part
223, and forces created by air pressure differences caused when two
trains pass at their authorized maximum speeds in opposite directions
at the minimum track separation for two adjacent tracks. Glazing forced
from the window opening is a potential hazard.
UTA will be in compliance with the new glazing securement
requirements, but seeks a waiver from Sec. 238.221 on the same basis as
the waiver request for the part 223.
Section 238.229 Safety Appliances
This section reiterates the applicability of the safety appliance
requirements of 49 CFR part 231 to passenger train cars. UTA seeks a
waiver from this section on the same basis and with the same
justification, as the waiver requested from the part 231 requirements
directly.
Section 238.231 Brake System
Section 238.231 sets forth standards related to operation and
maintenance of passenger rail equipment brake systems. These
requirements are intended to ensure that passenger rail equipment brake
components are and remain in good working order to permit the proper
function of the brake system and to reduce the likelihood of accidents
due to failures of brakes and/or brake system components.
Justification
Standard commuter rail equipment employs air brake systems and
Sec. 238.231 is designed to regulate such systems. The TRAX vehicles,
however, use electrically activated hydraulic brakes, supplemented by
dynamic brakes and magnetic track brakes. Because the TRAX vehicles do
not have air brakes, the requirements of Sec. 238.231 are not
applicable to the TRAX vehicle brake system. UTA assures FRA, however,
that safety will not be compromised. UTA's Safety Plan for the
operation and maintenance of the TRAX System will require the
inspection, testing, maintenance, and operation of the brake equipment
on the TRAX vehicle to an equivalent level of safety as that achieved
through compliance with Sec. 238.231 on conventional commuter rail
equipment.
UTA requests that FRA confirm that Sec. 238.231 is not applicable
to the TRAX System. Alternatively, should FRA determine that the
requirements of this section do apply, UTA requests a waiver of these
sections because the differences between air brake and electrically
activated hydraulic brake systems render application of the
requirements inappropriate and because the UTA Safety Plan will provide
an equivalent level of safety.
Section 238.233 Interior Fittings and Surfaces
Section 238.233 set forth strength requirements for passenger car
interior fittings such as seats, overhead racks, and other similar
items. In addition, to the extent possible, all interior fittings in
the passenger car are to be recessed or flush-mounted and sharp edges
and corners in the locomotive cab or passenger car must be either
avoided or padded. These requirements are designed to reduce the
likelihood and severity of injury to train occupants caused by the
dislodging of seats or other interior items or by occupants striking
interior items in the event of an accident.
Justification
UTA seeks a waiver of the requirements of Sec. 229.233 because
although the TRAX vehicle interior is designed to provide a safe
passenger environment, the vehicle may not meet the specific strength
requirements set forth in the regulation. The TRAX vehicle seats are
designed with a rigid floor pedestal and wall mounting system widely
used throughout the transit industry with a good safety record. The
interior fittings are designed to standard transit industry standards
for passenger safety and comfort and will not pose a hazard to
passengers. The interior design standards will provide an equivalent
level of safety to the FRA requirements.
Part 238 Inspection, Testing and Maintenance
Subpart D of part 238, Secs. 238.301 through 238.319, contains
requirements pertaining to the inspection, testing, and maintenance of
the passenger equipment and systems required for Tier I passenger
equipment. These requirements are designed to ensure that passenger
rail operations are conducted only on vehicles whose components and
systems are in good working order, thereby reducing both the chances of
an equipment-related accident and the severity of damage or injury in
the case of an accident.
UTA anticipates being in compliance with the requirements of
subpart D. However, UTA requests a waiver from any requirements that
correlate to the subpart B or C standards from which UTA has sought
waivers. TRAX equipment will be subject to a detailed program of
inspection, testing, and maintenance, as required by the state of Utah
and UTA's own Safety Plan.
Part 239 Emergency Preparedness
Part 239 contains standards for the preparation, adoption, and
implementation of emergency preparedness plans by railroads connected
with the operation of passenger trains. It is intended that by
providing sufficient emergency egress capability and information to
passengers, and by having emergency preparedness plans calling for
coordination with local emergency response officials, the risk of death
or injury to passengers, employees and others in the case of accidents
or other incidents, will be lessened. This rule was adopted as a result
of several serious crashes involving commuter trains.
Justification
UTA requests a waiver from the part 239 requirements because UTA
will be following UDOT emergency preparedness requirements. UTA
believes that compliance with the UDOT emergency preparedness
requirements will provide a level of safety equivalent or superior to
the FRA standards. The Emergency Response Plan provides for emergency
preparedness activities. Procedures requiring interface with outside
agencies, such as police and fire, will be closely coordinated. Regular
drills will be performed with these agencies to simulate real-world
conditions. These emergency preparedness standards have been tailored
to the TRAX System, but also draw on the experience of emergency
preparedness standards form other rail transit systems whose operations
and equipment more closely resemble TRAX than other FRA-regulated
commuter rail systems.
Part 240 Qualification and Certification of Locomotive Engineers
Part 240 contains regulations relating to the qualification and
certification of locomotive engineers. The locomotive engineer
shoulders significant responsibility for the safety of him/herself and
others in the railroad operating environment. Through the regulation's
training, eligibility, testing, and monitoring standards, FRA seeks to
ensure that only sufficiently qualified individuals are entrusted with
those unique responsibilities.
Justification
UTA requests a waiver from these requirements because UTA will be
following its own operator training and qualification standards under
the oversight of UDOT. UTA believes that compliance with its own
operator qualification and training requirements
[[Page 53444]]
will provide at least an equivalent level of safety. Under the Safety
Plan, train operators must receive formal certification to operate on
the TRAX System and must receive an annual re-certification, or be re-
certified as required in response to rules, violations and long-term
absences from the system. See Exhibit G. Train operator training is a
four-week course combining classroom and field training. Subjects
includes rules, standard operating procedures, emergency operating
procedures, light rail vehicle orientation, light rail vehicle
troubleshooting, system orientation, and communications. Train
operators must pass written and field tests to successfully complete
the course. In addition, the TRAX operating rules call for a system of
discipline, leading to possible decertification for train operators who
violate operating rules.
Interested parties are invited to participate in this proceeding by
submitting written views, data, or comments. FRA does not anticipate
scheduling a public hearing in connection with either the request for a
waiver of certain regulatory provisions or the request for an exemption
of certain statutory provisions. If any interested party desires an
opportunity for oral comment, he or she should notify FRA, in writing,
before the end of the comment period and specify the basis for his or
her request.
All communications concerning these proceedings should identify the
appropriate docket number (e.g., Waiver Petition Docket Number FRA
1999-6253) and must be submitted to the DOT Docket Management Facility,
Room PL-401 (Plaza level) 400 Seventh Street, SW, Washington, DC 20590.
Communications received within 45 days of the date 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 this proceeding are available for examination
during regular business hours (9:00 a.m.-5:00 p.m.) at the above
facility. All documents in the public docket are also available for
inspection and copying on the Internet at the docket facility's Web
site at http://dms.dot.gov.
Issued in Washington, D.C. on September 27, 1999.
Michael Logue,
Deputy Associate Administrator for Safety Compliance and Program
Implementation.
[FR Doc. 99-25541 Filed 9-30-99; 8:45 am]
BILLING CODE 4910-06-P