[Federal Register Volume 64, Number 210 (Monday, November 1, 1999)]
[Notices]
[Pages 58899-58905]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 99-28467]


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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.

Santa Clara County Transit District

[FRA Waiver Petition No. FRA-1999-6254]

    The Santa Clara County Transit District, also known as the Santa 
Clara Valley Transportation Authority (``VTA'') seeks a permanent 
waiver of compliance from certain CFR parts of Title 49, specifically: 
part 214, Railroad Workplace Safety; part 217, Railroad Operating 
Rules; part 219, Control of Alcohol and Drug Use; part 220, Railroad 
Communications; 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 236, Rules, Standards, and Instructions 
Governing the Installation, Inspection, Maintenance, and Repair of 
Signal and Train Control Systems, Devices, and Appliances; 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. 
Secs. 20301 through 20305.
    Initial service began on the VTA light rail system in 1987, and by 
1991 the 21-mile system was operational. With 33 stations and free 
parking at 11 park-and-ride lots, the light rail system currently 
provides service in California to the residential area of South San 
Jose, the industrial area of Santa Clara, the San Jose Civic Center, 
the North First Street industrial area and downtown San Jose.
    VTA's Tasman West Extension, scheduled to open on December 17, 
1999, is a 7.6-mile extension of VTA's light rail system. Adding 11 new 
stations between Old Ironsides Station in Santa Clara and downtown 
Mountain View, the Tasman West Extension will extend VTA's light rail 
system further into Silicon Valley and provide transit accessibility to 
major high technology employers.
    The Tasman West Extension includes approximately 1.6 miles of track 
that

[[Page 58900]]

VTA acquired from the Southern Pacific Transportation Company (``SP'') 
in 1994, known as the ``Moffett Drill Track.'' This short segment of 
track (hereinafter referred to as the ``Drill Track'') constitutes a 
middle section of the Tasman West Extension. It also will be used on an 
occasional basis by the Union Pacific Railroad (UPRR), the successor by 
merger with SP, for freight deliveries to the National Aeronautics and 
Space Administration (``NASA'') and other federal agencies that may be 
located in the Ames Research Center at the Moffett Federal Airfield; 
Moffett Federal Airfield is located at one end of the Drill Track.
    VTA seeks approval of shared use and waiver of regulations from the 
Federal Railroad Administration (``FRA'') for light rail passenger 
operations on the Drill Track. FRA has jurisdiction over this portion 
of the VTA because it will be connected to the general railroad system 
of transportation.
    In each section entitled ``Justification,'' FRA merely sets out 
VTA's justifications which are included in its petition. In doing so, 
VTA 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 investigation of the 
planned VTA operation, the agency takes no position at this time on the 
merits of VTA's stated justifications. As part of FRA's review of the 
petition, the FTA will appoint a non-voting liaison to FRA's Safety 
Board, and that person will participate in the board's consideration of 
VTA's waiver petition.

Part 214  Roadway Worker Protection

    Subpart C of part 214 sets forth requirements for the protection of 
roadway workers along railroad rights-of-way. These requirements are 
intended to help prevent accidents and injuries to railroad employees 
engaged in roadway maintenance activities.

Justification

    VTA requests a waiver of the subpart C requirements during its 
period of operations over the Drill Track because VTA will be following 
its standard operating procedures and safety rules, as required by 
Sec. 13.01 of California Public Utilities Commission (CPUC) General 
Order 143-A, Sec. 3 of CPUC General Order 164-A, Sec. 5 of the VTA 
Safety Plan and the Rulebook. Specifically, Sec. 7 of the VTA Rulebook, 
entitled ``Protection of Employees on Right of Way,'' sets forth the 
safety equipment, blue flag, and operating practice requirements 
designed to ensure the safety of VTA employees working along the right 
of way.
    Under those rules, employees working along the right of way must 
wear visible safety vests. After dark, work crews also must have and 
use lanterns to alert trains to their presence. If emergency or repair 
work is done to vehicles on the main track, such vehicles must be 
tagged with blue flags or blue lights to alert workers. In addition to 
the required safety equipment, employees on the right of way are often 
working in a Work Zone or Reduced Speed Zone, established by the 
Operation Control Center (OCC), which gives the workers either the 
exclusive right to be on the track or requires trains moving through 
such zones to do so at reduced speed. When a train approaches a work 
zone, the operator is required to sound an audible warning of its 
approach. The work crew is then required to respond to the warning by 
either clearing the track and permitting the train to proceed, or by 
giving the train a stop signal until the crew can clear and permit the 
train to proceed. All work crews are required to call into OCC every 30 
minutes to apprize OCC of their status and movements (if any). This 
allows OCC to notify trains of any changes in work crew locations. When 
performing work of 20 minutes or less, and when done without pneumatic 
tools, employees may be protected by ``simple protection.'' In these 
circumstances, employees must report to OCC upon entering and exiting 
the right of way. OCC relays that information to trains in the area. If 
work extends beyond 20 minutes, permission to remain on the right-of-
way must be renewed with OCC. The Rule 7 protections are similar to the 
FRA requirements, but tailored to the VTA operating environment. 
Currently in practice over the rest of the VTA light rail system, the 
rules have been effective at preventing injuries to employees working 
in the right of way.

Part 217  Railroad Operating Rules

    Part 217 requires each railroad to provide training to employees on 
the operating rules and perform periodic operational tests to monitor 
compliance with the operating rules. Under this part, each railroad 
must also file copies of its operating rules with FRA. These 
requirements are intended to ensure the safety of railroad operations 
through employee knowledge of and compliance with operating rules.

Justification

    VTA requests a waiver from all of the requirements of this part 
because VTA operating rule training and compliance monitoring will be 
carried on as required by Sec. 13 of General Order 143-A. Under General 
Order 143-A, VTA is required to submit its operating rules to the CPUC, 
conduct initial and biennial training to employees on the operating 
rules, and conduct operational testing on a periodic basis. Section 5 
of the VTA Safety Plan, and SOPs 1.5 and 1.9, contain additional 
operator training and testing requirements. These requirements will 
ensure that the VTA employees know and comply with VTA operating rules. 
This request is consistent with the FRA's position on the appropriate 
treatment of this part as stated in the Policy Statement (see Policy 
Statement at 28422).

Part 219  Control of Alcohol and Drug Use

    Part 219, Control of Alcohol and Drug Use, 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

    VTA requests a waiver of all of the requirements of part 219 
because all of the employees assigned to the VTA light rail system who 
would otherwise be covered employees under this part, are already 
covered employees subject to VTA'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. Subjecting certain employees to FRA regulations 
would create an administrative burden for VTA, both in terms of cost 
and recordkeeping, and in determining which employees were subject to 
which regulations on a given day.
    The FTA regulations apply to recipients of Federal mass transit 
funds except those ``specifically excluded''

[[Page 58901]]

because those recipient operating railroads regulated by the FRA. 49 
CFR Secs. 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 comply with parts 653 and 654 for 
its ``non-railroad operations.''
    VTA 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 VTA's bus 
and current light rail 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 be subject to FTA's rules at 
parts 653 and 654.
    Application of the FTA drug and alcohol rules, when implemented in 
compliance with the FTA rule, would provide a level of safety 
consistent with the policy underlying part 219. A basic review of the 
respective FRA and FTA regulations reveals that the regulations 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 the 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.
    Application of the FTA regulations will provide a level of safety 
similar to that provided by the FRA regulations. This request is 
consistent with the FRA's position on the appropriate treatment of this 
part, as stated in the Policy Statement (see Policy Statement at 
28422).

Part 220  Radio and Wireless Communication Procedures

    Part 220 sets forth minimum requirements governing the use of 
radios and other wireless communications equipment in connection with 
railroad operations. These requirements are intended to enhance 
operational safety by facilitating communications among railroad 
employees and offices through the availability of radios and the use of 
standardized communications protocols.

Justification

    VTA requests a waiver from all of the requirements of this part 
because radio communications on VTA light rail operations are conducted 
according to the requirements of Sec. 4 of the Rulebook, ``Radio 
Procedures'' and SOPs 2.1, ``Standard Two-Way Radio Procedures'' and 
2.5 ``Radio Failure.'' Under the Rules and SOPs, light rail vehicles 
are equipped with radios and all personnel requiring two-way 
communications are provided with radios. The Rules and SOPs specify 
communication protocols addressing identification of speakers, proper 
use of radios, emergency communications, and procedures for 
communication in the event of radio failure. SOP 6.2 provides that all 
radio transmissions are governed and monitored by the Federal 
Communications Commission. In addition, compliance with these Rules and 
SOPs is monitored, as required in Sec. 7 of the Safety Plan and 
Sections 3 and 4 of CPUC General Order 164-A. The VTA Rules and SOPs 
provide for an equivalent level of safety as the FRA rules. This 
request is consistent with FRA's position on the appropriate treatment 
of this part, as stated in the Policy Statement (see Policy Statement 
at 28422).

Part 221  Rear End Marking Device--Passenger, Commuter and Freight 
Trains

    Part 221 contains requirements that passenger, commuter, and 
freight trains be equipped with and display rear end marking devices. 
Part 221 also sets forth requirements related to the inspection of such 
devices and the movement of vehicles with defective 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

    VTA seeks a waiver from all of the requirements of part 221 because 
the VTA light rail vehicles are designed in conformance with the 
requirements of Sec. 5 of CPUC General Order 143-A. The VTA light rail 
cars have two red taillights that are designed to be visible for a 
distance of 500 feet from the rear-end of the train and that are 
located 45 inches above the top of rail. Because the rear lights on the 
VTA vehicles will make them conspicuous to any trailing train, the VTA 
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. These requirements are 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

    VTA requests a waiver of these requirements because the VTA light 
rail vehicle will conform instead to the windshield and window 
requirements of Sec. 6.04 of CPUC General Order 143-A. Under Sec. 6.04, 
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

[[Page 58902]]

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 
thrown against the windows) is addressed from an operational standpoint 
in the security portions of the Safety Plan. There is no reason to 
believe that the VTA light rail vehicle windows will pose any safety 
hazard in conventional railroad corridor operations. This request is 
consistent with the FRA's position on the appropriate treatment of this 
part, as stated in the Policy Statement (see Policy Statement at 
28421).

Part 225  Railroad Accidents/Incidents: Reports Classification, and 
Investigations

    Part 225 prescribes reporting requirements for accidents and 
injuries meeting specified materiality thresholds. Part 225 also 
provides for recordkeeping and record retention policies. These 
requirements support FRA's enforcement efforts and provide information 
to detect trends on an industry-wide basis.

Justification

    VTA requests a waiver of the reporting and investigation 
requirements for injuries because VTA will be following the injury 
reporting requirements prescribed in Sections 5 and 6 of CPUC General 
Order 164-A and Sec. 4.10 of the VTA Safety Plan. In addition, VTA is 
responsible for compliance with applicable Occupational Safety and 
Health Administration workplace injury reporting requirements. 
Compliance with FRA regulations just for injuries on the Drill Track 
segment would require the creation of a separate administrative 
structure for injury reporting, which would place an unnecessary 
administrative burden on VTA without enhancing safety (see Policy 
Statement at 28422).

Part 228  Records and Reporting

    Subsections 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

    VTA requests a waiver of these requirements because they will 
create an unnecessary paperwork burden for VTA, 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 are often: 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.
    VTA service, however, is vastly different. VTA light rail 
dispatchers operate out of a single Operations Control Center, 
directing the movement of regularly scheduled trains, with regularly 
scheduled station stops over a fixed route on a day-in, day-out basis. 
Dispatchers and vehicle operators work fixed schedules, with many of 
the same dispatchers and vehicle operators working the same hours each 
week. Moreover, dispatcher and vehicle operator responsibilities do not 
require them to be away from home during non-duty hours. Thus, in the 
VTA operating environment, the standard records maintained by VTA on 
train and train crew movements and operator attendance will provide 
sufficient information to determine service hours worked.

Part 229  Railroad Locomotive Safety Standards

    Part 229 sets forth standards related to operation and maintenance 
of railroad locomotives. These requirements are intended to ensure that 
locomotives and locomotive components are and remain in good working 
order to permit the proper function of the locomotive and to reduce the 
likelihood of accidents due to failures of locomotive system 
components.

Justification

    VTA requests a waiver of the requirements of part 229 because the 
VTA light rail vehicles are operated and maintained in accordance with 
the requirements of Sections 1.08 and 14 of CPUC General Order 143-A, 
Sec. 5 of the VTA Safety Plan and Sec. 3 of the Rulebook and SOPs 5.1-
5.6, 6.1-6.11, 8.7, 8.10 and 8.12. Under these requirements, all light 
rail cars and component systems must be maintained in proper working 
condition, inspected and tested on a periodic basis, and operated in a 
safe manner.
    VTA understands that FRA is particularly concerned that locomotives 
have alerting lights in a triangular pattern at the front end of each 
vehicle (as required by Sec. 229.125). While the VTA light rail 
vehicles do not have lights that create a triangular pattern, VTA 
believes that the front-end lighting on the cars will provide a 
sufficiently distinctive profile that motor vehicle traffic and 
pedestrians will be alerted to the presence of an oncoming VTA train. 
The VTA cars, in accordance with Sec. 5.01 of CPUC General Order 143-A, 
will have two headlights capable of revealing a person or motor vehicle 
in clear weather at a distance of 350 feet. They also will have yellow 
marker lights in the top corners of the cars. These high-mounted yellow 
lights are distinctive to the light rail vehicle and render the VTA 
trains clearly identifiable to motorists and pedestrians.
    The features of the VTA light rail vehicles, combined with the 
CPUC, Safety Plan, Rulebook, and SOP inspection, testing, maintenance 
and operating requirements, will ensure that the VTA vehicles are 
maintained and operated in safe working order. This request is 
consistent with the FRA's position on the appropriate treatment of this 
part, as stated in the Policy Statement (see Policy Statement at 
28421).

Sec. 231.14  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. Secs. 20301-05.
    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

[[Page 58903]]

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. Sec. 20306. Consequently, VTA requests 
exemption from and/or waiver of these requirements, as appropriate, 
because the VTA 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 VTA light rail vehicles have only three steps for entry. The 
risk of falling while climbing aboard the train is minimal, and 
therefore most of the listed appliances are not necessary for safety. 
The VTA light rail vehicles do, however, have equivalent versions of 
some of the safety appliances that are tailored to VTA operations 
(Sec. 3 of CPUC General Order 143-A). For example, to ensure passenger 
and crew safety during the embarking/disembarking process and during 
operation of the vehicles, the VTA 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 VTA light rail vehicles are 
equipped with automatic couplers, rendering uncoupling levers 
unnecessary.
    The VTA light rail vehicles will have brakes as required by Sec. 4 
of CPUC General Order 143-A and will be inspected, tested, and 
maintained as required by Secs. 4 and 14 of the General Order, Sec. 5 
of the VTA Safety Plan and SOPs 5.1 and 5.3. Therefore, the VTA light 
rail vehicle brake system will be equivalent to a standard air brake 
system, and thus provide an equivalent level of safety.
    VTA 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. Sec. 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 highways'' (see 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'' (Id. at 28238). 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 VTA 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 VTA'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 VTA 
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 VTA operating 
environment. This request is consistent with the FRA's position on the 
appropriate treatment of this part, as stated in the Policy Statement 
(see Policy Statement at 28421).

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

    VTA requests a waiver from this requirement because this procedure 
is not compatible with VTA operations. In cases of grade crossing 
warning system activation failures, VTA 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, VTA will not be 
able to follow the procedure in Sec. 234.105(c)(3) to move the train 
through the crossing because the VTA light rail vehicles will be 
operated by one person crews, and that crew member cannot leave the 
train to flag the crossing. Instead, VTA 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

[[Page 58904]]

restricted speed as conditions permit (in any case less than 15 mph). 
The proposed procedure will provide a level of safety equivalent to 
that provided by the FRA rule, while causing less disruption to VTA 
light rail service.

Part 236  Track Circuit Requirements

    Section 236.51 requires broken rail protection such that track 
circuits generally must be de-energized or in their most restrictive 
state when a rail is broken. This requirement is intended to reduce the 
likelihood of an accident caused by broken rails by restricting train 
movement over such rails.

Justification

    VTA requests a waiver of this requirement because audio frequency 
overlay (``AFO'') track circuits are in use over the Drill Track. AFO 
track circuits were chosen because they eliminate the need for 
insulated joints and impedance bonds at the insulated joints, making 
them more cost effective than conventional track circuits. In addition, 
it was considered preferable to avoid insulated joints because they 
provide weak spots in the track. Although AFO circuits are not as 
sensitive to broken rail conditions as conventional power frequency 
track circuits, VTA believes that safety will not be compromised by 
their use.
    AFO track circuits do provide some broken rail protection; some 
broken rail situations (where the rail is physically separated) are 
detected by AFO track circuits, which then show an occupancy to 
prohibit the entry of trains into the affected block.
    While AFO circuits may not detect cracks, VTA maintenance practices 
make it unlikely that a crack not detected by the AFO track circuits 
would result in an accident. VTA conducts formal visual inspection of 
its tracks on a weekly basis. In addition, because of the local and 
urbanized nature of the system, it is unlikely that erosion, earth 
movement or some other occurrence which would affect the track would go 
unnoticed and unremedied between weekly inspections.

Part 238  Passenger Equipment Standards

    These standards deal with structural requirements for passenger 
rail vehicles and vehicle equipment, along with inspection and 
maintenance standards for such equipment. These standards are intended 
to enhance the safety of passenger rail operations in the case of 
accidents by ensuring that passenger rail vehicles have certain 
crashworthiness and emergency exit features.

Justification

    VTA requests a waiver from the requirements of part 238 because the 
VTA light rail vehicles have been manufactured to comply with the 
requirements of CPUC General Order 143-A. VTA believes that these 
standards will provide a sufficient level of safety in the VTA 
operating environment.
    Sections 3, 6 and 10 of the General Order contain standards for 
light rail vehicle equipment, brakes, lighting, emergency exits, 
windows, structural components (i.e., anti-climbers, collision posts 
and end sills), and traction power systems. These sections cover both 
equipment design and performance requirements. More specifically, the 
Order sets forth requirements that light rail vehicles be equipped with 
certain pieces of safety equipment (such as deadman controls, audible 
warning devices, emergency brakes, etc.), along with performance 
specifications for brake systems and construction requirements for 
vehicles (CPUC General Order 143-A). These requirements are intended to 
lower the risk of injury to occupants, both through structural capacity 
of the vehicles to protect the occupant compartment and through safety 
precautions against secondary hazards resulting from initial collisions 
(i.e., fire, lack of egress, etc.). Compliance with the more stringent 
FRA requirements is not necessary because VTA's light rail operations 
will be completely separated from UPRR's infrequent freight operations, 
eliminating the risk that VTA light rail vehicles will enter into 
collisions with heavier freight trains.
    The VTA vehicles will be operated, inspected, tested and 
maintained, as required by Sec. 5 of the VTA Safety Plan, Sec. 3 of the 
Rulebook and SOPs 5.1-5.6, 6.1-6.11, 8.7, 8.10 and 8.12. Under these 
requirements all light rail vehicles and component systems must be 
maintained in proper working order, inspected and tested on a periodic 
basis, and must be operated in a safe manner. These provisions also 
include instructions for marking and moving defective equipment. 
Compliance with these Rules and SOPs is monitored, as required by 
Sec. 7 of the Safety Plan and Secs. 3 and 4 of General Order 164-A.
    The CPUC and VTA requirements will provide for a level of safety at 
least equivalent to FRA requirements. This request is consistent with 
the FRA's position on the appropriate treatment of this part, as stated 
in the Policy Statement (see Policy Statement at 28422).

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.

Justification

    VTA requests a waiver from the part 239 requirements because VTA 
will be following CPUC and VTA emergency preparedness requirements. VTA 
believes that compliance with these emergency preparedness requirements 
will provide a level of safety equivalent to the FRA standards.
    Sections 5.05 and 6.05 of CPUC General Order 143-A contain 
emergency lighting and emergency exit requirements, respectively. In 
addition, the VTA vehicles are each equipped with four (4) emergency 
window exits and fire extinguishers.
    Section 3.1 of CPUC General Order 164-A requires VTA to adopt an 
emergency response plan and procedures which must provide for emergency 
situation training and coordination with external emergency response 
agencies. Sections 4.3, 4.12, 5.2, 5.5, 5.7 and 5.8 of the Safety Plan 
set forth the responsibility of the various VTA divisions and personnel 
for emergency planning and response activities. Section 2.6 of the 
Security Portion of the Safety Plan also addresses emergency response 
issues. SOPs 9.1-9.20 prescribe detailed operating procedures in the 
event of emergency, including coordination with police and fire 
departments, and passenger evacuation procedures. There are specific 
SOPs for a variety of emergency situations from derailments and 
collisions to natural disasters to civil disorders or terrorist 
activities.
    These emergency preparedness standards will provide a level of 
safety equivalent to the FRA requirements. Compliance with FRA 
regulations just for emergencies on the Drill Track would require the 
creation of a separate administrative structure for emergency planning 
and response, which would place an unnecessary administrative burden on 
VTA without enhancing safety. This request is consistent with FRA's 
position on the appropriate

[[Page 58905]]

treatment of this part, as stated in the Policy Statement (see Policy 
Statement at 28422).

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

    VTA requests a waiver from these requirements because VTA will be 
following CPUC and VTA operator training and qualification standards. 
VTA believes that compliance with the CPUC/VTA operator qualification 
and training requirements will provide at least an equivalent level of 
safety. SOPs 1.5 and 1.9 set forth specific training and certification 
requirements for VTA light rail operators, in accordance with the 
requirements of Sections 12.02, 13 and 14.03 of CPUC General Order 143-
A and Sec. 5.2 of the Safety Plan. Moreover, compliance with FRA 
regulations for operators whose routes take them over the Drill Track 
would require the creation of a separate administrative structure for 
locomotive engineer training and qualification, which would place an 
unnecessary administrative burden on VTA without enhancing safety. This 
request is consistent with FRA's position on the appropriate treatment 
of this part, as stated in the Policy Statement (see Policy Statement 
at 28422).
    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 
1999-6254) and must be submitted to the DOT Docket Management Facility, 
Room PL-401 (Plaza level) 400 Seventh Street, S.W., Washington, D.C. 
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 October 26, 1999.
Michael Logue,
Deputy Associate Administrator for Safety Compliance and Program 
Implementation.
[FR Doc. 99-28467 Filed 10-29-99; 8:45 am]
BILLING CODE 4910-06-P