[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]
-----------------------------------------------------------------------
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