[Federal Register Volume 65, Number 132 (Monday, July 10, 2000)]
[Notices]
[Pages 42526-42528]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 00-17209]



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Part VII





Department of Transportation





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Federal Railroad Administration



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Federal Transit Administration



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49 CFR Parts 209 and 211



Shared Use of the Tracks of the General Railroad System by Conventional 
Railroads and Light Rail Transit Systems; Notice and Final Rule

  Federal Register / Vol. 65, No. 132 / Monday, July 10, 2000 / 
Notices  

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DEPARTMENT OF TRANSPORTATION

Federal Railroad Administration

Federal Transit Administration

[FRA Docket No. FRA-1999-5685, Notice No. 6]
RIN 2130-AB33


Joint Statement of Agency Policy Concerning Shared Use of the 
Tracks of the General Railroad System by Conventional Railroads and 
Light Rail Transit Systems

AGENCIES: Federal Railroad Administration (FRA), Federal Transit 
Administration (FTA), Department of Transportation (DOT).

ACTION: Policy statement.

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SUMMARY: On May 25, 1999, FRA and FTA published a proposed joint 
statement of agency policy concerning safety issues related to light 
rail transit operations that take place, or are planned to take place, 
on the tracks of the general railroad system. 64 FR 59046. In the same 
docket, on November 1, 1999, FRA published a separate proposed 
statement of policy providing details on its railroad safety 
jurisdiction and a detailed explanation of issues that will be 
addressed in its waiver process related to shared use of the general 
system. FRA also addressed the process of obtaining waivers of its 
safety regulations. After consideration of the nearly 50 written 
comments received and discussions of these issues in a variety of 
public forums, the agencies now issue this final joint statement of 
agency policy that explains generally how the two agencies intend to 
coordinate use of their respective safety authorities with regard to 
such shared-track operations. FRA is separately publishing today its 
final Statement of Agency Policy Concerning Jurisdiction Over the 
Safety of Railroad Operations, which includes a discussion of the 
comments received in this docket.

FOR FURTHER INFORMATION CONTACT: Gregory B. McBride, Deputy Chief 
Counsel, FTA, TCC-2, Room 9316, 400 Seventh Street, SW., Washington, DC 
20590 (telephone: (202) 366-4063); and Daniel C. Smith, Assistant Chief 
Counsel for Safety, FRA, RCC-10, 1120 Vermont Avenue, NW., Mail Stop 
10, Washington, DC 20590 (telephone: (202) 493-6029).

Joint Statement of Agency Policy Concerning Shared Use of the 
Tracks of the General Railroad System by Conventional Railroads and 
Light Rail Transit Systems

    In many areas of the United States, local communities are 
considering, planning, or developing light rail, street-level transit 
systems similar to those now in operation in Portland, Oregon; 
Sacramento, California; Dallas, Texas; San Diego, California; 
Baltimore, Maryland; and Salt Lake City, Utah. Patterned on the 
trolleys that operated along the streets of hundreds of American cities 
and towns earlier in the century, these newer light rail systems 
promote more livable communities by serving those who live and work in 
urban areas without increasing congestion on the nation's already 
crowded highways.
    Some of these existing light rail systems, such as those in San 
Diego, Baltimore, and Salt Lake City, like some of those now 
contemplated for the future, would in addition to service provided 
along community streets, take advantage of underutilized urban freight 
trackage to provide service that, in the absence of the existing right 
of way, would be prohibitively expensive. These potential passenger 
services usually envision light rail operations during the day and 
freight operations during the night.
    FRA has long regulated the nation's railroads for safety purposes. 
FRA's railroad safety jurisdiction extends to all types of railroads 
except for ``rapid transit operations in an urban area that are not 
connected to the general railroad system of transportation.'' 49 U.S.C. 
20102. A complete discussion of FRA's safety jurisdiction can be found 
at 49 CFR part 209, Appendix A. In this context, ``rapid transit 
operations'' refers to rail systems that are devoted in substantial 
part to moving people from point to point within a city's boundaries. 
Such systems may use heavy subway and elevated, or light rail, 
equipment and will be covered in this statement by the general terms 
``local rail transit'' or ``light rail transit.'' FRA's safety 
jurisdiction covers all commuter railroad operations (even if they use 
equipment that might be considered light rail or transit equipment) 
without regard to their general system connections. This statement of 
policy does not apply to commuter railroad operations.
    Until the 1990's, there was no Federal program for addressing the 
safety of local rail transit systems that are not subject to FRA's 
safety jurisdiction (i.e., those not connected to the general railroad 
system). However, faced with the growing movement to develop new rail 
transit systems, Congress addressed the safety of such systems in the 
Intermodal Surface Transportation Efficiency Act of 1991, requiring 
that FTA issue regulations requiring that states having rail fixed 
guideway mass transportation systems ``not subject to regulation by the 
Federal Railroad Administration'' establish a state safety oversight 
program. 49 U.S.C. 5330. Those regulations, which appear at 49 CFR part 
659, provide that they apply where FRA does not regulate. Thus, 
Congress has now defined the Federal role with respect to the oversight 
of both railroads subject to FRA's safety jurisdiction and rail transit 
systems not connected to the general railroad system.
    The primary issue addressed by this policy statement is the means 
by which FRA and FTA propose to coordinate their safety programs with 
regard to rail transit systems that share tracks with freight 
railroads. Although compatible in terms of track gage, these two forms 
of rail service are incompatible in terms of equipment. A collision 
between a light rail transit vehicle with passengers aboard and heavy-
duty freight or passenger equipment would likely result in catastrophe.
    In general, FRA provides safety oversight of all railroad 
operations except rapid transit operations that have no significant 
connection to the general railroad system, such as the Chicago Transit 
Authority (CTA) in Chicago, the Washington Metro, and the subway 
systems in New York, Boston, and Philadelphia. As noted, the safety 
rules of FRA and FTA are mutually exclusive. If FRA regulates a rail 
system, FTA's rules on state safety oversight do not apply. Conversely, 
if FRA does not regulate a system, FTA's rules do apply, assuming that 
the system otherwise meets the definition of a ``rail fixed guideway 
system'' under 49 CFR 659.5.
    This joint statement is intended to: (1) Explain the nature of the 
most important safety issues related to shared use of the general 
railroad system by conventional and rail transit equipment; (2) 
summarize the application of FRA and FTA safety rules to such shared-
use operations; and (3) help transit authorities, railroads, and other 
interested parties understand how the safety programs of the two 
agencies will be coordinated.

1. Safety Issues Related to Shared Use of the Tracks of the General 
System

    The expansion of rail passenger transportation promises significant 
benefits to America's communities in

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terms of reduced highway congestion, reduced pollution, lower commuting 
times, and increased economic opportunities. However, the expansion of 
rail transit systems operating over portions of conventional railroad 
trackage poses major safety issues that must be addressed if such 
service is to be provided within a suitably safe transportation 
environment.

Potential for a Collision

    The most important safety issue related to shared use of general 
railroad system trackage is the potential for a catastrophic collision 
between conventional rail equipment and rail transit equipment of 
lighter weight. Because of the significantly greater mass and 
structural strength of conventional equipment, the two types of 
equipment are simply not designed to be operated in a setting where 
there is any appreciable risk of their colliding.

Shared Use of Highway-Rail Grade Crossings

    For decades, the greatest cause of death associated with 
railroading in America has been collisions between railroad vehicles 
and highway vehicles at grade crossings. Unlike traditional rapid 
transit operations, existing and contemplated shared-trackage light 
rail operations on the general system will typically involve train 
movements through highway grade crossings. To the extent train 
movements through grade crossings increase, the collision exposure to 
the highway user increases. We want to ensure that local rail transit 
operations are designed and operated to address these serious risks and 
to prevent grade crossing collisions involving light rail equipment.
    A related issue is the prevalence of death and serious injury to 
trespassers on railroad property. Trespasser fatalities have recently 
outpaced grade crossing accidents as the leading cause of death on the 
nation's railroads. To the extent that shared use of general system 
trackage results in a substantial increase in the number of pedestrians 
crossing by foot in the path of trains, the potential for additional 
deaths to trespassers is very real and should be addressed in planning 
these operations.

Shared Infrastructure

    Light rail operations on general railroad system tracks will affect 
and be affected by the track, bridges, signals, and other structures on 
the line. The light rail and conventional systems may also share a 
communications system. The responsibility for operating and maintaining 
this shared infrastructure may vary according to the agreements reached 
between the parties. However, even if the light rail operator has no 
direct responsibility for maintenance, there will need to be sufficient 
coordination to alert the light rail operator to related safety 
problems and to ensure the light rail operator conveys relevant 
information (e.g., readily apparent track defects or signal failures) 
to the party responsible for operation and maintenance.

Employee Safety

    Employees who operate trains on general system track, control 
movements over that system, or maintain its infrastructure are provided 
certain protections under the Federal railroad safety laws. Light rail 
employees will be entitled to appropriate protections during shared-
track operations. In addition, the light rail operators will need to 
observe rules designed to protect employees of other organizations who 
may be working along the right-of-way.

2. Approaches to Various Forms of Shared Use

Operations on the General System

    Local rail transit operations conducted over the track of the 
general system become part of that system and necessitate FRA safety 
oversight of rail transit operations to the extent of such shared use. 
This does not mean that all of FRA's regulations will be applied to all 
aspects of these operations. First, FRA has no intention of overseeing 
rail transit operations conducted separate and apart from general 
system tracks, i.e., the street portion of that service. (As noted 
above, FRA regulates commuter operations without regard to their 
general system connections.) Second, FRA anticipates granting 
appropriate waivers of its rules to permit shared use of general system 
track by light rail and conventional equipment where the applicant 
transit systems and railroads commit to alternative safety measures and 
FRA finds that those measures will ensure safety. FRA has now granted 
two such waivers: Utah Transit Authority on December 2, 1999 and the 
New Jersey Transit Corporation on December 3, 1999, and is currently 
evaluating a waiver request filed by the Santa Clara Valley 
Transportation Authority.
    Where complete temporal separation between light rail and 
conventional operations is achieved, the risk of collision between the 
two types of equipment can be minimized or eliminated. Temporal 
separation involves operating conventional and light rail equipment at 
completely distinct periods of the day (in San Diego, for example, 
conventional rail movements occur only between 1:30 a.m. and 4 a.m.) 
and establishing procedures to ensure strict observation of the defined 
operating windows. Under these circumstances, FRA will grant necessary 
waivers concerning rules related to design of the passenger equipment, 
although other safety concerns (e.g., highway grade crossings) not 
addressed by temporal separation may not permit waivers. As FRA's 
separate statement of policy makes clear, FRA may permit simultaneous 
joint use of track by conventional and light rail equipment where the 
petitioner meets the steep burden of demonstrating that alternative 
safety measures will reduce the risk of a collision between these types 
of equipment to an acceptable level.

Operations Outside the Shared-Track Area

    Where local rail transit operations consist of segments that 
involve shared track with conventional equipment connected to segments 
that do not involve shared track (e.g., street railway segments), FRA 
does not currently intend to exercise its jurisdiction over operations 
outside the shared-track area. Instead, FRA will coordinate with the 
state oversight agency to ensure effective and non-duplicative 
monitoring of the safety of the different segments of the operation. 
FRA will make every effort in its waiver process to give due weight to 
elements of the operation's system safety plan that carry over into the 
shared-track portion of the system.

Operations Within a Shared Right-of-Way

    Although this policy statement addresses shared-track operations, 
it is important to also acknowledge the situations in which light rail 
transit operations share a right-of-way, but no trackage with 
conventional railroads. An example is a light rail system whose tracks 
run parallel to but between the tracks of a freight line. Where such 
systems share highway-rail grade crossings with conventional railroads, 
FRA expects both systems to observe its rules on grade crossing signals 
that, for example, require prompt reports of warning system 
malfunctions. In addition, and apart from their safety regulatory 
programs, FRA and FTA are eager to coordinate with rapid transit 
agencies and railroads wherever there are concerns about sufficient 
intrusion detection and related safety measures designed to avoid a 
collision between rapid transit trains and conventional equipment.

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Operations Through a Rail-Rail Crossing at Grade and Other Limited 
Connections

    Similarly, where a rail transit system crosses a conventional 
railroad at grade, but has no other connection to the general system, 
FRA and FTA will coordinate with the transit system and railroad to 
ensure safety at the crossing. FRA does not consider a switch that 
merely permits the transit system to receive shipments for its own use 
a connection significant enough to warrant application of FRA's rules.

3. FTA and FRA Safety Partnership

    FTA and FRA have been working closely together for several years to 
ensure proper coordination of their safety programs. In October 1998, 
FRA and FTA entered into an agreement designed to enhance their efforts 
in identifying and resolving safety issues in rail-related projects 
funded by FTA. Under the agreement, the agencies agreed to take actions 
that will ensure that FRA's rail safety expertise is brought to bear on 
safety issues inherent in commuter rail grant proposals early in the 
planning and development process.

Coordination on Rail Safety Waiver Requests

    Light rail transit operators who intend to share track of the 
general railroad system with conventional equipment will either have to 
comply with FRA's safety rules or obtain a waiver of appropriate rules. 
FRA may grant a waiver ``if the waiver is in the public interest and 
consistent with railroad safety.'' 49 U.S.C. 20103(d). FRA intends to 
make its waiver process as smooth and comprehensive as possible. FTA 
will assist FRA in that effort. In its separate final statement of 
policy issued today, FRA provides detailed guidance on what factors the 
petition should address.

    Note:
    FRA and FTA have grave concerns about whether, given their 
structural incompatibility, light rail and conventional equipment 
can ever be operated safely on the same trackage at the same time. 
In the event that petitioners nevertheless seek approval of 
simultaneous joint use, the petitioners will face a steep burden of 
demonstrating that extraordinary safety measures will be taken to 
adequately reduce the likelihood and/or severity of a collision 
between conventional and light rail equipment to the point where the 
safety risks associated with joint use would be acceptable.

    Like all waiver petitions, a Petition for Approval of Shared Track 
is reviewed by FRA's Railroad Safety Board. FTA has a non-voting 
liaison to that board who participates in the board's consideration of 
all such petitions. This close cooperation between the two agencies 
ensures that FRA benefits from the insights, particularly with regard 
to technological, operational, and financial issues, that FTA can 
provide about light rail operations, as well as from FTA's knowledge of 
and contacts with state safety oversight agencies. This working 
relationship also ensures that FTA has a fuller appreciation of the 
safety issues involved in each specific shared use operation and a 
voice in shaping the safety requirements that apply to such operations.
    In general, the greater the safety risks inherent in a proposed 
operation the greater will be the mitigation measures required. It is 
the intention of FTA and FRA to maintain the level of safety typical of 
conventional rail passenger operations while accommodating the 
character and needs of light rail transit operations.
    FRA and FTA believe that they can give light rail operators a high 
degree of confidence that FRA will provide the waivers they need to 
operate on a time-separated basis in shared-use situations, as already 
demonstrated in the three cases cited above. To facilitate the waiver 
process, FRA includes in its final statement of policy issued today a 
detailed statement of the rules light rail operators should expect to 
comply with and those rules from which they can expect to receive 
waivers, provided that the planned light rail operations will be wholly 
separated in time from conventional rail operations. With this 
information, light rail operators can plan and design their projects in 
such a way that they can be confident, absent unusual facts about a 
particular project presenting some atypical safety hazard, of receiving 
the waivers needed to operate.
    In its petition, the light rail operator may want to certify that 
the subject matter addressed by the rule to be waived is addressed by 
the system safety plan and that the light rail operation will be 
monitored by the state safety oversight program. That is likely to 
expedite FRA's processing of the petition. FRA will analyze information 
submitted by the Petitioner to demonstrate that a safety matter is 
addressed by the light rail operator's system safety plan. Where FRA 
grants a waiver, the state agency will oversee the area addressed by 
the waiver, but FRA will actively participate in partnership with FTA 
and the state agency to address any safety problems. If the conditions 
under which the waiver was granted change substantially, or 
unanticipated safety issues arise, FRA may modify or withdraw a waiver 
in order to ensure safety.

Conclusion

    Expanded use of existing railroad lines to provide increased 
transportation opportunities for passengers in metropolitan areas is a 
development that FTA and FRA strongly wish to encourage. Working 
together, the two agencies intend to ensure that these efforts go 
forward smoothly and in a way that guarantees that the blending of 
light rail and conventional rail operations continues their excellent 
safety records.

    Issued in Washington, DC, on June 30, 2000.
Jolene M. Molitoris,
Federal Railroad Administrator.
Nuria I. Fernandez,
Acting Federal Transit Administrator.
[FR Doc. 00-17209 Filed 7-5-00; 10:43 am]
BILLING CODE 4910-06-P