[Federal Register Volume 65, Number 134 (Wednesday, July 12, 2000)]
[Notices]
[Pages 43072-43084]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 00-17636]


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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.

New Jersey Transit Corporation (NJ Transit)

Newark City Subway System (NCS)

[FRA Waiver Petition No. FRA-2000-7335]

    New Jersey Transit Corporation (NJ Transit) hereby seeks approval 
of shared use and waiver of regulations from the Federal Railroad 
Administration (FRA) for the portion of the light rail transit 
passenger operations of the Newark City Subway System (NCS) that 
operates on the general railroad system, as described in this Petition 
and its Exhibits.
    New Jersey Transit Corporation (NJ Transit), seeks a permanent 
waiver of compliance from certain CFR parts of Title 49, specifically: 
part 219, Control of Alcohol and Drug Use; part 220, Radio Standards 
and Procedures; part 221, Rear End Marking Device--Passenger, Commuter 
and Freight Trains; part 223, Safety Glazing Standards--Locomotives, 
Passenger Cars and Cabooses; part 225, Railroad Accidents/Incidents--
Reports Classification, and Investigations; part 229, Railroad 
Locomotive Safety Standards; part 231, Railroad Safety Appliance 
Standards; Part 238, Passenger Car Safety Standards; part 239, 
Passenger Rail Emergency Preparedness; part 240, Qualification and 
Certification of Locomotive Engineers, as well as the statutory 
requirements of 49 U.S.C. 20301 through 20305 and 49 U.S.C. 21101 
through 21108.
    NJ Transit seeks approval of shared track usage and waiver of 
certain FRA regulations involving light rail passenger operations on 
the Newark City Subway System (NCS). Currently, the NCS is a 4.3 mile, 
double-track light rail transit system that operates on an exclusive 
right-of-way in Newark, New Jersey. Presently, the NCS is a rapid 
transit system in an urban area not connected with the general railroad 
system. NJ Transit is involved in the construction of an 0.9-mile 
extension of the NCS which includes a portion of the Norfolk Southern 
(NS) Orange Industrial Track. NS will use a 0.24-mile portion of one of 
the tracks on this reconfigured 0.6-mile segment to maintain its 
operations to serve one freight customer. NCS and NS service on the 
Shared Track will be temporally separated. See FRA/FTA Proposed Policy 
Statement at 28241 (64 FR 28238; May 25, 1999).
    In each section entitled ``Justification,'' FRA merely sets out NJT 
Transit's justifications which are included in its petition. In doing 
so, NJT Transit references the proposed Joint Policy Statement on 
Shared Used of the General Railroad System issued by FRA and the 
Federal Transit Administration

[[Page 43073]]

(FTA) (64 FR 28238; May 25, 1999) (``FRA/FTA 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 FRA/FTA Policy Statement for 
details.
    Since FRA has not yet concluded its investigation of the planned 
NCS, the agency takes no position at this time on the merits of NJ 
Transit's stated justifications. As part of FRA's review of the 
petition, FTA will appoint a representative to FRA's Safety Board, and 
that person will participate in the board's consideration of NJ 
Transit's waiver petition.

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, pursuant to a written program. 
Under this part, each railroad must also retain testing records and 
file (or keep available in the case of Class III railroads) a copy 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
    NJ Transit requests a waiver from all of the requirements of this 
part. Training and testing on NCS operating rules are conducted 
pursuant to NJ Transit Light Rail Operations training requirements. The 
purpose of the training requirements is to produce an operator who can 
provide an optimum degree of safety to all employees, customers, and 
the general public. The initial operating rules training lasts for 7 
days, and incorporates lectures, demonstrations and practical 
exercises. Employees are re-certified annually in operating rules and 
practices. These are described in Light Rail Operations Safety Rules & 
Procedures for Employees (LRT Rules and Procedures) and Light Rail Re-
Certification Training Manual which contain additional operator 
training and testing requirements. These requirements will ensure that 
the NJ Transit employees know and comply with NJ Transit operating 
rules.
    NJ Transit must submit its System Safety Program Plan (SSPP) and 
Operating Rules to the New Jersey's State Safety Oversight Board 
(Oversight Board) for review and approval. NJ Transit conducts initial 
and annual training for employees on the operating rules and conducts 
employee operational testing and rules inspections on a periodic basis. 
Employees are recertified on the operating rules annually. Employees 
receive reinstruction on the operating rules if they are involved in an 
accident, misuse of equipment, or unsafe acts. Employees also receive 
reinstruction if they have been away from subway operations for a 
period of 90 days or more, out sick for an extended period of time, or 
if reinstruction is requested by management. By start-up of operations 
on the NCS Extension, records of initial, annual and periodic employee 
testing and the LRT Rules and Procedures will be available for review 
by FRA during business hours. See FRA/FTA Policy Statement at 59054, 
59056.

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
    NJ Transit requests a waiver of all of the requirements of part 219 
because all of the employees assigned to the NCS who would otherwise be 
covered employees under this part are already covered employees subject 
to NJ Transit's existing drug and alcohol program under the FTA rules 
at 49 C.F.R. Part 653, Prevention of Prohibited Drug Use in Transit 
Operations and part 654, Prevention of Alcohol Misuse in Transit 
Operations. NJ Transit's drug and alcohol program incorporates: drug 
and alcohol screening for new employees; an employee assistance 
program; drug and alcohol testing for persons receiving a bi-annual 
physical as part of the Commercial Driver's License requirements, and; 
random, post-accident, and reasonable suspicion drug/alcohol screening.
    The FTA regulations apply to recipients of Federal mass transit 
funds except those ``specifically excluded'' because those recipients 
are operating railroads regulated by FRA. 49 CFR 653.5; 49 CFR 654.5. 
In such cases, a recipient is to follow the FRA regulations in 49 CFR 
part 219 for its railroad operations. Id. However, such a recipient is 
still required to certify that it is in compliance with applicable 
rules and to comply with parts 653 and 654 for its ``non-railroad 
operations.'' Id. NJ Transit is a recipient of Federal mass transit 
funds, and therefore, is subject to these compliance certification 
provisions. Subjecting NCS employees to FRA regulations would create an 
administrative burden for NJ Transit, both in terms of cost and in 
terms of recordkeeping.
    If granted a waiver from the requirements of part 219, NCS light 
rail operations would remain under the regulatory jurisdiction of FTA. 
NCS employees are employed by NJ Transit Bus Operations, Inc. and 
tested with bus operators and supervisors. Most other safety functions 
for NCS employees also are administered through NJ Transit Bus 
Operations, Inc. All of the employees assigned to the NCS LRT operation 
that would otherwise be covered employees under part 219, would remain 
covered employees under FTA's rules at parts 653 and 654. Application 
of the FTA drug and alcohol rules will provide an equivalent level of 
safety consistent with the policy underlying part 219. A basic review 
of the respective FRA and FTA regulations reveals that they are quite 
similar in purpose, structure and substance. Both regulations are 
intended to enhance safety by prohibiting and eliminating misuse of 
drugs and alcohol that might otherwise result in accidents and injuries 
to employees and the traveling public. Both regulations provide for 
procedural and recordkeeping requirements safeguarding the integrity of 
the program and providing privacy and due process protections for 
covered employees. Finally, both sets of regulations prohibit impaired 
employees from performing safety sensitive functions and require 
testing in the same situations (random, post-accident, reasonable 
suspicion, return-to-duty and pre-employment).
    Although there are differences between the regulations, there are 
no major policy differences with respect to the need to eliminate drug 
and alcohol misuse and 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 
civil penalties in accordance with a published schedule. The FTA 
regulations do not contain such a civil penalty structure. However, 
under FTA regulations, compliance is a condition for eligibility for 
receipt of Federal

[[Page 43074]]

funds. Non-compliance can result in suspension of eligibility for 
applicable Federal funding altogether. Thus, the severity of the 
potential penalty suspension and funding eligibility under FTA rules 
serves as a deterrent in the same way as does the FRA civil penalty 
program.
    Application of the FTA regulations will provide a level of safety 
equivalent to that provided by the FRA regulations. This request is 
consistent with FRA's position on the appropriate treatment of this 
Part. See FRA/FTA Policy Statement at 59054, 59056.

Part 220--Railroad Communications

    Part 220 sets forth minimum requirements governing the availability 
and use of radios and other wireless communications equipment in 
connection with railroad operations and right-of-way maintenance. 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
    NJ Transit requests a waiver from all of the requirements of this 
part because radio communications on the NCS are conducted according to 
the requirements of the NCS SSPP. In addition, because of the strict 
temporal separation, there will be little need for communication 
between NCS personnel and personnel of NS. Primary indication of track 
occupancy is provided by the train control system. The NCS has 
redundant means of communicating, including two-way mobile and base 
radios, and a remote OCC two-way base radio. All NCS maintenance 
workers are equipped with two-way radios for communication with each 
other and the OCC. The LRT Rules and Procedures stipulate 
communications protocols addressing content and priority of 
communications, as well as emergency communications, identification of 
speakers, employee training and testing regarding proper use of radios. 
Paragraph 3012 states that all two-way radio transmissions are governed 
by the Federal Communications Commission regulations. LRT Rules and 
Procedures, E. Compliance with the LRT Rules and Procedures is also 
monitored as required by Section 4.4 of the SSPP. The LRT Rules and 
Procedures provide for an equivalent level of safety as FRA rules. This 
request is consistent with the FRA's position on the appropriate 
treatment of this part. Statement Concerning Jurisdiction at 59054, 
59056.

Section 221.14(a)--Rear End Marking Device

    Section 221.14(a) requires that passenger, commuter, and freight 
trains be equipped with at least one such compliant marking device, 
which has been approved by FRA in accordance with the procedures 
included in Appendix A of part 221, and which has specific intensity, 
beam arc width, color and flash rate characteristics. The requirements 
are intended to reduce the likelihood of rear-end collisions 
attributable to the inconspicuity of the rear-end of a leading train.
Justification
    NJ Transit requests a waiver from this requirement because the NCS 
vehicle are equipped with lights and reflectors similar to those 
required for highway vehicles as contained in NJDOT regulations. The 
NJDOT regulations adopt and incorporate by reference the Federal 
Highway Administration's (``FHWA'') Federal Motor Carrier Safety 
Regulations found at 49 CFR part 393. The external illumination on the 
NCS vehicles includes headlights, turn signals, tail and brake lights, 
reflectors, clearance lights, and marker lights at each end of the bi-
directional NCS vehicles. In addition, marker lights, turn signal 
lights, and a reflecting strip, are located on the side of the vehicle. 
One headlight is mounted next to each brake light, with the headlights 
capable of being switched from low to high beam. Turn signal lights are 
visible from both the front and the side of the vehicle. The mounting 
height and candela value of the lights provided is consistent with the 
FHWA requirements for commercial motor vehicles. See 49 CFR part 393.
    In addition, a railroad lamp is mounted at the center top of each 
end of the vehicle. The railroad lamp, which has high and low beam 
capability, is designed for use in dedicated track territory. This lamp 
meets the applicable requirements of 49 CFR 229.125.
    The NCS vehicles have tail and brake light and marker lights to 
define the end contour of the vehicle, substantially similar to the 
marking devices required by FRA regulations. NJ Transit submits that 
safety on the Shared Track will not be compromised by the use of the 
NCS marking devices. The variation in illumination levels between NCS 
vehicles and NS trains is not material because of the temporal 
separation of the operations. The exterior lighting of the NCS vehicle 
will make the rear of the vehicles conspicuous to following vehicles 
and temporal separation will mean that freight trains will not follow 
behind leading NCS vehicles.

Section 223.9(c)--Glazing Requirements

    Section 223.9(c) requires that passenger cars be equipped with FRA 
certified glazing in all windows. This requirement is intended to 
reduce the likelihood of injury to passengers and/or employees from 
breakage and shattering of windows (including windshields) and to avoid 
ejection of passengers from the vehicle in a collision.
Justification
    NJ Transit requests a waiver of this requirement for NCS vehicle 
side windows. FRA will not permit operations on the general system in 
the absence of effective alternatives to the requirements of this part 
that provide an equivalent level of safety. Petitioners seeking waiver 
of this requirement should explain what equivalent safeguards are in 
place to provide assurances that passengers and crew members are safe 
from the effects of objects striking the vehicle's windows. Statement 
Concerning Jurisdiction at 59053. FRA has acknowledged that a transit 
system that has an SSPP developed under FTA's rules may be able to 
demonstrate that the Plan satisfies the safety goals of this part. Id. 
FRA also has recognized that temporal separation can form the basis for 
a grant of a waiver from safety glazing requirements. In FRA's waiver 
decision with respect to the Southern New Jersey Light Rail Transit 
(SNJLRT) project, FRA granted a waiver from the requirements of Section 
223.9(c) based upon recognition that ``a transit authority providing 
service on the general rail system under time separated arrangements 
should have wide latitude to select equipment well suited to the 
particular service requirements.''
    NCS vehicle side windows will conform to the side impact 
requirements of ``American National Standard for Safety Glazing 
Materials for Glazing Motor Vehicles and Motor Vehicle Equipment 
Operating on Land Highways.'' Glass meeting this standard is break-
resistant in normal usage, but can be broken with a standard rescue 
tool, such as a pry bar or punch, in an emergency. Upon breaking, the 
glass ``crumbles'' 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, 
where it has proved both durable and safe.

[[Page 43075]]

    In addition, the risk associated with vandalism (such as by ballast 
or other objects thrown against the windows) is addressed from an 
operations standpoint in the SSPP. Sections 7.0 and 8.0 of the SSPP 
contain the NCS Security Program tasks and verification procedures. The 
NCS right-of-way is monitored by Closed-Circuit TV. The NJ Transit 
Police Department has primary responsibility for NCS security, 
including assessment and corrective action with respect to facility and 
equipment damage, vandalism and trespassing. NJ Transit has developed 
Standard Operating Procedures (``SOP's'') intended to accomplish 
security goals, including SOP's regarding patrolling facilities and 
vehicle operator procedures for handling security threats. There is no 
reason to believe that the NCS vehicle side windows will pose any 
safety hazard in NCS operations on the Shared Track. The crumble 
characteristics of the NCS vehicle side windows, the NCS SSPP and NCS 
temporal separation from freight operations together offer necessary 
equivalent safety for Shared Track operations.

Section 223.15(c)--Emergency Window Requirements

    Section 223.15(c) requires each passenger train car to be equipped 
with at least four emergency windows designed to permit rapid and easy 
removal during an emergency. This requirement is intended to enhance 
safety by providing emergency egress in addition to egress through 
vehicle doorways.
Justification
    NJ Transit requests a waiver of this requirement because the NCS 
vehicles are not manufactured with designated emergency windows. The 
vehicles, however, are designed to permit equivalent or superior 
emergency exit options. Each vehicle has nine passenger windows on each 
side, all of which are made of safety glass and are bonded to the 
sidewalls. All of these windows are large (approximately 48 inches long 
by 36 inches high) when compared with conventional commuter rail cars, 
can be broken with standard rescue tools and can function as emergency 
windows if necessary. Furthermore, the NCS vehicle doorways provide 
greater access/egress capability than is found on conventional commuter 
rail cars. Each vehicle has four sets of double doors on each side of 
the vehicle. The minimum clearance height of each doorway is 80 inches 
and the flow lane width of each doorway is at least 24 inches (48 
inches in total for each doorway). The vehicle is designed such that 
the egress time of an AW2 load shall not exceed 60 seconds, calculating 
egress assuming a flow rate of 2 seconds per passenger per flow lane. 
The doors are releasable through an emergency release lever located on 
the inside of each doorway and from at least one doorway per side on 
the outside of the vehicle. This will enable a closed and interlocked 
door to be lock-released without power supply. Activation of the 
emergency release levers allows the door leaves to be manually 
operated. The interior door release levers are clearly marked and in a 
location accessible to all passengers, compliant with ADA and FRA 
marking requirements. These release lever features enable quick and 
easy opening of the doors by passengers, equivalent to FRA emergency 
exit window requirements.
    The doorways are designed to provide the main means of emergency 
access/egress and because the large windows can function as additional 
emergency access/egress points, there is very little risk of passengers 
becoming trapped or rescue personnel being unable to reach passengers. 
The NCS SSPP contains emergency response plan requirements that include 
passenger evacuation and crowd control planning.

Section 223.9(d)--Emergency Exit Window Markings

    Section 223.9(d) requires that each emergency window be 
conspicuously and legibly marked with luminescent material on the 
inside of each car and that clear and legible operating instructions be 
posted at or near each such window. This section also requires that 
each window intended for access by emergency responders for extrication 
of passengers be marked with a retroreflective, unique and easily 
recognizable symbol or other clear marking and that clear and 
understandable window-access instructions be posted at each such window 
or at the end of each car. These requirements are intended to 
distinguish emergency windows from other windows and provide 
information on the operation of the emergency windows.
Justification
    NJ Transit requests a waiver from these requirements because all 
side windows on the NCS vehicles are suitable for use in the event of 
an emergency. It would make no sense and, in fact, could cause 
confusion to mark any particular side set of windows as designated 
``emergency windows.'' All side windows can be broken with standard 
rescue tools and can function as emergency windows if necessary. Thus, 
identification of some windows as ``emergency windows,'' and the 
posting of special operating instructions is not appropriate in this 
instance and is not necessary for safe emergency egress from the NCS 
vehicle. Enforcing the marking requirements will not serve the intended 
safety purpose. In the SNJLRT Waiver Letter, FRA granted NJ Transit's 
request for relief from the emergency window exit requirements, 
including the marking requirements. FRA indicated that it believed that 
emergency egress and rescue access for the vehicle should be resolved 
through the SSPP process. NJ Transit assumes that FRA would have the 
same concerns and recommendations here. Accordingly, NJ Transit intends 
to work with NJ Department of Transportation State Safety Oversight 
Program to address emergency egress and rescue access. Emergency 
preparedness drills will be carried out on LRTs on an annual basis. For 
the foregoing reasons, enforcing the marking requirements would not 
serve the intended safety purpose.

Part 225--Accident Reporting and Investigation

    Part 225 prescribes reporting requirements for equipment and grade 
crossing accidents and employee injuries meeting specified thresholds. 
Part 225 also provides for recordkeeping and retention policies, and 
FRA accident investigations. These requirements support FRA's 
enforcement efforts and provide information to detect trends on an 
industry-wide basis.
Justification
    NJ Transit requests a waiver of the reporting and investigation 
requirements for injuries because NJ Transit will be following the 
injury reporting requirements prescribed in Section 4.3 of the SSPP. NJ 
Transit intends to comply with injury reporting and investigation 
requirements in the event of grade crossing accidents.
    Employee injuries are subject to FTA rules, and therefore 
provisions for reporting and investigating employee injuries are 
included in the SSPP. Pursuant to the SSPP, any employee responsible 
for the operation or maintenance of the NCS having direct knowledge of 
an accident or an incident that results in an injury must file a 
written report. Minor employee injuries such as those requiring first 
aid or a near miss must be investigated by the Supervisor, Claims 
Department. Employee injuries of moderate severity

[[Page 43076]]

resulting in medical treatment and/or lost time must be investigated by 
the Supervisor of both the Claims Department and Safety Department, 
depending upon the severity and circumstances of the injuries. Major 
injuries involving either serious injury or death must be investigated 
in-depth by the Supervisors of the Claims and Safety Department. The 
Safety Department must maintain an investigation recommendation matrix 
and a follow-up database to track implementation of recommendations. 
Pursuant to the NJ State Safety Oversight Program, NJ Transit must 
submit a monthly statement of among other things, injuries to 
passengers or employees.
    If an accident results in a passenger or employee fatality; a 
fatality occurs at a grade crossing; or two or more employees or 
passengers are seriously injured requiring admission to a hospital, NJ 
Transit must provide verbal notification to the National Transportation 
Safety Board and the NJDOT within two hours of occurrence of the 
incident. The verbal notification must be followed by submittal of a 
written report. Records of injuries are maintained at NCS headquarters 
and may be made available upon FRA request during business hours.
    FTA rules require NJ Transit's SSPP to contain provisions for 
reporting and maintaining records of certain injuries. Therefore, NJ 
Transit has an interest in establishing a system for uniform reporting 
of injuries. In addition, NJ Transit is responsible for compliance with 
applicable workplace injury reporting requirements contained in the New 
Jersey Public Employee's Occupational Safety and Health Act. The New 
Jersey Public Employee's Occupational Safety and Health Act is intended 
to adopt all applicable occupational health and safety standards of, 
and be as effective as, the Occupational Safety and Health Act of 1970, 
29 U.S.C. 651 et seq. See N.J.A.C. 12:100, Safety and Health Standards 
for Public Employees; see also N.J.S.A. 34:6A-29(g) and 34:6A-30(a).
    NJ Transit must already comply with FTA and New Jersey Public 
Employee's Occupational Safety and Health Act reporting requirements 
for injuries on the NCS. Requiring NJ Transit to also comply with FRA 
regulations would place an unnecessary administrative burden on NJ 
Transit. NJ Transit's system for recording, reporting and investigating 
injuries will be equally effective as FRA regulations in terms of 
preserving important data on injuries. This request is consistent with 
FRA's position on the appropriate treatment of part 225 as stated in 
the Statement Concerning Jurisdiction. See FRA/FTA Policy Statement at 
59054, 59056.

Section 229.125--Headlights and Auxiliary Lights

    Sections 229.125(a) and (d) require locomotives to have headlights 
and auxiliary lights of specified brightness and placement on the 
vehicle. The purpose of these requirements is to reduce the risk of 
collisions attributable to inconspicuity of the train.
Justification
    NJ Transit requests a waiver from these two requirements of Section 
229.125. The NCS vehicles have headlights and auxiliary lights that 
together present a triangular pattern and make the vehicles conspicuous 
to motor vehicles at grade crossings. However, the headlights and 
auxiliary lights do not match the dimensions set forth in Section 
229.125(d) and the lights are not as bright as prescribed in Section 
229.125(a).
    FRA has stated that it is important for all locomotives (including 
LRT vehicles meeting the definition of ``locomotive'' or ``cab car'') 
to present the same distinctive headlight-auxiliary light profile to 
motor vehicle operators approaching grade crossings in order to reduce 
the risk of grade crossing accidents. Statement Concerning Jurisdiction 
at 59053. FRA is amenable to light rail headlights being less bright 
than conventional locomotive headlights. Id. FRA is willing to grant 
waivers of part 229, including Sections 229.125(a) and (d), provided 
that a petitioner explains how its practices will provide for the safe 
condition and operation of its vehicles and how the vehicle design 
maintains the triangular pattern required of other locomotives and cab 
cars to the extent practicable. Id.
    The NCS vehicles will have two auxiliary lights similar to those 
used on motor vehicles. The auxiliary lights will meet the requirements 
of NJDOT motor vehicle headlight standards. The auxiliary lights will 
be capable of illuminating a person or object 500 feet away. The NCS 
vehicles will have a headlight on the top center of each end of the 
vehicle meeting the requirements of Section 229.125(a) and forming a 
triangular pattern with the auxiliary lights, to present a distinctive 
and conspicuous profile to motor vehicle drivers approaching grade 
crossings. The auxiliary lights on the NCS vehicle will be 43.5 inches 
above the top of rail and 42 inches apart. The vertical distance from 
the headlight to the horizontal axis of the auxiliary lights will be 94 
inches.
    As noted in Section II.G., there are two grade crossings on the 
segment of the Orange Industrial Track that will become the Shared 
Track, located at Franklin Street and at Belmont Avenue. As part of the 
NCS extension project, NJ Transit will reconstruct the Franklin Street 
and Belmont Avenue grade crossings. The crossings will be protected in 
accordance with the MUTCD to a design approved by the NJDOT. The public 
review process required under state law for the reconstruction of the 
grade crossings at Franklin Street and Belmont Avenue included 
participation of local emergency service organizations, municipalities 
(including the City of Belleville, where both grade crossings are 
located) and transportation planning organizations. The NCS extension 
includes installation of Bar Signals that are sequenced with traffic 
signals and grade crossing gates and lights. In addition, the grade 
crossings at Franklin Street and Belmont Avenue will be maintained in 
accordance with FRA regulations in part 234.
    In the SNJLRT Waiver Letter, FRA granted NJ Transit's request for 
relief from the requirements of Sections 229.125(a) and (d) based upon 
the conditions that the vehicle maintain the basic triangular pattern 
of lights as described in NJ Transit's petition and that NJ Transit 
undertake a public education and awareness campaign to familiarize 
residents of the area with the new NCS service on the line, recognition 
of the light rail vehicles and the continuation of freight service. NJ 
Transit plans to undertake a public education and awareness campaign to 
familiarize motorists with the NCS extension.

Section 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, directly implementing a number of statutory 
requirements found in 49 U.S.C. 20301-05, the Safety Appliances Act.
    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 drawbars. In addition, the 
statute requires trains to be

[[Page 43077]]

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 the statutory requirements, the regulations provide 
additional and parallel specifications for handbrakes, 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 handbrake that operates in conjunction with the power 
brake on the train. The handbrake 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
    NJ Transit seeks an exemption from the statutory requirements of 
the Safety Appliances Act and waiver of the implementing of regulations 
in 49 CFR 231.14. As explained below, NJ Transit seeks an exemption 
from the statutory requirements of the Safety Appliances Act, because 
compliance with those requirements would preclude the introduction of 
efficient railroad transportation equipment ``light rail vehicles'' in 
temporally-separated shared use operations. NJ Transit seeks a waiver 
from the corresponding regulations in Section 231.14, because the 
appliances and the specifications for the appliances contained in that 
section are unnecessary for assuring the safety of the NCS vehicles to 
NCS vehicle operators and passengers.
    The NCS vehicle has a number of features that provide an equivalent 
or superior level of safety as compared to a conventional hand brake. 
Each NCS vehicle will be equipped with four automatic spring applied 
parking brakes located on the two power trucks in each vehicle. The 
parking brake operates as part of the normal service braking function 
of the car. The parking brake is capable of holding the vehicle on a 
gradient of seven percent at an AW4 load. A one-person crew will 
operate the NCS vehicles. Normally the NCS will operate the system with 
single cars. There may be occasions where two cars will be coupled. The 
car or train will be normally operated from the console in the lead 
cab. During normal operating conditions, the operator will make all 
service brake applications. In the event of an emergency, the NCS 
vehicle will have several features that would permit passengers to 
activate the braking system. First, an emergency release device located 
on each passenger door pillar causes an irrevocable application of the 
service brakes in the event of any application. Second, the eight doors 
with double door leafs (four locations on each side of each vehicle) 
are interlocked with the propulsion system to ensure that the NCS 
vehicle does not move while any doors are open and the opening of the 
doors while the NCS vehicle is in motion will cause an irrevocable 
application of the service brake. The braking characteristics of the 
NCS vehicle will result in a shorter full service brake activation time 
and easier brake application than would be achieved by the presence of 
a traditional hand brake. Thus, the safety purpose of the hand brake 
requirement is achieved, but in a manner that provides an equivalent or 
superior level of safety.
    Sill steps and side-door steps are not necessary for safety on the 
NCS vehicle, because it is a low floor vehicle designed for low level 
boarding. The door threshold is 13.75 inches above the top of the rail. 
This configuration renders sill steps and side-door steps unnecessary. 
Compliance with the sill step and side-door step requirements would not 
enhance the safety of the vehicle.
    Handholds and handrails are typically intended for use by 
conductors and crew members performing service and yard duties. 
However, NCS operations will not involve any service and yard duties 
from positions outside and adjacent to the vehicle or near vehicle 
doors. Yard moves will be controlled from the console by the on-board 
operator and switches will be thrown remotely or through local controls 
initiated by the on-board operator. Therefore, there is no need for 
personnel to mount or dismount the vehicle using external appliances of 
any kind and no need for handholds or handrails on NCS vehicles. In 
sum, there is no practical need for handholds or handrails and their 
presence might constitute a safety hazard in the operating environment.
    The NCS vehicle is equipped with a fully automatic electric coupler 
and a mechanical coupler at each end controlled from the operator's 
position in the cab. The coupler and associated draft gear system has a 
centering device that retains the unconnected coupler head within its 
gathering range. The couplers are central couplings with automatic 
electrical and pneumatic coupling. The operator can initiate uncoupling 
from the console and no external crew is required to assist in this 
operation. NJ Transit believes that performing all coupling/uncoupling 
from inside the vehicle will enhance safety. This elimination of the 
need for frequent coupling/uncoupling of vehicles, combined with the 
ability for such activity to take place without crew members in close 
proximity to the coupler mechanisms eliminates the need for specially 
placed uncoupling levers and any hazard associated with manual 
coupling. The NCS vehicle uses dynamic brakes as the primary braking 
for all service brake applications. The LRT Rules and Procedures 
requires that each operator perform a pre-trip inspection of his/her 
equipment, including inspection, testing and maintenance of brake 
equipment. Operators are required to report any defects or failures to 
the Maintenance Department immediately and to note such defects or 
failures on their vehicle condition reports. Therefore, the NCS vehicle 
brake system will be equivalent to a standard air brake system and thus 
provide an equivalent level of safety.
    NJ Transit may obtain exemption from the statutory safety appliance 
requirements mentioned above only if application of such requirements 
would ``preclude the development or implementation of more efficient 
railroad transportation equipment or other transportation 
innovations.'' 49 U.S.C. 20306. The exemption for technological 
improvements was originally enacted to further the implementation of a 
specific type of freight car, but the legislative history shows that 
Congress intended the exemption to be used elsewhere so that ``other 
types of railroad equipment might similarly benefit.'' S. Rep. 96-614, 
at 8, (1980), reprinted in 1980 U.S.C.C.A.N. 1156, 1164.
    FRA has recognized the potential public benefits of temporally 
separated transit use on segments of the general railroad system. Light 
rail transit systems ``promote more livable

[[Page 43078]]

communities by serving those who live and work in urban areas without 
adding congestion to the nation's overcrowded highways.'' FRA/FTA 
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. 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 NCS System. Light rail transit 
equipment is energy-efficient for passenger rail operations because it 
is lighter than conventional passenger equipment. 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 NJ Transit'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 
Section 231.14, as discussed above, the NCS vehicles will be equipped 
with safety appliances that are more appropriate for light rail transit 
vehicles, thus achieving an equivalent level of safety in the NCS 
operating environment.

Part 238--Passenger Equipment Standards

    Part 238 prescribes minimum federal safety standards for railroad 
passenger equipment. NJ Transit requests a waiver from the requirements 
of part 238, because the NCS vehicles will not meet the requirements of 
the Part. NCS and NS operations will be temporally-separated. NCS is 
subject to state safety oversight pursuant to FTA's rules at 49 CFR 
part 659 and has an SSPP in place.

Section 238.113--Emergency Window Exits

    Section 238.113 requires passenger cars to have a minimum of four 
emergency exit windows, either in a staggered configuration or with one 
located at each end at each side of the car. Each window must have a 
minimum unobstructed opening with dimensions of 26 inches horizontally 
and 24 inches vertically. Each emergency exit window must be easy to 
maneuver without requiring the use of a tool or other implement. This 
requirement is intended to provide for sufficient, easily accessible 
avenues of egress from passenger cars in the case of emergency.
Justification
    NJ Transit requests a waiver of this requirement because the NCS 
vehicles do not come equipped with emergency exit windows. The cars, 
however, are designed to permit equivalent egress so that passengers 
will not become trapped in the cars in the case of an emergency. See 
also the discussion related to emergency egress and emergency planning 
above.

Section 238.115(b)(4)--Emergency Lighting

    Section 238.115(b)(4) requires passenger cars to provide battery 
powered emergency lighting with a 90-minute back-up power system 
capable of operating without a loss of more than 40 percent minimum 
illumination levels in all equipment orientations within 45 degrees of 
the upright and vertical position. The emergency lighting must be 
capable of operating after the initial shock of a collision or 
derailment resulting from prescribed individually applied 
accelerations. The purpose of these requirements is to ensure that in 
an emergency situation, sufficient lighting will remain available to 
aid passengers, crew members, and rescue personnel to access and leave 
the train safely.
Justification
    NJ Transit requests a waiver of these requirements because the NCS 
vehicles will not meet the requirements. However, power for the 
emergency lighting in the NCS vehicles is provided by a battery with 
sufficient capacity to sustain emergency loads, including the above 
lighting, and radio and public address systems, for a period of at 
least 60 minutes. Additionally, the battery will have sufficient 
capacity to sustain power to door controls, propulsion and brake 
controls, coupler control and the horn and bell for a period of at 
least 60 minutes. The battery is located on the roof of the B section 
near the central C section of the car, removed from the front of the 
vehicle where direct collisions may occur. The battery is designed for 
transit use that requires a rugged design capable of withstanding 
reasonable shock and vibration. The battery box mounting brackets, as 
are all mounting brackets of equipment above 90 kg (200 lbs.), are 
designed to withstand not less than 5.0 g in the longitudinal 
direction, 2.0 g in the lateral direction and 3.0 g in the vertical 
direction.
    The NCS vehicles will operate in an urban region; the route short 
segment of Shared Track is at-grade with many points of easy access for 
police, fire and other emergency rescue units from adjacent streets. On 
the Shared Track, emergency responders can reach the NCS system within 
five (5) minutes. Additionally, the headway between NCS vehicles is no 
more than 6 minutes (non-rush hour periods) and each vehicle has the 
capability of acting as a rescue car by coupling with a failed unit and 
moving it to the next stop for detrainment of passengers. The rescuing 
car can supply sufficient electrical power to the failed vehicle for 
the emergency lighting and other functions. In the event that the last 
scheduled vehicle in a day lost power, the previous vehicle would be 
returned to recover the failed vehicle.
    The NCS main and backup lighting and power systems will provide a 
level of safety in the NCS operating environment equivalent to that 
provided in FRA's regulations.

Structural Requirements in Part 238

    The waiver requests for the primary structural requirements in part 
238 are addressed in this Section III.10.c. Many aspects of the safety 
justification for waiver of the structural requirements apply equally 
to all of the structural requirements and, therefore, the generally 
applicable points are set forth in this introduction.
    NJ Transit seeks waiver of all of the structural requirements in 
part 238, because the NCS vehicle will not meet the requirements. The 
strict temporal separation of the NCS and NS services virtually 
eliminates the risk of a collision between a NCS vehicle and a NS 
freight train, obviating the need for NCS equipment to meet the 
passenger car structural standards. In addition, the NCS vehicles are 
designed to withstand collisions with other light rail vehicles, motor 
vehicles and similar objects. Relevant aspects of these design 
standards are described below.
    The NCS collision avoidance system is at the heart of the NCS 
safety design. Marked by complementary elements such as operating rules 
and procedures, train control technology and the NCS signal system, the 
collision avoidance system will significantly reduce the likelihood of 
collisions involving NCS vehicles. Moreover, the NCS vehicle's rapid 
deceleration design features will work to further reduce the prospect 
of collisions and to significantly reduce the closing speed, and 
accordingly, the seriousness of collisions that do occur.

Section 238.203--Static End Strength

    Section 238.203 provides for the overall compressive strength of 
rail passenger cars, requiring them to have a minimum static end 
strength of

[[Page 43079]]

800,000 pounds on a line of draft at the ends of occupied volumes 
without permanent deformation of the car body structure. This section 
is intended to prevent sudden, brittle-type failure of the main 
structure of a passenger car, thereby providing protection of occupants 
in the case of a crash.
Justification
    NJ Transit requests a waiver from this requirement because the NCS 
vehicle will not meet the requirements, but will be designed to attain 
an equivalent level of safety in the NCS operating environment.
    Above and beyond the crash avoidance features of the NCS System, 
the NCS vehicles are designed to prevent sudden, brittle-type failure 
of the main structure of a passenger car. The vehicle design 
accommodates the actual progression of a failure induced by a sudden 
collision phenomenon; from the elastic limit, through the plastic 
limit, to a brittle failure. NJ Transit requires the NCS vehicles to be 
manufactured to comply with the standards summarized in the Summary of 
NCS Structural Specifications further summarized below:
    The structure is capable of sustaining, without any permanent 
deformation, a longitudinal load 490 kN (110,156 lbf) applied uniformly 
at coupler bracket, with a uniformly distributed applied AW4 vertical 
load of 218 kN (49,008 lbf). Actual tests have determined that these 
minimum values were achieved.
    The structure is capable of sustaining, without any permanent 
deformation, a longitudinal load of 441 kN (99, 141 lbf) applied 
uniformly at the end sill anticlimber, with a uniformly distributed 
applied AW4 vertical load of 218 kN (49,008 lbf). In addition the end 
sill structure is capable of: Sustaining loads up to the peak collapse 
load of the crush zone without permanent deformation; sustaining the 
reaction loads generated from the loads specified for collision posts, 
corner posts and anti-climbers without permanent deformation; and 
distributing the collision loads incurred during scenarios specified 
for crashworthiness, such that the collapse of the energy absorption 
elements in the crush zones is the primary failure mode.
    Vehicles are capable of withstanding collisions with other NCS 
vehicles, motor vehicles, or over-travel buffers without unnecessary 
risk of injury to passengers or excessive damage to NCS cars and/or 
track equipment. In a collision, no passenger compartment shell will 
rupture or suffer any opening through which passengers limbs may 
protrude; high voltage devices and associated connecting cables will 
remain contained and will not create electrical shock hazards to 
personnel; and electrical systems will not create a fire hazard.
    To achieve the objective of crashworthiness, a crash energy 
management approach was used as the basis of the NCS vehicle's 
structural design. Further, as it is expected that during peak hours 
that some passengers will stand, it was deemed important to minimize 
the deceleration of passengers in the event of a frontal collision. The 
crash energy management of the NCS vehicle in a collision between a NCS 
two car consist moving at speed V and a stationary two car NCS consist 
(i) both consists on level tangent track and unbraked, (ii) couplers 
fully engaged, and (iii) NCS vehicle having a design weight of AW0 of 
45,000 kg (99,208 lb.) is detailed in Exhibit E. Actual car weights are 
averaging 47,700 kg (95,459 lbs.), enhancing the above performance.
    The NCS crash avoidance system combined with the above stated 
specifications will provide equivalent protection to occupants in the 
case of a crash in the NCS operating environment.

Section 238.205 (a)--Anti-Climbing Mechanism

    Section 238.205 (a) requires locomotives (as defined in Sec. 238.5) 
to have forward and rear end anti-climbing mechanisms capable of 
resisting an upward or downward vertical force of 200,000 pounds 
without failure. These requirements are intended to prevent override or 
telescoping of one passenger train unit into another in the event of 
high compressive forces caused by a derailment or collision.
Justification
    NJ Transit requests a waiver of this requirement because the NCS 
vehicle is designed so that: with only two ribs of the anticlimbing 
mechanism engaged, and a vertical load of 150 kN (33,721 lbs.) combined 
with a longitudinal compressive load of AW0, 441 kN (99,141 lbs.) 
applied at the carbody centerline, there will be no permanent 
deformation of the carbody structure. Analysis has shown that this 
component will sustain higher loads. In addition, elements within the 
couplers absorb 115 KJ (84,780 ft.-lbs.) of energy in recoverable 
energy absorption elements. When this occurs, the coupler moves back 
until the maximum energy absorption limit is reached when special 
calibrated bolts break at a predetermined design release load of 450 kN 
(101,164 lbs. force), allowing the anti-climbers of the colliding 
vehicles to engage and the loads are taken by the carbodies directly. 
Anti-climbers are fitted to each end of the cars to avoid overriding 
and underriding.
    While individual structural elements will not conform to the 
requirement of Section 238.205(a), the assembled carbody uses ``crush 
zones'' and other techniques to protect passengers in the event of 
collisions. Specifically, the NCS vehicle is designed using advanced 
computer methods to incorporate modern energy absorbing and dissipation 
methods to dissipate energy and transfer loads to protect the passenger 
compartment. The anti-climbers and energy absorption mechanisms are 
designed to limit the potential for override and underride and prevent 
telescoping. The NCS vehicle design will achieve the uniformity of end 
structure deformation essential to this objective. The standard to 
which the NCS vehicle is manufactured will prevent override or 
telescoping and provide an equivalent level of safety as that provided 
by the FRA rule.

Section 238.207--Link Between Coupling Mechanism and Car Body

    Section 238.207 requires the link between the car coupling 
mechanism and the car body to be designed to resist a vertical downward 
thrust from the coupler shank of 100,000 pounds for any normal 
horizontal position of the coupler, without permanent deformation. The 
purpose of this requirement is to avoid a premature failure of the 
draft system so that the anticlimbing mechanism will have an 
opportunity to engage.
Justification
    NJ Transit requests a waiver from this requirement because the NCS 
vehicle has its own design features to accomplish the purpose of the 
requirement.
    The NCS vehicle is designed so that the carbody structure 
supporting the coupler will sustain without permanent deformation a 
load that is equal to 110 percent of the coupler release load (if 
applicable) or failure load applied at the coupler brackets, with a 
uniformly distributed AW4 vertical load. In addition, the method of 
attaching the coupler to the coupler anchor bracket allows the coupler 
to become fully released from the coupler anchor bracket once the 
coupler has absorbed its maximum design energy. The coupler is 
contained and prevented from coming in contact with the track or from 
protruding into the passenger compartment. The coupler and draftgear is 
designed to withstand an operating consist with a 17,570 kg (38,735 
lbs.),

[[Page 43080]]

(AW3) passenger load, pushing or pulling an unpowered consist with a 
17,570 kg (38,735 lbs.) (AW3) passenger load, over all grades and 
curves on the NCS Line, without damage to the coupler.
    The intent of the NCS vehicle design is to prevent the coupler 
shank from contributing to potential damage during a frontal collision. 
The approach taken is to release the coupler from mechanical connection 
to the carbody once it has absorbed its maximum design energy. When 
this occurs the coupler assembly is separated from the coupler 
anchorage on the car structure. The coupler is retained to prevent it 
from coming into contact with the track or from protruding into the 
passenger compartment. This feature is provided to reduce the risk of 
derailment and penetration of the occupied space. These design 
standards will allow the NCS vehicle to meet a level of safety 
equivalent to Section 238.207.

Section 238.209--Forward-Facing End Structure of Locomotives

    Section 238.209 requires the skin of the forward-facing end of each 
locomotive to be equivalent to a \1/2\ inch steel plate with a 25,000 
pounds per square inch yield strength; designed to inhibit the entry of 
fluids into the occupied cab area of the locomotive; and to be affixed 
to the collision posts or other main vertical structural members so as 
to add to the strength of the end structure. These requirements are 
intended to provide protection to persons in the occupied area of the 
locomotive cab.
Justification
    NJ Transit requests a waiver of the requirements in this section 
because the NCS vehicle is designed to attain a sufficient level of 
safety in the NCS operating environment.
    With respect to the specific design of the forward-facing end 
structure, both vehicle ends are designed similar to a push-pull cab 
configuration with corner posts, collision posts and structural shelf. 
The operator's cab floor finished height is 890 mm (35 inches) above 
TOR and the vehicle provides a buff strength of 441 kN (99, 141 lbf.) 
applied uniformly at the end sill anticlimber. The cab floor structure 
is located immediately behind the anticlimber. NJ Transit believes that 
the NCS vehicle, along with the other system safety design features, 
will provide an equivalent level of safety.

Section 238.211--Collision Posts

    Section 238.211 requires locomotives to have two full-height 
collision posts at each end where coupling and uncoupling are expected. 
Each collision post must have an ultimate longitudinal shear strength 
of not less than 500,000 pounds at a point even with the top of the 
underframe member to which it is attached and a longitudinal shear 
strength of not less than 200,000 pounds exerted at 30 inches above the 
joint of the post of the underframe. Alternatively, cars may be 
constructed with an end structure that can withstand the sum of forces 
that each collision post is required to withstand. This requirement is 
intended to provide for protection against crushing of occupied areas 
of passenger cars in the event of a collision or derailment.
Justification
    NJ Transit requests a waiver of this requirement because the NCS 
vehicle has collision posts or a structural equivalent, protecting at 
least the area between the underframe and the bottom of the windshield. 
NJ Transit believes the NCS vehicle design will provide an adequate 
measure of safety. In order to preclude sudden catastrophic failure or 
overriding of NCS cars, all connections which attach collision posts, 
corner posts and structural shelf to each other and/or the underframe 
structure and roof structure, are made in such a manner to develop the 
full strength of the load bearing members in shear. The ultimate shear 
strength of the collision posts is not less than a compression load of 
441 kN (99,141 lbs.) applied at the top of the underframe, and at any 
angle up to 15 deg. from the longitudinal axis. A 
compression load of 150 kN (33,721 lbs.) similarly applied 15 inches 
above the top of the underframe will cause no yielding of the collision 
posts. All underfloor, and roof mounted equipment weighing more than 90 
kg (200 lbs.) is designed to withstand not less than 5.0 times the 
equipment weight in the longitudinal direction, 2.0 times the equipment 
weight in the lateral direction, and 3.0 times the equipment weight in 
the vertical direction. These loads applied separately will not result 
in stresses that exceed the ultimate strength of the material.
    These design requirements provide for the same type of protection 
of the occupant space as the FRA collision posts requirements, but do 
so in a way consistent with the design of the NCS vehicle. As noted 
elsewhere herein, the NCS vehicle is designed using advanced computer 
methods to incorporate modern energy absorbing and dissipation methods 
as part of an overall protection system designed to dissipate energy 
and transfer loads from impacts to protect the passenger compartment. 
As part of this system, the NCS collision posts provide protection for 
the occupied volume of the vehicle shell during a collision. Thus, the 
NCS vehicle effectively isolates passengers and crew from the hazards 
of penetration.

Section 238.213--Corner Posts

    Section 238.213 requires two full-height corner posts at the end of 
each vehicle capable of resisting without failure a load of 150,000 
pounds at the point of attachment to the underframe and a load of 
20,000 pounds at the point of attachment to the roof structure. Each 
corner post must be able to resist a horizontal load of 30,000 pounds 
applied 18 inches above the top of the floor without permanent 
deformation. These requirements serve to provide protection to occupant 
compartments from side-swipe type collisions.
Justification
    NJ Transit requests a waiver of this requirement because the NCS 
vehicle is designed to attain a sufficient level of safety in the NCS 
operating environment.
    The NCS vehicle corner posts have a minimum ultimate shear strength 
of 225 kN (50,582 lbf) applied at the top of the underframe and 75 kN 
(16,861 lbf) applied 380 mm (15 inches) above the top of the 
underframe. These requirements cause no yielding of the corner posts. 
All underfloor, and roof mounted equipment weighing more than 90 kg 
(200 lbs.) is designed to withstand not less than 5.0 times the 
equipment weight in the longitudinal direction, 2.0 times the equipment 
weight in the lateral direction, and 3.0 times the equipment weight in 
the vertical direction. These loads applied separately will not result 
in stresses that exceed the ultimate strength of the material.
    Here too, while individual structural elements of the NCS vehicle 
may not conform to the specific requirements, the assembled carbody 
uses ``crush zones'' and other energy absorption and dissipation 
techniques to protect passengers in the event of collisions. As part of 
this system, the corner posts extend from the underframe to the roof 
structure and are combined with the collision posts, structural shelf, 
and underframe to become part of the end structure. This design 
effectively isolates passengers and crew from the hazards of 
penetration, thereby providing protection for the occupied volume of 
the vehicle shell during a collision.

[[Page 43081]]

    The NCS vehicle specifications provide for additional structural 
protection of the occupant compartments, and, in conjunction with the 
other safety design features of the vehicle, will provide an equivalent 
or superior level of safety to the FRA specification.

Section 238.215--Rollover Strength

    Section 238.215 sets forth the structural requirements intended to 
prevent significant deformation of the occupant compartments of 
passenger cars, in the event the car rolls onto its side or roof. Under 
this section, a passenger car must be able to support twice the dead 
weight of the vehicle while the vehicle is resting on its roof or side.
Justification
    NJ Transit requests a waiver of this requirement because the NCS 
vehicle is designed such that the roof is designed to support, without 
permanent deformation, the equipment mounted on the roof, and 
maintenance personnel performing their duties. The heaviest equipment 
is the HVAC unit at 680 kg (1,500 lb). All underfloor and roof mounted 
equipment weighing more than 90 kg (200 lbs.) is designed to withstand 
not less than 5.0 times the equipment weight in the longitudinal 
direction, 2.0 times the equipment weight in the lateral direction, and 
3.0 times the equipment weight in the vertical direction. These loads 
applied separately will not result in stresses that exceed the ultimate 
strength of the material. With a load of 178 kN (40,000 lbs.) applied 
to the side wall at the side sill, and distributed along 2,500 mm (98.5 
inches), there is no yielding or buckling of the carbody structure. 
With a load of 44 kN (10,000 lbs.) applied to the side wall at the belt 
rail, and distributed along 2,500 mm (98.5 inches), there is no 
yielding or buckling of the carbody structure.
    The features specified above are designed to enhance 
crashworthiness and protect the occupied volume. The NCS vehicle 
incorporates a lightweight low floor design (14 inches from the 
ground), which lowers the center of gravity as well as the load 
conditions in rollover circumstances. The NCS vehicle has a lower 
center of gravity than a standard commuter rail car. Moreover, in the 
unlikely event of a rollover, the lighter weight of the NCS car means 
that the roof does not have to support as much weight as would a 
standard commuter rail car. Because of the inherent requirements for 
roof and side wall strength, the car will not have significant 
deformation when the car is resting on its roof or side. In the 
unlikely event that a derailment leading to a rollover occurs, the NCS 
vehicle specifications provide for structural protection of the 
occupant compartments and, in conjunction with the other safety design 
features of the vehicles, will provide an equivalent measure of safety.

Section 238.217--Side Structure

    Section 238.217 sets strength requirements for side posts and 
corner braces. This section also requires that outside sheathing of 
mild, open-hearth steel when used flat and without reinforcement in 
certain side frames be no less than \1/8\-inch nominal thickness. When 
sheathing used for truss construction serves no load-carrying function, 
the minimum thickness is 40 percent of \1/8\-inch nominal thickness. 
These specifications are intended to provide for additional structural 
protection, so that a car will derail before it collapses into the 
occupant compartments.
Justification
    NJ Transit requests a waiver of these requirements because the NCS 
vehicle is designed so that with a load of 178 kN (40,000 lbs.) applied 
to the side wall at the side sill, and distributed along 2,500 mm (98.5 
inches), there is no yielding or buckling of the carbody structure. In 
addition, with a load of 44 kN (10,000 lbs.) applied to the side wall 
at the belt rail, and distributed along 2,500 mm (98.5 inches), there 
is no yielding or buckling of the carbody structure.
    The approach used in designing the NCS vehicle involved minimizing 
weight while providing maximum protection for passengers consistent 
with the service requirements. The vehicle has a well-lit interior and 
external indicator, marker lights and a side reflecting strip, and will 
therefore be more conspicuous than a regular commuter or freight train.
    Additionally the relatively short car length 27,440 mm (90 feet), 
ensures that the vehicle will not obstruct a grade crossing for an 
extended period. This, in conjunction with the present constant warning 
time crossing protection, will encourage observation of grade crossing 
warnings by the NCS vehicle operator and road vehicle drivers.
    NJ Transit believes that although NCS vehicle design elements set 
forth above may not conform to the specific requirements of the FRA 
regulation, they will provide, in conjunction with the other safety 
design features of the vehicles, an equivalent level of safety.

Section 238.233--Interior Fittings and Surfaces

    Section 238.233 requires each seat in a passenger car to be 
securely fastened to the carbody so as to withstand individually 
applied acceleration of 4g acting in the vertical and in the lateral 
direction on the deadweight of the seat or seats if a tandem unit. Seat 
attachments must have an ultimate strength capable of resisting a 
longitudinal inertial force of 8g acting on the mass of the seat plus 
the impact force of the mass of an unrestrained 95th percentile male 
occupant striking the seat from behind when the floor to which the seat 
is attached decelerates with a triangular crash pulse having a peak of 
8g and a duration of 250 milliseconds. This section also requires 
overhead racks to provide longitudinal and lateral restraint for stowed 
articles and be attached to the car body with sufficient strength to 
resist loads due to a longitudinal force of 8g, a vertical force of 4g 
and a lateral force of 4g. Other interior fittings must meet the same 
strength requirements. In addition, to the extent possible, all 
interior fittings in the passenger car are to be recessed or flush-
mounted and sharp edges and corners in the locomotive cab or passenger 
car will be either avoided or padded. Floor mounted seats provided for 
a crew member assigned to occupy the cab of a locomotive must be 
capable of withstanding the same load limits as required for overhead 
storage racks with the mass being that of the seat and a 95th 
percentile male crew member. These requirements are designed to reduce 
the likelihood and severity of injury to train occupants caused by the 
dislodging of seats or other interior items or by occupants striking 
interior items in the event of an accident.
Justification
    NJ Transit requests a waiver of these requirements because the 
seats and interior fittings of the vehicle have been designed for the 
NCS operating environment. The vehicle is designed such that the 
passenger seat consists of a cantilevered supporting structure in the 
low level and mounted on equipment boxes in the high level. The seat 
shell and cushion inserts for the seat and back are similar in both 
locations. The NCS car does not have luggage racks. Aspects of this 
regulation are more appropriate to an intercity vehicle where luggage 
accompanies most passengers. This vehicle is used in local service 
where luggage is typically limited to small carry-on items not

[[Page 43082]]

requiring luggage racks such as purses, attache cases, etc.
    The vehicle interior provides recess or flush-mounted fittings and 
readily accessible stanchions and resilient seat top grab rails for 
passenger safety and comfort. Stanchions and grab rails are sized and 
located to provide optimum arrangement for all passengers. Windscreens 
are provided adjacent to each doorway in the low level areas, with the 
upper portion transparent, and incorporating a stanchion extending from 
the windscreen to the NCS car ceiling. This vehicle also provides more 
floor space for passenger circulation than an intercity or commuter 
rail car due to its service characteristics.
    It is also important to note that the proposed seat attachment 
strength requirements are a function of the 800,000 pound compression 
strength requirement for commuter cars and main line coaches. Because 
the NCS vehicles have different compression strength values, it is not 
necessary for the NCS car to meet the proposed 8g/4g force resistance 
requirements. In the NCS vehicles, the provision of crashworthiness 
features prevents acceleration in the passenger compartment from 
reaching such levels. Rather, the limit for collisions up to 20 km/h 
(12.5 mph) is 1.5 g. Moreover, the high emergency brake rate means that 
most collisions will be at a lower speed than would be the case with 
conventional commuter rail cars. The design parameters used for the 
passenger seats and the attachments are consistent with those specified 
for use for advanced design transit motor coaches. The NCS vehicle 
itself is designed for a maximum service speed of 90km/h (55 mph) and 
does not therefore attain the speeds of rail commuter cars.

Section 238.235--Doors

    Section 238.235 provides that each passenger car must have a 
minimum of two exterior side doors with each door providing a minimum 
clear opening of 30 inches horizontally and 74 inches vertically. This 
section also provides for the availability of override devices enabling 
the opening of doors without power from both the inside and outside of 
the cars without the use of a tool or other implements.
Justification
    NJ Transit requests a waiver of these requirements because the NCS 
vehicle is designed with an emergency release lever on the inside of 
each doorway and for one doorway per side on the outside of the 
vehicle. This enables a closed and interlocked door to be lock-released 
without power supply. Activation of the emergency release levers will 
allow the door leaves to be manually moved. The interior emergency door 
release levers will be clearly marked and will be in a location 
accessible to all passengers, consistent with ADA requirements.
    The NCS vehicle has four doorways on each side to permit egress 
time of an AW2 load in less than 60 seconds. The passenger doorways are 
two-panel sliding plug type and flush with carbody in the closed 
position. They are opened and closed electrically and provide direct 
access from the platform to the car interior. There is no vestibule 
with secondary door access through a partition to the passenger 
compartment. The clear opening is 48 inches. The car has four doors per 
side in the low floor area. This door configuration permits evacuation 
of 190 passengers from either side in less than 60 seconds. Also, with 
regard to emergency services access, all side windows can be safely 
shattered using common rescue implements to provide additional access/
egress locations. The design of the door and windows provides an 
equivalent level of safety to the FRA specifications.

Section 238.237--Automated Monitoring

    Section 238.237 requires that controlling locomotives have working 
alerters. The alerter timing must be set by the operating railroad 
taking into consideration maximum train speed and signal system 
capabilities. Under this section, the working alerter must initiate a 
penalty brake application if the train operator does not respond to the 
alerter. If the alerter fails en route then a second qualified person 
will be stationed in the cab or the operator will be in constant 
communication with a second crew member until the train reaches the 
next terminal. These requirements are intended to prevent a train 
collision or derailment due to the inattention or incapacity of the 
train operator, resulting is loss of control of the train.
Justification
    NJ Transit requests a waiver from these requirements because the 
NCS vehicle is equipped with its own controller and audible type 
features to provide an equivalent level of safety. If a vehicle 
operator fails to respond to speed commands, the vehicle automatically 
goes into a full service brake application that is only released when 
the speed command is achieved. A keyed control switch is provided on 
each master controller, which is interlocked such that when keyed up, 
only the controls in that cab are operable. The master controller power 
and brake handle incorporates a ``dead-man'' device which when released 
for any reason when the car is moving in forward or reverse, 
immediately initiates a propulsion inhibit and a full service brake 
application, independent of the position of the handle.
    In addition to the master controller, redundant safety systems are 
provided. For example, the vehicle is also controlled by enforce-stop 
devices that initiate a brake application, if the vehicle is not 
compliant with speed commands. Also, an emergency stop push-button is 
provided such that, when pushed, it will activate the emergency brakes. 
It is possible to activate the emergency stop push-button from any 
console in a consist. Finally, the NCS service route involves frequent 
station stops in signaled territory under control of a dispatcher. 
Violation of a signal aspect will result in a penalty brake 
application.

Sections 238.301-238.319--Inspection, Testing and Maintenance

    Subpart D of part 238, Secs. 238.301 through 238.319, contains 
requirements pertaining to the inspection, testing and maintenance of 
the passenger equipment and systems required for Tier I passenger 
equipment. These requirements are designed to ensure that passenger 
rail operations are conducted only on vehicles whose components and 
systems are in good working order, thereby reducing both the chances of 
a equipment-related accident and the severity of damage or injury in 
the case of an accident.
Justification
    NJ Transit anticipates being in compliance with the requirements of 
Subpart D. However, NJ Transit requests a waiver of any requirements 
that correlate to the Subpart B or C standards from which NJ Transit 
has sought waivers. NCS equipment will be subject to a detailed program 
of inspection, testing and maintenance, as required by the NJDOT System 
Safety Program Standard and the NCS SSPP. Specifically, Section 5.1.5 
of the NJDOT System Safety Program Standard requires the NCS SSPP to 
provide for periodic and as needed maintenance inspection and testing 
of equipment and facilities, as well as training and certification of 
employees in safety-sensitive positions. The NCS SSPP will address 
these issues in detail, setting forth specific inspection maintenance 
and testing schedules and protocols for all major equipment, components 
and systems. Compliance with the SSPP

[[Page 43083]]

requirements will be monitored through a periodic audit and reporting 
program.

Part 239--Passenger Train 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. The rules in part 239 were 
promulgated to reduce the risk of death or injury to passengers, 
employees and others in the case of accidents or other incidents 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 rules were 
adopted as a result of several serious crashes involving commuter 
trains.

Justification

    NJ Transit requests a waiver of the emergency preparedness plan 
requirement in part 239, because the NCS operates in accordance with 
the emergency preparedness specifications of the NCS SSPP, under the 
oversight of NJDOT's State Safety Oversight Program.
    The SSPP sets forth procedures and requirements dealing with 
emergency situations tailored to the NCS system, but which also draw on 
the experience of emergency preparedness standards from other rail 
transit systems whose operations and equipment more closely resemble 
the NCS than FRA-regulated commuter rail systems. Section 9 of the 
State Safety Program Standard, requires the SSPP to contain Emergency 
Operating Procedures to deal with a variety of emergency situations, 
including accidents and natural disasters as well as sabotage or other 
criminal activities. The NCS SSPP contains a detailed emergency 
response plan which provides for contingency planning for passenger 
evacuation and crowd control coordination, training and simulation 
drilling with outside emergency response providers. The emergency 
response plan also specifies required emergency equipment.
    In addition to emergency response planning required by Sections 5 
and 9, the State Safety Program Standard requires NJ Transit to engage 
in a process by which hazards occurring in operations, maintenance and 
engineering are identified and categorized according to severity and 
likelihood. Resolutions to reduce hazards to the lowest level practical 
must then be considered. This process helps NCS to develop the 
emergency response plan, including the design, in advance, of processes 
for handling exceptions to established procedures where situations 
require them. A hazard resolution matrix is included in the SSPP.
    In addition, the Safety Committee addresses emergency preparedness 
issues and provides coordination between NJ Transit, NS and local 
emergency response agencies. The NJDOT, as part of its oversight 
activities is responsible for investigation of accidents and other 
emergency situations. Part 239 prescribes specific requirements for the 
content and implementation of an emergency preparedness plan. The 
following is an explanation of how each portion of the NJ Transit 
emergency preparedness plan will address specific FRA requirements in 
part 239.
    Section 239.101 requires that an emergency preparedness plan 
include procedures for initial and on-board notification by the control 
center of outside emergency responders, adjacent rail modes and 
appropriate railroad officials. The NCS conducts annual emergency 
simulation exercises. Additionally, local fire departments are briefed 
regularly on emergency procedures, escape routes and safety issues 
associated with the NCS system and operation. The NCS SSPP also 
provides that in the event of an emergency/fire, the OCC will ensure 
that the NJ Transit Police Department and appropriate local emergency 
agencies have been notified. The OCC is responsible for: ensuring that 
the appropriate local emergency agencies have been contacted; shutting 
down all electrical power to the NCS; maintaining recording 
communication between NCS management, NJ Transit rail management, car 
operators, and NCS employees within the affected areas.
    Section 239.101(a)(12) requires that the emergency preparedness 
plan address individual employee responsibility and provide for initial 
and periodic (every other year) training for OCC personnel and on-board 
personnel. The NCS SSPP provides extensive training that includes 
training on the emergency preparedness plan. Section 239.101(a)(12) 
requires that the emergency preparedness plan address individual 
employee responsibility and provide for initial and periodic (every 
other year) training for OCC personnel and on-board personnel. The NCS 
SSPP provides extensive training that includes training on the 
emergency preparedness plan. Operators receive extensive training on 
emergency procedures during their initial operational training. In 
addition, operators receive annual training on operating rules, 
procedural rules, and emergency response procedures. Operators will 
receive initial training for the new OCC train control systems which 
will include instruction on the traction power system used to control 
emergency power shut off and the signal system before start-up of 
operations on the NCS Extension. Once all of the new components of the 
train control system are in place, NJ Transit will develop an updated 
comprehensive training program.
    Section 239.101(a)(7)(i) requires each railroad to provide 
passengers with information for emergency situations. Operators are 
provided with a checklist of emergency procedures to assist passengers. 
They are also in constant communication with the OCC. Vehicles are 
signed to indicate emergency actions and precautions.
    Section 239.101(a)(5) requires each railroad to establish and 
maintain a working relationship with the on-line emergency responders. 
Section 4.7 of the State Safety Program Standard requires NJ Transit to 
adopt an emergency response plan and procedures which must include a 
means to communicate and coordinate with external emergency response 
agencies, and provide for emergency simulations and drills, and 
training.
    Section 239.101(4)(iii) requires the railroad's emergency 
preparedness plan to coordinate emergency efforts where adjacent rail 
modes of transportation run parallel to either the passenger railroad 
or the railroad hosting passenger operations. All NS movements will 
occur on routes under the control of the NJ Transit Rail Dispatcher or 
the OCC Dispatcher. Normal emergency response procedures would apply. 
Moreover, the NS delivery on the Orange Industrial Track has been a 
regular move for many years under the direction of NJ Transit's Rail 
Dispatcher. This office is experienced and highly qualified to respond 
to any eventuality.
    Section 239.103 requires each railroad to conduct full-scale 
emergency simulations to ensure capacity to execute the emergency 
preparedness plan and coordination with emergency responders. The NCS 
SSPP requires periodic drills to ensure complete understanding of fire 
evacuation procedures. In addition, NCS will conduct full-scale 
emergency simulations on an annual basis.
    Section 239.107 requires emergency exit markings and inspection, 
testing, malfunction reporting and recordkeeping regarding emergency 
exits. NCS emergency exits were discussed in Sections III.C.5.b and 
5.c.

[[Page 43084]]

Section 4.4 of the SSPP requires safety audits and investigations. 
Section 3.4 of the SSPP covers the same ground on recordkeeping. 
Section 239.301 requires each railroad to periodically conduct 
operational efficiency tests of its on-board and control center 
employees to determine the extent of compliance with the emergency 
preparedness plan. These emergency preparedness standards will provide 
a level of safety equivalent to the FRA requirements in a manner more 
appropriate to the NCS operating environment.

Part 240--Qualification and Certification of Locomotive Engineers

    Part 240 contains requirements for locomotive engineer eligibility, 
training, testing, certification and monitoring. In the FRA/FTA Policy 
Statement, FRA and FTA indicated that FRA would waive the requirements 
of part 240 for temporally-separated light rail operations subject to 
state safety oversight under 49 CFR part 659. FRA/FTA Policy Statement, 
64 FR at 28241. FRA repeated that intention in the Statement Concerning 
Jurisdiction, 64 FR at 59055-56.
    FRA says petitioners should describe those aspects of their SSPP 
that assure that operators ``receive the necessary training and have 
proper skills to operate a light rail vehicle in shared use on the 
general railroad system.'' Statement Concerning Jurisdiction, FR at 
59055. FRA suggests that the petition should ``explain what safeguards 
are in place to ensure that operators receive at least an equivalent 
level of training, testing, and monitoring on the rules governing train 
operations to that received by locomotive engineers employed by 
conventional railroads.'' Id.
    NJ Transit requests a waiver from these requirements because NCS 
will be following operator training and qualification standards 
contained in the NCS SSPP. Under Section 5.5 of the SSPP, NCS vehicle 
operators must meet specific training and certification requirements. 
All operators must pass the operator certification in order to be 
authorized for operations. NCS operators receive a 7-day training and 
certification course from the Light Rail Operations Training personnel. 
The Operational Training Instructors have experience in subway 
operations. These Instructors are selected from candidates with a 
three-year clean driving record. They are also experienced as Bus 
Operator Instructors. Once selected, an Instructor receives 
Instructional and Presentation skills training and six weeks of on-the-
job training. Finally, once the Instructor begins operational training, 
he/she conducts his/her first class under the observation of a trained 
Instructor.
    The NCS SSPP also provides for recertification of operators by way 
of reinstruction training or refresher training. An operator receives 
reinstruction training if he/she has been involved in an accident, 
misuse of equipment, or has been observed engaging in unsafe acts by 
management supervision. An operator receives refresher training if the 
operator has been inactive for more than 90 days, out sick for an 
extended period of time, or has been requested by management to do so. 
This training is tailored to the individual employee needs and is done 
on a one-on-one basis with an Operational Training Instructor.
    The initial training course has three days of instruction and three 
days of operation with an Instructor. Each of the three days of 
operation requires at least 8 hours; each day covers a different run 
and at least one day covers a night run. The seventh day of training 
includes a final road test, a written exam and a review of emergency 
procedures. The minimum passing score on the written exam is 70 
percent. Candidates for operator positions must meet qualifications 
consistent with NJDOT Commercial Drivers License qualifications. Such 
qualifications are intended to substantially conform to the 
requirements and standards under the Commercial Motor Vehicle Safety 
Act of 1986, 49 U.S.C. 2701 et seq. See N.J.S.A. 39:3-10.10. The 
requisite visual acuity must be correctable to 20/20.
    NJ Transit believes that compliance with these operator 
qualification and training requirements will provide at least an 
equivalent level of safety to the training and other requirements in 
part 240. See FRA/FTA 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 
2000-7335) 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, DC on June 22, 2000.
Grady C. Cothen, Jr.,
Deputy Associate Administrator for Safety Standards and Program 
Development.
[FR Doc. 00-17636 Filed 7-11-00; 8:45 am]
BILLING CODE 4910-06-P