[Federal Register Volume 67, Number 146 (Tuesday, July 30, 2002)]
[Notices]
[Pages 49382-49386]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 02-19134]


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DEPARTMENT OF TRANSPORTATION

Federal Railroad Administration


Petition for Waiver of Compliance

    In accordance with Title 49 Code of Federal Regulations (CFR), 
Secs. 211.9 and 211.41 notice is hereby given that the Federal Railroad 
Administration (FRA) has received a request for waiver of compliance 
from certain requirements of Federal railroad safety regulations. The 
individual petition is described below, including the parties seeking 
relief, the regulatory provisions involved, the nature of the relief 
being requested and the petitioner's arguments in favor of relief.

National Railroad Passenger Corporation

Union Pacific Railroad

[Docket Number FRA-2002-12836]

    The Union Pacific Railroad (UP) and The National Railroad Passenger 
Corporation (Amtrak) seek a waiver of compliance from certain sections 
of 49 CFR parts 216, Special Notice and Emergency Order Procedures: 
Railroad Track, Locomotive and Equipment; 217, Railroad Operating 
Rules; 218, Railroad Operating Practices; 229, Railroad Locomotive 
Safety Standards; 233, Signal Systems Reporting Requirements; 235, 
Instructions Governing Applications for Approval of a Discontinuance or 
Material Modification of a Signal System or Relief from the 
Requirements of part 236; 236, Rules, Standards, and Instructions 
Governing the Installation, Inspection, Maintenance, and Repair of 
Signal and Train Control Systems, Devices, and Appliances; and 240, 
Qualification and Certification Of Locomotive Engineers, under 
Sec. 211.51, Tests, to allow them to develop, implement, and test 
technology designed to prevent train collisions and overspeed 
violations and to protect track maintenance personnel from trains. The 
program will enable the industry to demonstrate and validate the 
technology, referred to as Positive Train Control, (PTC) before it is 
implemented on a larger scale.
    PTC is a communications-based train control system designed to 
monitor each communicating train's position, velocity, and acceleration 
in real time and prompt the engineer to take action before a violation 
occurs associated with the limits of authority, track bulletins, track 
speed, temporary speed restrictions, and working limits of track 
maintenance personnel. If the engineer fails to take the necessary 
action to slow or stop the train, PTC will initiate a full service 
brake application to stop the train before a violation occurs.
    PTC will interface with the UP computer-aided dispatching (CAD) 
system, from which it will receive track bulletins, form-based 
authorities, and the dispatcher's requests for switches and signals. 
The PTC system will consist of four segments that work together to 
provide enforcement against train movement violations: the central 
office segment; the locomotive segment; the wayside segment, and the 
communications segment. The central office segment will consist of the 
PTC server that will develop and issue

[[Page 49383]]

enforceable movement authorities and speed restrictions for each PTC-
equipped train. This information is sent through the communications 
segment to the locomotive segment located on board the controlling 
locomotive of each train. The locomotive segment enforces a train's 
movement and speed limits by monitoring the train's location and speed, 
providing warnings, and applying the brakes to stop the train if 
necessary to prevent a violation of speed limit or authority. The 
wayside segment monitors the status of switches, signals, and track 
circuits, and forwards this status, via the communications segment, to 
the central office segment. The locomotive and wayside segments work in 
concert to provide for the advance activation of grade crossings with 
constant warning times for train speeds greater than 79 mph.
    The PTC program will be tested and demonstrated on the UP's Joliet 
and Springfield subdivisions in the State of Illinois between Mazonia, 
milepost 62.6 and Ridgley, milepost 181.0, a distance of approximately 
118.4 miles. Relief is sought for the PTC test operations on all main 
track and signalized sidings between Mazonia and Ridgley. The present 
method of operation in the territory is by signal indications of a 
traffic control system. The current method of operation will remain in 
effect whether PTC is operative, fails, or is cut-out. Tests at speeds 
of 80 mph or more ,or those involving the display of the PTC aspect on 
wayside signals will be conducted under Absolute Block conditions only. 
During tests at speeds of 80 mph or more, flaggers will provide warning 
in each direction of highway traffic at crossings equipped with active 
crossing signals. No PTC tests requiring the exercise of the requested 
waiver will be conducted on revenue trains. Benign tests not requiring 
the exercise of the requested waivers such as tests of communications 
coverage or location determination system accuracy may be conducted 
using revenue trains.
    PTC testing will temporarily require additional operating practices 
of a benign nature, but only on PTC-equipped test trains and only when 
a test is in progress. The additional operating practices contemplated 
for PTC test trains will include PTC initialization procedures, digital 
transmission and onboard display of authorities and restrictions, 
enforcement of limits of authority and speed limits/restrictions 
through automatic brake applications, and procedures for recovery 
following an enforcement action.
    The waiver is requested for a testing period commencing September 
1, 2002, and extending to the conclusion of the test phase. The test 
period is not expected to exceed two years and will terminate August 
31, 2004, unless the UP notifies the FRA of an earlier termination 
date. A high speed demonstration run will be conducted in the test 
territory. This demonstration will allow Railroad, Government, and 
contractor officials the opportunity to witness the operation of the 
PTC system.
    The following are the current waiver requests and the petitioners' 
justification:
Section 216.13
    Special notice for repairs--locomotive. Waiver is requested for 
PTC-equipped locomotives to the extent that non-operation of PTC 
equipment installed on board, whether through malfunction or 
deactivation shall not be construed as an unsafe condition requiring 
special notice for repairs; waiver is sought for non-PTC-equipped 
locomotives operating in the PTC pilot territory to the extent that the 
absence of PTC equipment on board shall not be construed as an unsafe 
condition requiring special notice for repairs.
    Justification: With or without PTC equipment operating on board the 
controlling locomotive, a train remains subject to existing operating 
rules. PTC tests require flexibility in installing, removing, turning 
on, and turning off the on-board equipment. The PTC tests will involve 
only a small subset of locomotives that will be PTC-equipped for 
testing.
Section 217.9
    Program of operational tests and inspections; recordkeeping. Waiver 
is requested exempting operation of PTC equipment and procedures from 
the requirements for operational tests and inspections and associated 
recordkeeping.
    Justification: During the PTC test phase, procedures for using PTC 
equipment and functions will be refined and modified. Until such 
procedures are defined, they cannot be addressed in the General Code of 
Operating Rules (GCOR). In any case, PTC is expected to have minimal 
impact on the operating rules.
Section 217.11
    Program of instruction on operating rules; recordkeeping; 
electronic recordkeeping. Waiver is requested exempting tests of PTC 
equipment and procedures from the requirements for instruction and 
recordkeeping.
    Justification: During the PTC test phase, procedures for using PTC 
equipment and functions will be refined and modified. Until such 
procedures are defined they cannot be addressed in the GCOR. In any 
case PTC is expected to have minimal impact on the operating rules.
Part 218
    (Subpart D) Prohibition Against Tampering With Safety Devices. 
Waiver is requested exempting onboard PTC equipment from the 
requirements of Secs. 218.51, 218.53, 218.55, 218.57, 218.59, and 
218.61 to the extent that PTC equipment on board a locomotive shall not 
be considered a ``safety device'' subject to the provisions of this 
subpart at any time during the test phase.
    Justification: PTC tests require flexibility in installing, 
removing, turning on, and turning off the onboard equipment. The UP 
also needs the flexibility to permanently disable or remove PTC 
equipment in the event that a production system is not implemented.
Section 229.135
    Event recorders. Waiver is requested to the extent that PTC 
equipment on board a locomotive shall not be considered an ``event 
recorder'' subject to the provisions of this section during the test 
phase.
    Justification: PTC equipment by design will operate intermittently 
during the test phase. The data accumulated by the onboard PTC 
equipment will be used to develop and refine PTC functions. Such data 
can be expected to contain anomalies that do not reflect true operating 
conditions but by analysis will contribute to achieving necessary 
objectives in the PTC design.
Section 233.9
    Annual reports. Waiver is requested exempting PTC operations in the 
test phase from the reporting requirements of this section.
    Justification: PTC tests require flexibility in installing, 
removing, turning on, and turning off PTC equipment. UP also requires 
the flexibility to permanently disable or remove PTC equipment in the 
event that a production system is not implemented.
Section 235.5
    Changes requiring filing of application. Waiver is requested 
exempting the PTC from the requirements of this section during the test 
phase.
    Justification: PTC tests require flexibility in installing, 
removing, modifying, turning on, and turning off

[[Page 49384]]

the PTC equipment. UP also requires the flexibility to permanently 
disable or remove PTC equipment in the event that a production system 
is not implemented.
Section 236.0
    Applicability, minimum requirements, and civil penalties. Waiver is 
requested from the requirements of paragraph (d) to the extent that PTC 
may be tested on test trains operated at speeds of 80 or more miles per 
hour.
    Justification: During the PTC test phase, PTC will be tested to 
assure the system will function as intended at all speeds up to but not 
exceeding 110 mph. Tests at speeds of 80 or more mph will be made under 
absolute block conditions with no other train present. In addition, an 
appropriately equipped flagger will provide warning for each direction 
of highway traffic at each crossing equipped with active crossing 
warning signals for each test run made a speeds of 80 or more mph.
Section 236.4
    Interference with normal functioning of device. Waiver is requested 
to the extent that PTC equipment shall be excluded from this 
requirement during the test phase.
    Justification: During the PTC test phase, the ``normal 
functioning'' of PTC will be identified, defined and refined. PTC tests 
require flexibility in installing, removing, turning on, and turning 
off the PTC equipment. With or without PTC equipment operating on board 
the controlling locomotive, the train remains subject to the provisions 
of the rules governing the existing methods of operation.
Section 236.5
    Design of control circuits on closed circuit principle. Waiver is 
requested excepting PTC equipment from the closed circuit design 
requirement.
    Justification: PTC is composed of solid-state components that are 
software driven. Neither the hardware nor software can technically be 
designed to meet the provisions of this section.
Section 236.11
    Adjustment, repair, or replacement of component. Waiver is 
requested exempting PTC components on board a locomotive from the 
requirements of this section.
    Justification: PTC tests require flexibility in installing, 
removing, modifying, turning on and turning off PTC equipment. Failure 
of a PTC component during the test phase will not jeopardize the safety 
of train operations.
Section 236.15
    Timetable instructions. Waiver is requested exempting the PTC 
territory from the timetable designation requirement of this section 
during the PTC test phase.
    Justification: The PTC test phase will consist of tests and 
demonstrations, at undetermined levels and identifying the test 
territory in the timetable as would be both premature and an 
unnecessary paperwork burden.
Section 236.23
    Aspects and indications. Waiver is requested to the extent that the 
PTC display on board an equipped locomotive shall not be construed to 
represent or correspond to signal aspects or indications subject to the 
requirements of this section.
    Justification: The PTC design excludes any visual display of signal 
aspects or indications. PTC enforceable authorities, which may or may 
not derive from signal indications on board. Text authorities, such as 
track bulletins, are displayed to the train crew. Since PTS is a safety 
overlay, trains remain subject to wayside signals. Information on the 
PTC display will correspond with but in no way represent authority 
conveyed through wayside signals.
Section 236.76
    Tagging of wires and interference of wires or tags with signal 
apparatus. Waiver is requested exempting PTC equipment from the wire 
tagging requirement.
    Justification: PTC hardware consists of computers, computer 
peripherals, and communication devices. While the inapplicability of 
this section to circuit boards, connectors, and cables would appear 
obvious, waiver is sought for clarification.
Section 236.101
    Purpose of inspection and tests; removal from service of relay or 
device failing to meet test requirements. Waiver is requested exempting 
PTC equipment from the requirement for removal of failed equipment from 
service.
    Justification: PTC tests require flexibility in installing, 
removing, turning on, and turning off the equipment. With or without 
PTC equipment operating on board, a train remains subject to the safety 
provisions of existing method of operation.
Section 236.107
    Ground tests. Waiver is requested exempting PTC equipment from the 
requirement for ground testing during the test phase.
    Justification: PTC hardware consists of computers, computer 
peripherals, and communication devices. Ground tests would serve no 
purpose in ensuring safety and could be damaging to this equipment.
Section 236.109
    Time releases, timing relays and timing devices. Waiver is 
requested exempting PTC equipment from the testing requirement of this 
section during the test phase.
    Justification: The timing devices in PTC equipment are software-
driven, have no moving parts, and are far more reliable than the 
devices for which this regulation was promulgated to address.
Section 236.110
    Results of tests. Waiver is requested exempting PTC tests from the 
record keeping requirements of this section.
    Justification: During the PTC test phase, the types of tests 
necessary to ensure appropriate levels of maintenance will be defined.
Section 236.501
    Forestalling device and speed control. Waiver is requested 
exempting PTC from the requirement for medium-speed restriction.
    Justification: PTC will not be connected to the signal system in 
the same manner as a conventional automatic train control system and 
will not enforce speed restrictions indicated by signal aspects. PTC 
will enforce permanent speed restrictions reflected in the track 
database, temporary speed restrictions issued through the CAD system, 
and speed reductions as required by the limits of authority or 
conditions ahead.
Section 236.504
    Operation interconnected with automatic block-signal system. Waiver 
is requested exempting PTC from the requirement of interconnection with 
an automatic block-signal system.
    Justification: PTC will not be connected to the signal system in 
the same manner as a conventional automatic train stop, train control, 
or cab signal system. However PTC will receive input from the signal 
system and operate to perform its intended function in the event of 
failure of the engineer to obey a restrictive condition displayed in 
the cab.
Section 236.511
    Cab signals controlled in accordance with block conditions stopping 
distance in advance. Waiver is requested

[[Page 49385]]

exempting the PTC onboard display from the cab-signal requirements in 
this section.
    Justification: PTC is not an automatic cab signal system and will 
not be connected to the signal system in the same manner as a 
conventional cab signal system, but will receive input from the signal 
system that forms the basis for limits of authority and high speed 
operations that will be depicted on the PTC display.
Section 236.514
    Interconnection of cab signal system with roadway signal system. 
Waiver is requested exempting PTC from the requirement of 
interconnection with a roadway signal system.
    Justification: PTC system will not be connected to the roadway 
signal system in the same manner as a conventional cab signal system, 
but will receive input from the signal system that forms the basis for 
limits of authority and high speed operations.
Section 236.515
    Visibility of cab signals. Waiver is requested exempting any PTC 
display from the visibility requirement of this section during the test 
phase.
    Justification: PTC is not a cab signal system and the design 
excludes any visual representation of signal aspects or indications.
Section 236.534
    Entrance to equipped territory; requirements. Waiver is requested 
exempting the PTC from the requirements of this section during the test 
phase.
    Justification: PTC tests require flexibility in installing, 
removing, turning on, and turning off PTC equipment.
Section 236.551
    Power supply voltage; requirement. Waiver is requested exempting 
the onboard PTC power supply from the voltage requirement in this 
section.
    Justification: PTC onboard equipment will function with more than a 
50% variation in voltage.
Section 236.552
    Insulation resistance; requirement. Waiver is requested exempting 
PTC equipment from the insulation resistance requirement of this 
section.
    Justification: PTC on-board equipment consists of computers, 
computer peripherals, and communications equipment. Insulation 
resistance tests could be damaging to such components.
Section 236.553
    Seal, where required. Waiver is requested exempting PTC from the 
seal requirement of this section.
    Justification: The PTC system will allow for manual disablement of 
on-board PTC functions and equipment both remotely from the dispatching 
office and through an onboard manual function. Use of the onboard 
cutout function will be electronically monitored and reported to the 
dispatcher as an alarm.
Section 236.566
    Locomotive of each train operating in train stop, train control or 
cab signal territory; equipped. Waiver is requested to the extent that 
the equipment requirements in this section shall not apply to PTC 
during the test phase.
    Justification: A small subset of locomotives operating in the test 
territory will be PTC-equipped; the majority of trains will not be 
equipped. PTC tests require flexibility in installing, removing, 
turning on and turning off the onboard equipment. In any case, all PTC 
tests will be conducted under the provisions of the rules governing the 
existing rules of operation.
Section 236.567
    Restrictions imposed when device fails and/or is cut out enroute. 
Waiver is requested exempting PTC tests from the restrictions 
associated with device failure or cutout.
    Justification: PTC tests require flexibility in installing, 
removing, turning on and turning off the onboard equipment. All PTC 
tests will be conducted under the provisions of the rules governing the 
existing methods of operation and a failure or deactivation of PTC 
equipment will not jeopardize safety of train operations.
Section 236.586
    Daily or after trip test. Waiver is requested exempting the PTC 
from the requirements of this section during the test phase.
    Justification: During the PTC test phase, the requirements for a 
daily or after trip test, if necessary, will be defined. An objective 
is to perform this test without human intervention.
Section 236.587
    Departure test. Waiver is requested exempting the PTC from the 
requirements of this section during the test phase.
    Justification: During the PTC test phase, the requirements for a 
departure test will be defined. An objective is to perform this test 
without human intervention.
Section 236.588
    Periodic test. Waiver is requested exempting PTC from the 
requirements of this section during the test phase.
    Justification: During the PTC test phase, the requirements for 
periodic testing will be defined.
Section 236.703
    Aspect. Clarification is requested exempting the PTC display from 
this definition.
    Justification: PTC is not an automatic cab signal system and its 
design does not include any visual representation of signal aspects or 
indications.
Section 236.805
    Signal, cab. Clarification is requested exempting the PTC display 
from this definition.
    Justification: PTC is not an automatic cab signal system and its 
design does not include any visual representation of signal aspects or 
indications.
Section 240.127
    Criteria for examining skill performance. Waiver is requested 
exempting PTC from the testing requirements of this section during the 
PTC test phase.
    Justification: Criteria and procedures for PTC performance 
evaluation do not yet exist; they will be identified during the PTC 
test phase.
Section 240.129
    Criteria for monitoring operational performance of certified 
engineers. Waiver is requested exempting PTC from the performance 
monitoring procedures during the PTC test phase.
    Justification: Criteria and procedures for PTC performance 
evaluation do not yet exist; they will be identified and defined during 
the PTC test phase.
    It is acknowledged for clarification that PTC, when fully operative 
during the test phase, will comply with the following regulations:
Part 234
    Grade crossing signal system safety. All sections.
Section 236.8
    Operating characteristics of electromagnetic, electronic, or 
electrical apparatus. PTC computing equipment will comply with this 
regulation.
Section 236.501
    Forestalling device and speed control. PTC is designed to enforce 
maximum authorized speeds, speed restrictions,

[[Page 49386]]

slow speed and absolute stop. PTC will comply with Section 236.501 
except for paragraph (b)(2).
Section 236.502
    Automatic brake application, initiation by restrictive block 
conditions stopping distance in advance. PTC is designed to initiate an 
automatic brake application stopping distance in advance of the end of 
limits of authority; a train or locomotive; or the beginning of each 
lower speed restriction in the route.
Section 236.503
    Automatic brake application; initiation when predetermined rate of 
speed exceeded. PTC will comply with this regulation.
Section 236.505
    Proper operative relation between parts along roadway and parts on 
locomotive. PTC will function as intended under all conditions of 
speed, weather, oscillation and shock. PTC will comply with this 
regulation.
Section 236.506
    Release of brakes after automatic application. After a PTC-
initiated brake application, brakes cannot be released until the train 
is stopped.
Section 236.507
    Brake application; full service. PTC will comply with this 
regulation.
Section 236.508
    Interference with application of brakes by means of brake valve. 
PTC equipment will not interfere with or impair the efficiency of the 
automatic or independent brake valves.
Section 236.509
    Two or more locomotives coupled. PTC will be made operative only on 
the controlling locomotive; however, PTC tests that do not affect train 
operations may occur on trailing locomotives.
Section 236.513
    Audible indicator. The audible indicator for PTC will have a 
distinctive sound and be clearly audible under all operating 
conditions.
Section 236.516
    Power supply. PTC equipment will have its own isolated power 
supply.
Section 236.565
    Provision made for preventing operation of pneumatic brake-applying 
apparatus by double-heading cock; requirement. Operation of the double-
heading cock (cutoff pilot valve) will not cut out PTC before the 
automatic brake is cut out.
Section 236.590
    Pneumatic apparatus. Pneumatic apparatus will be inspected and 
cleaned as required.
Part 236 Subpart G
    Definitions. As applicable except Sec. 236.703 and Sec. 236.805.
    Interested parties are invited to participate in these proceedings 
by submitting written views, data or comments. FRA does not anticipate 
scheduling a public hearing in connection with these proceedings since 
the facts do not appear to warrant a hearing. If any interested party 
desires an opportunity for oral comment, they should notify FRA, in 
writing, before the end of the comment period and specify the basis for 
their request.
    All communications concerning these proceedings should identify the 
appropriate docket number (e.g., Waiver Petition Docket Number FRA-
2002-12113) and must be submitted to the Docket Clerk, DOT Central 
Docket Management Facility, Room PL-401, Washington, DC., 20590-0001. 
Communications received within 30 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 these proceedings are available for 
examination during regular business hours (9 a.m.-5 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.
Edward W. Pritchard,
Acting Director, Office of Safety Assurance and Compliance.
[FR Doc. 02-19134 Filed 7-29-02; 8:45 am]
BILLING CODE 4910-06-P