[Federal Register Volume 68, Number 19 (Wednesday, January 29, 2003)]
[Notices]
[Pages 4536-4540]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 03-2054]


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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), 
parts 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.

Burlington Northern and Santa Fe Railway Company

Docket Number FRA-2003-14216

    The Burlington Northern and Santa Fe Railway Company (BNSF) seeks 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 authority violations, overspeed violations and accidents 
caused by passing restricted signals and open switches. The program 
would enable BNSF to demonstrate and validate the technology, referred 
to as Train Sentinel, before it is implemented on a larger scale.

Petitioner's Justification

    The petitioner provided the following justification for relief:
    Train Sentinel is a non-vital safety overlay that works in 
conjunction with existing methods of operation and signal and control 
systems to protect against the consequences of human error. This 
approach provides a ``safety net'' for train operations while retaining 
the existing systems as a primary means of control. Because these 
systems continue in operation, a failure or deactivation of the Train 
Sentinel System has the effect only of suspending the safety 
enhancements associated with the Train Sentinel System, without 
compromising the underlying safety provisions of existing systems and 
operating rules.
    The Train Sentinel System safety enhancements are achieved through 
a communication-based system that enforces movement authority and speed 
restrictions for Train Sentinel equipped trains. Four segments work 
together to provide the enforcement: The location segment, the 
locomotive segment, the dispatcher system segment and the 
communications segment. The dispatcher segment delivers the enforceable 
authority and temporary speed limits for each train under Train 
Sentinel control. This information is delivered through the 
communications segment to the locomotive segment. Procedures are 
implemented to ensure the data received is complete and correct. 
Failsafe design dictates that an undelivered message will stop the 
train at the end of its active authority. The locomotive segment 
confirms the locomotive's location and enforces a train's movement and 
speed limits by monitoring the train's location and speed and applying 
the brakes to stop the train if necessary to prevent a violation.
    The Train Sentinel System will be tested and demonstrated on the 
BNSF's Wichita Falls subdivision in the State of Texas between Fort 
Worth, milepost 0 and Valley Junction, milepost 118.4. In addition, the 
system will be tested and demonstrated on the Brookfield subdivision in 
the State of Illinois between Galesburg, milepost 168 and West 
Bushnell, milepost 192.4. Finally, the system will be tested and 
demonstrated on the Beardstown subdivision in the State of Illinois and 
the Commonwealth of Kentucky between Bushnell, Illinois, milepost 159.6 
and Paducah, Kentucky, milepost 239.0. The combined distance of the 
test territory is 439.3 miles. The present

[[Page 4537]]

method of operation on the BNSF is by Track Warrant Control and 
Centralized Traffic Control. These methods of operation will not be 
affected during the Train Sentinel test period.
    Train Sentinel testing may require temporary changes of a benign 
nature in operating practices, but only on Train Sentinel equipped 
trains and only when a test is in progress. Such changes in operating 
practices will include Train Sentinel initialization procedures, 
digital transmission and on-board display of text authorities and 
restrictions, on-board display of signal aspect, on-board display of 
monitored switches, enforcement 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 March 1, 
2003, and extending to the conclusion of the test phase. The testing 
period is not expected to exceed one year and will terminate March 1, 
2004 unless BNSF notifies FRA of an earlier termination date.
    The following are the specific waiver requests and their 
justifications. References are to Chapter II, Subtitle B, Title 49 of 
the Code of Federal Regulations.
Section 216.13 Special Notice for Repairs--Locomotive
    Waiver is requested for Train Sentinel locomotives to the extent 
that non-operation of Train Sentinel 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-equipped-Train Sentinel-equipped locomotives operating 
in the Train Sentinel pilot territory to the extent that the absence of 
Train Sentinel equipment on-board shall not be construed as an unsafe 
condition requiring special notice for repairs.
    Justification: With or without Train Sentinel equipment operating 
on board the controlling locomotive, a train remains subject to 
existing signal and control systems and to railroad operating rules. 
(Train Sentinel is an overlaid system, enhancing current safety without 
affecting the operation of existing systems.) Train Sentinel tests 
require flexibility in installing, removing, turning on, and turning 
off the on-board equipment. The Train Sentinel tests will involve only 
a small subset of locomotives operating in the pilot territory.
Section 217.9 Program of Operational Tests and Inspections; 
Recordkeeping
    Waiver is requested exempting operation of Train Sentinel equipment 
and procedures from the requirements for operational tests, 
inspections, and associated recordkeeping.
    Justification: The Train Sentinel pilot is a test program during 
which procedures for using Train Sentinel equipment and functions will 
be refined and modified. Until such procedures are defined, they cannot 
be addressed in the code of operating rules, timetables, and timetable 
special instructions to which this section applies.
Section 217.11 Program of Instruction on Operating Rules; 
Recordkeeping; and Electronic Recordkeeping
    Waiver is requested exempting operation of Train Sentinel equipment 
and procedures from the requirements for instruction and associated 
record keeping.
    Justification: The Train Sentinel pilot is a test program during 
which procedures for using Train Sentinel equipment and functions will 
be refined and modified. Until such procedures are defined, they cannot 
be addressed in the code of operating rules.
Part 218 Subpart D: Prohibition Against Tampering With Safety Devices
    Waiver is requested exempting on-board Train Sentinel equipment 
from the requirements of Sec. Sec.  218.51, 218.53, 218.55, 218.57, 
218.59, and 218.61 to the extent that Train Sentinel equipment on board 
a locomotive shall not be considered a ``safety device'' subject to the 
provisions of this subpart at any time during the pilot program.
    Justification: The Train Sentinel pilot is a test program. Train 
Sentinel tests require flexibility in installing, removing, turning on, 
and turning off the on-board equipment. BNSF requires the flexibility 
to permanently disable or remove Train Sentinel equipment in the event 
that a production system is not implemented.
Section 229.135 Event Recorders
    Waiver is requested to the extent that Train Sentinel equipment on-
board a locomotive shall not be considered an ``event recorder'' 
subject to the provisions of this section.
    Justification: Train Sentinel equipment by design will operate 
intermittently during the pilot program. Train Sentinel tests require 
flexibility in installing, removing, turning on, and turning off the 
on-board equipment. BNSF requires the flexibility to temporarily or 
permanently disable on-board Train Sentinel equipment.
Section 233.9 Reports
    Waiver is requested exempting Train Sentinel operations in the 
pilot program from the reporting requirements of this section.
    Justification: While a Train Sentinel production system may belong 
to the category of ``other similar appliances, methods, and systems'' 
specified in 233.1, this requirement would impose an unnecessary 
paperwork burden for a test program.
Section 235.5 Changes Requiring Filing of Application
    Waiver is requested exempting the Train Sentinel pilot program from 
the filing requirements of this section.
    Justification: The Train Sentinel pilot is a test program. Train 
Sentinel tests require flexibility in installing, removing, turning on, 
and turning off the on-board equipment. BNSF requires the flexibility 
to permanently disable or remove on-board Train Sentinel equipment in 
the event the Train Sentinel system is not implemented.
Section 236.4 Interference With Normal Functioning of Device
    Waiver is requested to the extent that Train Sentinel equipment 
shall be excluded from this requirement during the pilot program.
    Justification: The Train Sentinel pilot is a test program through 
which the normal functioning of Train Sentinel will be defined and 
redefined. Train Sentinel tests require flexibility in installing, 
removing, turning on, and turning off the on-board equipment. With or 
without Train Sentinel; equipment on-board the controlling locomotive, 
the train remains subject to the provisions of the existing signal and 
control systems and to the BNSF operating rules.
Section 236.5 Design of Control Circuits on Closed Circuit Principle
    Waiver is requested exempting Train Sentinel equipment from the 
closed circuit design requirement.
    Justification: Train Sentinel is composed of solid-state components 
that are software driven. Neither the hardware nor software can be 
designed technically to meet the provisions of this section.
Section 236.11 Adjustment, Repair, or Replacement of Component
    Waiver is requested exempting Train Sentinel components on-board a 
locomotive from the requirements of this section.
    Justification: Train Sentinel tests require flexibility in 
installing, removing, modifying, turning on and

[[Page 4538]]

turning off equipment. Failure of a component during the test phase 
will not jeopardize the safety of train operations. With or without 
Train Sentinel equipment operating on-board the controlling locomotive, 
the train remains subject to the provisions of the rules governing the 
existing method of operation.
Section 236.15 Timetable Instructions
    Waiver is requested exempting the Train Sentinel pilot territory 
from the timetable designation requirement of this section.
    Justification: Since the pilot program will consist of tests and 
demonstrations, identifying the test territory in the timetable as 
``Train Sentinel'' (or some similar label) would be both premature and 
an unnecessary paperwork burden.
Section 236.23 Aspects and Indications
    Waiver is requested to the extent that the Train Sentinel 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 Train Sentinel design excludes any visual 
display of signal aspects or indications. Train Sentinel enforceable 
authorities which may or may not derive from signal indications are on-
board. Text authorities such as name of signal or track bulletins are 
displayed to the train crew. Information on the Train Sentinel display 
will correspond with authority conveyed through wayside signals.
Section 236.76 Tagging of Wires and Interference of Wires or Tags With 
Signal Apparatus
    Waiver is requested exempting Train Sentinel equipment from the 
wire-tagging requirement.
    Justification: Train Sentinel 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 Train Sentinel equipment from the 
requirement for removal of failed equipment from service.
    Justification: Train Sentinel requires flexibility in installing, 
removing, turning on, and turning off the equipment. With or without 
Train Sentinel equipment operating on-board, a train remains subject to 
the provisions of the rules governing the existing methods of 
operation.
Section 236.107 Ground Tests
    Waiver is requested exempting Train Sentinel equipment from the 
requirement for ground testing during the test phase.
    Justification: Train Sentinel hardware consists of computers, 
computer peripherals, and communication devices. Ground tests would 
serve no purpose in ensuring safety and could be damaging to the 
equipment.
Section 236.109 Time Releases, Timing Relays and Timing Devices
    Waiver is requested exempting Train Sentinel equipment from the 
testing requirement of this section during the test phase.
    Justification: The timing devices in Train Sentinel 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 Train Sentinel tests from the record 
keeping requirements of this section.
    Justification: The Train Sentinel pilot is a test program during 
which the types of tests needed to ensure appropriate levels of 
maintenance will be defined.
Section 236.501 Forestalling Device and Speed Control
    Waiver is requested exempting Train Sentinel from the requirement 
for medium-speed restriction.
    Justification: Train Sentinel will not be connected to a signal 
system, but 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. Train Sentinel 
will enforce speed restrictions reflected in the track database or 
issued through the dispatcher system.
Section 236.504 Operation Interconnected With Automatic Block-Signal 
System
    Waiver is requested exempting Train Sentinel from the requirement 
of interconnection with an automatic block-signal system.
    Justification: The Train Sentinel system will have no connection to 
the signal system; however Train Sentinel 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 exempting the Train Sentinel onboard display 
from the cab-signal requirements in this section.
    Justification: Train Sentinel is not an automatic cab signal system 
and will have no connection to a signal system but will receive input 
from the signal system and display the signal name that forms the basis 
for limits of authority that will be depicted on the display.
Section 236.514 Interconnection of Cab Signal System With Roadway 
Signal System
    Waiver is requested exempting Train Sentinel from the requirement 
of interconnection with a roadway signal system.
    Justification: The Train Sentinel system is not a cab signal system 
and will have no connection with the signal system. However, Train 
Sentinel will receive input from the signal system and display the 
signal name that forms the basis for limits of authority.
Section 236.515 Visibility of Cab Signals
    Waiver is requested exempting the Train Sentinel display from the 
visibility requirement of this section during the test phase.
    Justification: Train Sentinel is not a cab signal system. However, 
Train Sentinel receives input from the signal system and displays the 
signal name governing the movement. The visibility requirements of this 
rule will be met in the Train Sentinel production system.
Section 236.534 Entrance to Equipped Territory; Requirements
    Waiver is requested exempting Train Sentinel from the requirements 
of this section during the test phase.
    Justification: Train Sentinel tests require flexibility in 
installing, removing, turning on, and turning off Train Sentinel 
equipment.
Section 236.552 Insulation Resistance; Requirement
    Waiver is requested exempting Train Sentinel equipment from the 
insulation resistance requirement of this section.
    Justification: Train Sentinel equipment consists of computers, 
computer peripherals, and communications equipment. Insulation 
resistance tests could be damaging to such components.

[[Page 4539]]

Section 236.553 Seal, Where Required
    Waiver is requested exempting Train Sentinel from the seal 
requirement of this section.
    Justification: Train Sentinel tests require flexibility in 
installing, removing, turning on, and turning off Train Sentinel 
equipment.
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 Train Sentinel during the test 
phase.
    Justification: A small subset of locomotives operating in the test 
territory will be Train Sentinel equipped; the majority of trains will 
not be equipped. Train Sentinel tests require flexibility in 
installing, removing, turning on and turning off the on-board 
equipment. In any case, all Train Sentinel tests will be conducted 
under the provisions of the rules governing the existing methods of 
operation.
Section 236.567 Restrictions Imposed When Device Fails and/or Is Cut 
Out Enroute
    Waiver is requested exempting Train Sentinel tests from the 
restrictions associated with device failure or cutout.
    Justification: Train Sentinel tests require flexibility in 
installing, removing, turning on and turning off the onboard equipment. 
All Train Sentinel tests will be conducted under the provisions of the 
rules governing the existing methods of operation. A failure or 
deactivation of Train Sentinel equipment will not jeopardize safety of 
train operations.
Section 236.586 Daily or After Trip Test
    Waiver is requested exempting the Train Sentinel from the 
requirements of this section during the test phase.
    Justification: During the Train Sentinel 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 Train Sentinel from the 
requirements of this section during the test phase.
    Justification: During the Train Sentinel 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 Train Sentinel from the requirements 
of this section during the test phase.
    Justification: During the Train Sentinel test phase, the 
requirements for a departure test will be defined.
Section 236.703 Aspect
    Clarification is requested exempting the Train Sentinel display 
from this definition.
    Justification: Train Sentinel is not an automatic cab signal 
system.
Section 236.805 Signal, Cab
    Clarification is requested exempting the Train Sentinel display 
from this definition.
    Justification: Train Sentinel is not an automatic cab signal 
system.
Section 240.127 Criteria for Examining Skill Performance
    Waiver is requested exempting Train Sentinel from the testing 
requirements of this section during the test phase.
    Justification: Criteria and procedures for Train Sentinel 
performance evaluation do not yet exist; they will be identified and 
defined during the Train Sentinel test phase.
Section 240.129 Criteria for Monitoring Operational Performance of 
Certified Engineers
    Waiver is requested exempting Train Sentinel from the performance 
monitoring procedures during the Train Sentinel test phase.
    Justification: Criteria and procedures for Train Sentinel 
performance evaluation do not yet exist; they will be identified and 
defined during the Train Sentinel test phase.
    It is acknowledged for clarification that Train Sentinel, when 
fully operative during the test phase, will comply with the following 
regulations:
Section 236.8 Operating Characteristics of Electromagnetic, Electronic, 
or Electrical Apparatus
    Train Sentinel computing equipment will comply with this 
regulation.
Section 236.501 Forestalling Device and Speed Control
    Train Sentinel is designed to enforce maximum authorized speeds, 
speed restrictions, slow speed and absolute stop. Train Sentinel will 
comply with Sec.  236.501 except for paragraph (b)(2).
Section 236.502 Automatic Brake Application, Initiation by Restrictive 
Block Conditions Stopping Distance in Advance
    Train Sentinel is designed to initiate an automatic brake 
application stopping distance in advance of the end of limits of 
authority, or the beginning of each speed restriction in the route.
Section 236.503 Automatic Brake Application; Initiation When 
Predetermined Rate of Speed Exceeded
    Train Sentinel will comply with this regulation.
Section 236.505 Proper Operative Relation Between Parts Along Roadway 
and Parts on Locomotive
    Train Sentinel will function as intended under all conditions of 
speed, weather, oscillation and shock. Train Sentinel will comply with 
this regulation.
Section 236.506 Release of Brakes After Automatic Application
    After a Train Sentinel initiated brake application, brakes cannot 
be released until the train is stopped.
Section 236.507 Brake Application; Full Service
    Train Sentinel will comply with this regulation.
Section 236.508 Interference With Application of Brakes by Means of 
Brake Valve
    Train Sentinel equipment will not interfere with or impair the 
efficiency of the automatic or independent brake valves.
Section 236.509 Two or More Locomotives Coupled
    Train Sentinel will be made operative only on the controlling 
locomotive; however, Train Sentinel tests that do not affect train 
operations may occur on the trailing locomotives.
Section 236.513 Audible Indicator
    The audible indicator for Train Sentinel will have a distinctive 
sound and be clearly audible under all operating conditions.
Section 236.516 Power Supply
    Train Sentinel 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 Train Sentinel before the automatic brake is cut out.
Section 236.590 Pneumatic Apparatus
    Pneumatic apparatus will be inspected and cleaned as required.

[[Page 4540]]

Part 236 Subpart G Definitions
    Train Sentinel will comply with the definitions as applicable, 
except Sec. Sec.  236.703 and 236.805.

Proceedings

    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. Any interested party who 
desires an opportunity for oral comment should notify FRA in writing 
before the end of the comment period, specifying the basis for the 
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 (Plaza Level), 400 Seventh 
Street, SW.,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, D.C. on January 23, 2003.
Grady C. Cothen, Jr.,
Deputy Associate Administrator for Safety Standards and Program 
Development.
[FR Doc. 03-2054 Filed 1-28-03; 8:45 am]
BILLING CODE 4910-06-P