[Federal Register Volume 68, Number 187 (Friday, September 26, 2003)]
[Notices]
[Pages 55732-55735]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 03-24421]


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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), 
Sec. Sec.  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-2003-15432]

    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 
will enable BNSF to demonstrate and validate Wabtec Railway Electronics 
technology, referred to as Electronic Train Management System (ETMS), 
before it is implemented on a larger scale.
    ETMS 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 ETMS has the effect only 
of suspending the safety enhancements associated with the ETMS, without 
compromising the underlying safety provisions of existing systems and 
operating rules.
    The ETMS safety enhancements are achieved through a communication-
based system that enforces movement authority and speed restrictions 
for ETMS 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 ETMS 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 ETMS 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 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 ETMS test period.
    ETMS testing may require temporary changes of a benign nature in 
operating practices, but only on ETMS equipped trains and only when a 
test is in progress. Such changes in operating practices will include 
ETMS 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 August 1, 
2003, and extending to the conclusion of the test phase. The testing 
period is not expected to exceed one year and will terminate August 1, 
2004, unless BNSF notifies FRA of an earlier termination date.
    The following are the current waiver requests and their 
justifications.

Section 216.13

    Special notice for repairs--locomotive. Waiver is requested for 
ETMS locomotives to the extent that

[[Page 55733]]

non-operation of ETMS 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-ETMS-equipped locomotives operating in the ETMS pilot 
territory to the extent that the absence of ETMS equipment on-board 
shall not be construed as an unsafe condition requiring special notice 
for repairs.
    Justification: With or without ETMS equipment operating on board 
the controlling locomotive, a train remains subject to existing signal 
and control systems and to railroad operating rules. (ETMS is an 
overlaid system, enhancing current safety without affecting the 
operation of existing systems.) ETMS tests require flexibility in 
installing, removing, turning on, and turning off the on-board 
equipment. The ETMS 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 ETMS equipment and procedures from 
the requirements for operational tests, inspections, and associated 
recordkeeping.
    Justification: The ETMS pilot is a test program during which 
procedures for using ETMS 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 
ETMS equipment and procedures from the requirements for instruction and 
associated record keeping.
    Justification: The ETMS pilot is a test program during which 
procedures for using ETMS 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 ETMS equipment from the 
requirements of Sec. Sec.  218.51, 218.53, 218.55, 218.57, 218.59, and 
218.61 to the extent that ETMS 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 ETMS pilot is a test program. ETMS tests require 
flexibility in installing, removing, turning on, and turning off the 
on-board equipment. BNSF requires the flexibility to permanently 
disable or remove ETMS equipment in the event that a production system 
is not implemented.

Section 229.135

    Event recorders. Waiver is requested to the extent that ETMS 
equipment on-board a locomotive shall not be considered an ``event 
recorder'' subject to the provisions of this section.
    Justification: ETMS equipment by design will operate intermittently 
during the pilot program. ETMS 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 
ETMS equipment.

Section 233.9

    Reports. Waiver is requested exempting ETMS operations in the pilot 
program from the reporting requirements of this section.
    Justification: While an ETMS 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 ETMS pilot program from the filing requirements of this 
section.
    Justification: The ETMS pilot is a test program. ETMS 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 ETMS equipment in the event the ETMS system 
is not implemented.

Section 236.4

    Interference with normal functioning of device. Waiver is requested 
to the extent that ETMS equipment shall be excluded from this 
requirement during the pilot program.
    Justification: The ETMS pilot is a test program through which the 
normal functioning of ETMS will be defined and redefined. ETMS tests 
require flexibility in installing, removing, turning on, and turning 
off the on-board equipment. With or without ETMS; 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 excepting ETMS equipment from the closed circuit design 
requirement.
    Justification: ETMS 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 ETMS components on-board a locomotive from the 
requirements of this section.
    Justification: ETMS tests require flexibility in installing, 
removing, modifying, turning on and turning off equipment. Failure of a 
component during the test phase will not jeopardize the safety of train 
operations. With or without ETMS 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 ETMS 
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 
``ETMS'' (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 
ETMS 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 ETMS design excludes any visual display of 
signal aspects or indications. ETMS 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 ETMS display will correspond with 
authority conveyed through wayside signals.

Section 236.76

    Tagging of wires and interference of wires or tags with signal 
apparatus.

[[Page 55734]]

Waiver is requested exempting ETMS equipment from the wire-tagging 
requirement.
    Justification: ETMS 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 
ETMS equipment from the requirement for removal of failed equipment 
from service.
    Justification: ETMS requires flexibility in installing, removing, 
turning on, and turning off the equipment. With or without ETMS 
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 ETMS equipment from the 
requirement for ground testing during the test phase.
    Justification: ETMS 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 ETMS equipment from the testing requirement of this 
section during the test phase.
    Justification: The timing devices in ETMS 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 ETMS tests from the 
record keeping requirements of this section.
    Justification: The ETMS 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 ETMS from the requirement for medium-speed restriction.
    Justification: ETMS 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. ETMS 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 ETMS from the requirement of interconnection 
with an automatic block-signal system.
    Justification: The ETMS system will have no connection to the 
signal system; however, ETMS 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 ETMS on-board 
display from the cab-signal requirements in this section.
    Justification: ETMS 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 ETMS from the requirement of 
interconnection with a roadway signal system.
    Justification: The ETMS system is not a cab signal system and will 
have no connection with the signal system. However, ETMS 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 ETMS 
display from the visibility requirement of this section during the test 
phase.
    Justification: ETMS is not a cab signal system. However, ETMS 
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 ETMS production system.

Section 236.534

    Entrance to equipped territory; requirements. Waiver is requested 
exempting ETMS from the requirements of this section during the test 
phase.
    Justification: ETMS tests require flexibility in installing, 
removing, turning on, and turning off ETMS equipment.

Section 236.552

    Insulation resistance; requirement. Waiver is requested exempting 
ETMS equipment from the insulation resistance requirement of this 
section.
    Justification: ETMS 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 ETMS from the 
seal requirement of this section.
    Justification: ETMS tests require flexibility in installing, 
removing, turning on, and turning off ETMS 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 ETMS 
during the test phase.
    Justification: A small subset of locomotives operating in the test 
territory will be ETMS equipped; the majority of trains will not be 
equipped. ETMS tests require flexibility in installing, removing, 
turning on and turning off the on-board equipment. In any case, all 
ETMS 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 ETMS tests from the restrictions 
associated with device failure or cutout. Tests require flexibility in 
installing, removing, turning on and turning off the on-board 
equipment.
    Justification: ETMS tests require flexibility in installing, 
removing, turning on and turning off the onboard equipment. All ETMS 
tests will be conducted under the provisions of the rules governing the 
existing methods of operation. A failure or deactivation of ETMS 
equipment will not jeopardize safety of train operations.

Section 236.586

    Daily or after trip test. Waiver is requested exempting the ETMS 
from the requirements of this section during the test phase.
    Justification: During the ETMS test phase, the requirements for a 
daily or

[[Page 55735]]

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 ETMS from the 
requirements of this section during the test phase.
    Justification: During the ETMS 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 ETMS from the 
requirements of this section during the test phase.
    Justification: During the ETMS test phase, the requirements for a 
departure test will be defined.

Section 236.703

    Aspect. Clarification is requested exempting the ETMS display from 
this definition.
    Justification: ETMS is not an automatic cab signal system.

Section 236.805

    Signal, cab. Clarification is requested exempting the ETMS display 
from this definition.
    Justification: ETMS is not an automatic cab signal system.

Section 240.127

    Criteria for examining skill performance. Waiver is requested 
exempting ETMS from the testing requirements of this section during the 
test phase.
    Justification: Criteria and procedures for ETMS performance 
evaluation do not yet exist; they will be identified and defined during 
the ETMS test phase.

Section 240.129

    Criteria for monitoring operational performance of certified 
engineers. Waiver is requested exempting ETMS from the performance 
monitoring procedures during the ETMS test phase.
    Justification: Criteria and procedures for ETMS performance 
evaluation do not yet exist; they will be identified and defined during 
the ETMS test phase.
    It is acknowledged for clarification that ETMS, when fully 
operative during the test phase, will comply with the following 
regulations:

Section 236.8

    Operating characteristics of electromagnetic, electronic, or 
electrical apparatus. ETMS computing equipment will comply with this 
regulation.

Section 236.501

    Forestalling device and speed control. ETMS is designed to enforce 
maximum authorized speeds, speed restrictions, slow speed and absolute 
stop. ETMS 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. ETMS 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. ETMS will comply with this regulation.

Section 236.505

    Proper operative relation between parts along roadway and parts on 
locomotive. ETMS will function as intended under all conditions of 
speed, weather, oscillation and shock. ETMS will comply with this 
regulation.

Section 236.506

    Release of brakes after automatic application. After an ETMS 
initiated brake application, brakes cannot be released until the train 
is stopped.

Section 236.507

    Brake application; full service. ETMS will comply with this 
regulation.

Section 236.508

    Interference with application of brakes by means of brake valve. 
ETMS equipment will not interfere with or impair the efficiency of the 
automatic or independent brake valves.

Section 236.509

    Two or more locomotives coupled. ETMS will be made operative only 
on the controlling locomotive; however, ETMS tests that do not affect 
train operations may occur on the trailing locomotives.

Section 236.513

    Audible indicator. The audible indicator for ETMS will have a 
distinctive sound and be clearly audible under all operating 
conditions.

Section 236.516

    Power supply. ETMS 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 ETMS 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-
2002-15432) 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, on September 16, 2003.
Grady C. Cothen, Jr.,
Deputy Associate Administrator for Safety Standards and Program 
Development.
[FR Doc. 03-24421 Filed 9-25-03; 8:45 am]
BILLING CODE 4910-06-P