[Federal Register Volume 68, Number 202 (Monday, October 20, 2003)]
[Notices]
[Pages 59982-59986]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 03-26374]


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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.

Alaska Railroad Corporation

[Docket Number FRA-2003-15756]

    The Alaska Railroad Corporation (ARRC) 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 acquire, test, and implement 
technology designed to prevent train collisions, overspeed violations, 
and protect roadway workers. The program will enable ARRC to 
demonstrate and validate an integrated system provided by three 
vendors, Quantum Engineering, Inc. provider of the on-board equipment, 
Meteor Communications Corporation, provider of the communications 
backbone and wayside devices, and Engesis, provider of the computer-
aided dispatching (CAD) system. This technology is referred to as a 
Collision Avoidance System (CAS).

Petitioner's Justification

    The petitioner provided the following justification for relief:
    CAS is a communications-based train control system designed to 
enhance safety by precisely managing the movements of locomotives, 
trains, and on-track equipment in real time. The CAS safety 
enhancements are achieved through a communications-based system that 
enforces movement authority and speed restrictions for CAS equipped 
trains.
    The CAS integrates four segments to provide the enforcement: the 
location segment, the locomotive segment, the dispatcher system 
segment, and the communications segment. The location segment utilizes 
Global Position System (GPS) satellites to precisely determine the 
location of equipped locomotives and/or end of train devices using 
Differential GPS based location system. The dispatcher segment provides 
full support for train dispatching over the ARRC. The system is field 
proven, runs in logical modules, and is interfaced

[[Page 59983]]

with satellite and radio technology. Communication among dispatchers 
and train crews is over a field proven communications segment, and is 
mainly by means of messages that are processed and converted into 
visual information. The dispatcher confirms or modifies the meet/pass 
locations and the system automatically incrementally generates and 
delivers the electronic enforcable authority and temporary speed limits 
for each train under CAS control. This information is delivered through 
the communications segment to the locomotive. Procedures are 
implemented to ensure the data received is complete and correct. 
Several modules within the locomotive segment manage authority limit 
enforcement, speed enforcement, switch monitoring, signal compliance 
and signal comparitor functionality, track integrity, and wayside 
detector monitoring and enforcement. Failsafe design dictates that an 
undelivered message will stop the train at the end of its active 
authority. The approaching locomotive interrogates wayside devices, 
including signals, and designated switches to ensure proper alignment 
and aspect for the route. The locomotive segment confirms the 
locomotive's location, via the location segment, and enforces 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 crew is presented a graphical and textual view of the 
authorities, speed restrictions, and current location, and is alerted 
in advance to any upcoming restriction. Human reaction to the prompts 
issued by the system will prevent intervention by CAS. All on-board and 
dispatcher office information and human actions are recorded.
    The CAS will be tested and demonstrated system wide on the ARRC in 
the State of Alaska on the subdivisions/branches shown in Table 1.

                                 Table 1
------------------------------------------------------------------------
                                                                 Length
                      Subdivision/Branch                        (miles)
------------------------------------------------------------------------
Seward: Anchorage to Seward..................................     114.3
Whittier: Portage to Whittier................................      12.4
Anchorage: Anchorage to Fairbanks............................     356.0
Anchorage Intl Airport Branch: Anchorage to End of Track.....       2.45
Palmer Branch: Matanuska to Palmer...........................       6.2
Suntrana Branch: Healy to End of Track.......................       1.7
Fairbanks Intl Airport Branch: Fairbanks to End of Track.....      10.0
Eielson Branch: Fairbanks to Eielson.........................      28.0
                                                              ----------
    Total....................................................     531.05
------------------------------------------------------------------------

    The present methods of operation on the CAS territories are shown 
in Table 2.

                                                     Table 2
----------------------------------------------------------------------------------------------------------------
                                                                    CTC 2 main                       Rest/yard
               Subdivision/Branch                      CTC            tracks          Non-ABS         limits
----------------------------------------------------------------------------------------------------------------
Seward: Anchorage to Seward....................            4.8               0            106.1             3.4
Whittier: Portage to Whittier..................            2.7               0              5.6             4.1
Anchorage: Anchorage to Fairbanks..............            8.45              2.8          341.95            2.8
Anchorage Intl Airport Branch..................            0                 0              0               2.45
Palmer Branch: Matanuska to Palmer.............            0                 0              0               6.2
Suntrana Branch: Healy to End of Track.........            0                 0              0               1.7
Fairbanks Intl Airport Branch..................            0                 0              0              10.0
Eielson Branch: Fairbanks to Eielson...........            0                 0              0              28.0
                                                -----------------
    Total (531.05 miles).......................           15.95              2.8          453.65           58.65
----------------------------------------------------------------------------------------------------------------

    The CAS production system will enforce the General Code of 
Operating Rules (GCOR) rules governing the movement of trains. 
Operating Rules changes required to support the CAS will be identified 
and documented during testing and evaluation.
    The waiver is requested for a testing period commencing September, 
2003, and extending to the conclusion of the test phase. The testing 
period will terminate December, 2005 unless AARC 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. During development, 
demonstration, and test, waiver is requested for CAS locomotives to the 
extent that non-operation of CAS equipment installed on-board, whether 
through malfunction or deactivation, shall not be construed as an 
unsafe condition requiring special notice for repairs. Waiver is also 
sought for non-CAS-equipped locomotives operating in the CAS test 
territory to the extent that the absence of CAS equipment on-board 
shall not be construed as an unsafe condition requiring special notice 
for repairs.
    Justification: With or without CAS equipment operating on-board the 
controlling locomotive, a train remains subject to applicable railroad 
operating rules. CAS tests require flexibility in installing, removing, 
turning on, and turning off the on-board equipment. The initial CAS 
tests will equip only a small subset of locomotives operating in the 
pilot territory or test bed.
Section 217.9
    Program of operational tests and inspections; recordkeeping. Waiver 
is requested exempting operation of CAS equipment and procedures from 
the requirements for operational tests, inspections, and associated 
recordkeeping during the test phase.
    Justification: During the CAS test program procedures for using CAS 
equipment and functions will be refined and modified. Until such 
procedures are defined, they cannot be addressed in the GCOR.
Section 217.11
    Program of instruction on operating rules; recordkeeping; and 
electronic recordkeeping. Waiver is requested exempting operation of 
CAS equipment and procedures from the requirements for instruction and 
associated record keeping during the test phase.
    Justification: During the CAS test phase procedures for using CAS 
equipment and functions will be refined and modified. Until such 
procedures are defined, they cannot be addressed in the GCOR.

[[Page 59984]]

Part 218
    (Subpart D) Prohibition Against Tampering With Safety Devices. 
Waiver is requested exempting on-board CAS equipment from the 
requirements of Sec. Sec.  218.51, 218.53, 218.55, 218.57, 218.59, and 
218.61 to the extent that CAS 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: CAS tests require flexibility in installing, 
removing, turning on, and turning off the on-board equipment. ARRC 
requires the flexibility to permanently disable or remove CAS equipment 
in the event that a production system is not implemented.
Section 229.7
    Prohibited acts. Waiver is requested to the extent that CAS 
equipment on-board a locomotive shall not be considered 
``appurtenances'' rendering the locomotive subject to the provisions of 
this section.
    Justification: CAS tests require flexibility in installing, 
removing, turning on, and turning off the on-board equipment. ARRC 
requires the flexibility to temporarily or permanently disable on-board 
equipment. Whether or not the on-board CAS equipment is functioning, 
the train remains subject to the provisions of the rules governing the 
current methods of operation. CAS will be subject to the provisions of 
49 CFR part 236, subparts A through G, and proposed Subpart H if 
promulgated, and therefore, should not be subject to part 229 in any 
fashion.
Section 229.135
    Event recorders. Waiver is requested to the extent that CAS 
equipment on-board a locomotive shall not be considered an ``event 
recorder'' subject to the provisions of this section.
    Justification: CAS equipment by design will operate intermittently 
during the pilot program. CAS tests require flexibility in installing, 
removing, turning on, and turning off the on-board equipment. ARRC 
requires the flexibility to temporarily or permanently disable on-board 
CAS equipment.
Section 233.9
    Annual Reports. Waiver is requested exempting CAS operations in the 
test phase from the reporting requirements of this section.
    Justification: ARRC recognizes that a CAS production system is 
subject to the provisions of this section, however, imposition of the 
requirements during the test phase would impose an unnecessary 
paperwork burden.
Section 235.5
    Changes requiring filing of application. Waiver is requested 
exempting the CAS from the filing requirements of this section during 
the test phase.
    Justification: CAS tests require flexibility in installing, 
removing, turning on, and turning off the CAS equipment. ARRC requires 
the flexibility to permanently disable or remove CAS equipment in the 
event the production system is not implemented.
Section 236.4
    Interference with normal functioning of device. Waiver is requested 
to the extent that CAS equipment be excluded from this requirement 
during the test phase.
    Justification: During the CAS test phase, the ``normal 
functioning'' will be identified, defined and redefined. CAS tests 
require flexibility in installing, removing, turning on, and turning 
off the CAS equipment. With or without CAS equipment 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 CAS equipment from the closed circuit design 
requirement.
    Justification: CAS 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. However, all safety-
critical circuits external to the CAS equipment will be designed to 
meet this requirement.
Section 236.11
    Adjustment, repair, or replacement of component. Waiver is 
requested exempting CAS components on-board a locomotive from the 
requirements of this section during the test phase.
    Justification: CAS tests require flexibility in installing, 
removing, modifying, turning on and turning off equipment. Failure of a 
CAS component during the test phase will not jeopardize the safety of 
train operations. With or without CAS 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 CAS 
territory from the timetable designation requirement of this section 
during the CAS test phase.
    Justification: The CAS test phase will consist of tests and 
demonstrations at undetermined intervals and identifying the test 
territory in the timetable as ``CAS'' (or some similar label) would be 
both premature and an unnecessary paperwork burden.
Section 236.76
    Tagging of wires and interference of wires or tags with signal 
apparatus. Waiver is requested exempting CAS equipment from the wire-
tagging requirement.
    Justification: CAS 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 
CAS equipment from the requirement for removal of failed equipment from 
service during the test phase.
    Justification: CAS requires flexibility in installing, removing, 
turning on, and turning off the CAS equipment. With or without CAS 
equipment operating on-board, a train remains subject to the provisions 
of the rules governing the existing methods of operation.
Section 236.109
    Time releases, timing relays and timing devices. Waiver is 
requested exempting CAS equipment from the testing requirement of this 
section during the test phase.
    Justification: The timing devices in CAS 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 CAS tests from the 
record keeping requirements of this section.
    Justification: During the CAS test phase, 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 CAS from the requirement for medium-speed restriction.
    Justification: CAS receives input from the track database, 
bulletins, and signal

[[Page 59985]]

system with regard to speed. In the event of a failure of the engineer 
to obey any restrictive speed CAS will enforce a stop.
Section 236.511
    Cab signals controlled in accordance with block conditions stopping 
distance in advance. Waiver is requested exempting the CAS on-board 
display from the cab-signal requirements of this section.
    Justification: CAS is not an automatic cab signal system and will 
have no connection to a signal system. CAS will receive data radio 
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 236.515
    Visibility of cab signals. Waiver is requested exempting the CAS 
display from the visibility requirement of this section during the test 
phase.
    Justification: The visibility requirements of this rule will be met 
in the CAS production system.
Section 236.534
    Entrance to equipped territory; requirements. Waiver is requested 
exempting CAS from the requirements of this section during the test 
phase.
    Justification: CAS tests require flexibility in installing, 
removing, turning on, and turning off CAS equipment.
Section 236.552
    Insulation resistance; requirement. Waiver is requested exempting 
CAS equipment from the insulation resistance requirement of this 
section.
    Justification: CAS 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 CAS from the 
seal requirement of this section.
    Justification: The CAS will allow for manual disablement of on-
board CAS functions and equipment through an on-board manual function. 
Use of the on-board cutout function will be electronically monitored 
and reported to the dispatcher as an alarm. The CAS tests require 
flexibility in installing, removing, turning on, and turning off CAS 
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 equipped requirements in the section shall not apply to CAS during 
the test phase.
    Justification: A small subset of locomotives operating in the test 
territory will be CAS equipped; the majority of trains will not be 
equipped. CAS tests require flexibility in installing, removing, 
turning on and turning off the on-board equipment. In any case, all CAS 
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 CAS tests from the restrictions 
associated with device failure or cutout.
    Justification: CAS tests require flexibility in installing, 
removing, turning on and turning off the on-board equipment. All CAS 
tests will be conducted under the provisions of the rules governing the 
existing methods of operation. A failure or deactivation of the CAS 
equipment will not jeopardize safety of train operations.
Section 236.586
    Daily or after trip test. Waiver is requested exempting CAS from 
the requirements of this section during the test phase.
    Justification: During the CAS 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 CAS from the 
requirements of this section during the test phase.
    Justification: During the CAS 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 CAS from the 
requirements of this section during the test phase.
    Justification: During the CAS test phase, the requirements for a 
departure test will be defined.
Section 240.127
    Criteria for examining skill performance. Waiver is requested 
exempting CAS from the testing requirements of this section during the 
test phase.
    Justification: Criteria and procedures for CAS performance 
evaluation do not yet exist; they will be identified and defined during 
the CAS test phase.
Section 240.129
    Criteria for monitoring operational performance of certified 
engineers. Waiver is requested exempting CAS from the performance 
monitoring procedures during the test phase.
    Justification: Criteria and procedures for CAS performance 
evaluation do not yet exist; they will be identified and defined during 
the test phase.
    It is acknowledged for clarification that CAS, when fully operative 
during the test phase, will comply with the following regulations:
Section 236.8
    Operating characteristics of electromagnetic, electronic, or 
electrical apparatus. CAS computing equipment will comply with this 
regulation.
Section 236.501
    Forestalling device and speed control. CAS is designed to enforce 
maximum authorized speeds, speed restrictions, slow speed, and absolute 
stop. CAS 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. CAS 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. CAS will comply with this regulation.
Section 236.505
    Proper operative relation between parts along roadway and parts on 
locomotive. CAS will function as intended under all conditions of 
speed, weather, oscillation, and shock. CAS will comply with this 
regulation.
Section 236.506
    Release of brakes after automatic application. After a CAS 
initiated brake application, brakes cannot be released until the train 
is stopped.
Section 236.507
    Brake application; full service. CAS will comply with this 
regulation.
Section 236.508
    Interference with application of brakes by means of brake valve. 
CAS equipment will not interfere with or impair the efficiency of the 
automatic or independent brake valves.

[[Page 59986]]

Section 236.509
    Two or more locomotives coupled. CAS will be made operative only on 
the controlling locomotive; however, CAS tests that do not affect train 
operations may occur on the trailing locomotives.
Section 236.513
    Audible indicator. The audible indicator for CAS will have a 
distinctive sound and be clearly audible under all operating 
conditions.
Section 236.516
    Power supply. CAS 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 CAS 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-
2003-15756) 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 October 14, 2003.
Grady C. Cothen, Jr.,
Deputy Associate Administrator for Safety Standards and Program 
Development.
[FR Doc. 03-26374 Filed 10-17-03; 8:45 am]
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