[Federal Register Volume 63, Number 172 (Friday, September 4, 1998)]
[Rules and Regulations]
[Pages 47182-47199]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 98-23697]
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DEPARTMENT OF TRANSPORTATION
Federal Railroad Administration
49 CFR Part 220
[Docket No. RSOR-12; Notice No. 5]
RIN 2130-AB19
Railroad Communications
AGENCY: Federal Railroad Administration (FRA), DOT.
ACTION: Final rule.
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SUMMARY: The Federal Railroad Administration (FRA) amends its radio
standards and procedures to promote compliance by making the
regulations more flexible; to require wireless communications devices,
including radios, for specified classifications of railroad operations
and roadway workers; and to retitle this part to reflect its coverage
of other means of wireless communications such as cellular telephones,
data radio terminals and other forms of wireless communications used to
convey emergency and need to know information.
This final rule is based upon recommendations from a rail industry
and labor working group convened by FRA and upon review of comments
received in response to the June 26, 1997 notice of proposed rulemaking
(62 FR 34544).
DATE: Effective Date: This rule is effective January 4, 1999.
Compliance Dates: Sections 220.9 and 220.11 are effective July 1, 1999
for each railroad that:
(1) provides commuter service in a metropolitan or suburban area;
(2) provides intercity passenger service; or
(3) had 400,000 or more annual employee work hours in 1997.
Sections 220.9 and 220.11 are applicable July 1, 2000 for each
railroad that had fewer than 400,000 annual employee work hours in
1997.
ADDRESSES: Any petition for reconsideration should be submitted in
triplicate to Ms. Renee Bridgers, Docket Clerk, Office of Chief
Counsel, Federal Railroad Administration, 400 Seventh Street, S.W.,
Washington, D.C. 20590.
FOR FURTHER INFORMATION CONTACT: Gene Cox, Operating Practices
Specialist, Office of Safety, FRA, 400 Seventh Street S.W., Washington,
D.C. 20590 (telephone: 202-493-6319); Dennis Yachechak, Operating
Practices Specialist, Office of Safety, FRA, 400 Seventh Street S.W.,
Washington, D.C. 20590 (telephone: 202-493-6260); or Patricia V. Sun,
Trial Attorney, Office of Chief Counsel, FRA, 400 Seventh Street S.W.,
Washington, D.C. 20590 (telephone: 202-493-6060).
SUPPLEMENTARY INFORMATION:
FRA's 1994 Report to Congress
FRA first issued railroad radio standards and procedures (49 CFR
Part 220) in 1977. In 1992, in section 11 of the Rail Safety
Enforcement and Review Act (RSERA), Pub. L. No. 102-365, 106 Stat. 972,
Congress required the Secretary of Transportation to conduct an inquiry
into Part 220 procedures. As part of its inquiry, FRA conducted a field
investigation of current voice communications technology and practice,
held three Roundtable discussions on advanced train control
technologies, published a notice of special safety inquiry (59 FR
11847; March 11, 1994), conducted a public hearing on voice radio
communications, contracted with the Department of Commerce's Institute
for Telecommunications Sciences for a technical evaluation of advanced
train control systems, and consulted with other agencies within DOT and
with staff of the Federal Communications Commission.
In July 1994, FRA published its Report to Congress on Railroad
Communications and Train Control. FRA concluded that railroad radio
communications were generally good and had steadily improved since
FRA's last major study in 1987. However, compliance with the standards
and procedures in Part 220 was poor, and employees continued to report
problems with radio equipment. (FRA's June 26, 1997 notice of proposed
rulemaking, discussed below, details the technology application and
utilization problems (62 FR 34544-45) uncovered during the inquiry.)
Based on these findings, FRA committed to revising Part 220 to make the
regulations more flexible.
Railroad Safety Advisory Committee's Review of Part 220
In 1996, FRA established the Railroad Safety Advisory Committee
(RSAC or the Committee) to implement a more consensual approach to
rulemaking. RSAC is comprised of 48 representatives from 27 member
organizations, including railroads, labor groups, equipment
manufacturers, state government groups, public associations, and two
associate non-voting representatives from Canada and Mexico. To address
specific tasks, such as railroad communications, RSAC formed standing
or temporary subcommittees, or working groups, comprised of
knowledgeable persons from the organizations represented on RSAC. The
Railroad Communications Working Group (Working Group or Group) was
comprised of representatives from the following organizations:
American Public Transit Association (APTA)
The American Short Line Railroad Association (ASLRRA)
Association of American Railroads (AAR)
Brotherhood of Locomotive Engineers, American Train Dispatchers
Department (BLE)
Brotherhood of Maintenance of Way Employes (BMWE)
Brotherhood of Railroad Signalmen
Burlington Northern Santa Fe
Canadian Pacific Rail System
Consolidated Rail Corporation (Conrail)
CSX Transportation, Inc.
[[Page 47183]]
FRA
International Brotherhood of Electrical Workers
National Railroad Passenger Corporation (AMTRAK)
Norfolk Southern Corporation (NS)
Railway Progress Institute
Transportation Communications International Union
United Transportation Union.
In its Task Statement (Task No. 96-3) to the Working Group, RSAC
charged the Group to report back on the following issues:
1. all matters relating to revision of the existing standards,
including data required for regulatory analysis;
2. communications needs in support of train operations;
3. communications needs in support of switching operations; and
4. the role of communications capability in emergency preparedness,
including passenger service.
In a series of meetings, the Working Group examined extensive data,
debated how to improve compliance with FRA radio standards and
procedures, and considered whether to mandate radios and other forms of
wireless communications to convey emergency and need to know
information. In 1997, the Working Group achieved consensus on
recommendations to amend Part 220, which the RSAC subsequently approved
by formal ballot. On June 26, 1997, FRA published a notice of proposed
rulemaking (NPRM) [62 FR 34544] based on the Working Group's
recommendations.
Summary of Principal Communications Requirements in the NPRM
FRA proposed to vary communication equipment standards and
implementation periods according to railroad size, providing small
railroads more flexibility in recognition of their unique concerns.
Small railroads were defined as those with fewer than 400,000 annual
employee work hours (see the Regulatory Flexibility Act analysis below
for further discussion of how small entities are defined in this part),
and large railroads were defined as those with 400,000 or more annual
employee work hours. This reporting cut-off is used in 49 CFR Parts 217
and 219 (Railroad Operating Rules and Control of Alcohol and Drug Use,
respectively).
More communications equipment would be required on trains operated
by large railroads than on those operated by small railroads. Large
railroads would be required to equip each train with a working radio in
each occupied controlling locomotive and with a means of redundant
working wireless communications. A working radio is one that can
communicate with the railroad's control center from any location within
the rail system (through repeater stations, if necessary), with the
exception of limited segments of territory where topography or
transient weather conditions prevent effective communications. In the
case of joint operations on another railroad, the radio must also be
able to reach the control center of the host railroad. For small
railroads, each train's communication equipment requirements would be
determined by a variety of factors, including whether the train
transports passengers, hauls hazardous materials, engages in joint
operations with large railroads, or operates above specified speeds.
For roadway workers, communication equipment requirements would
also vary according to the size of the railroad. Large railroads would
be required to equip maintenance-of-way equipment operating without
locomotive assistance with a working radio. If multiple units are
traveling together, only one unit would need to be equipped. Each
maintenance-of-way work group would also be required to have intra-
group communications capability. Each employee designated by the
railroad to provide on-track safety for a roadway work group, and each
lone worker, would be required to have immediate access to a working
radio.
Small railroads would have to provide each employee responsible for
on-track safety and each lone worker with immediate access to working
wireless communications unless railroads do not operate in excess of 25
miles per hour. A railroad, regardless of size, would be excepted from
these roadway worker communication requirements whenever the roadway
work location is inaccessible to trains or has no through traffic or
traffic on adjacent tracks when roadway workers are present.
In addition to the proposed equipment requirements, FRA would
require railroad employees to notify the railroad's control center,
using the quickest means of communications available, of emergency
conditions that could result in death or injury, damage to property, or
serious disruption of railroad operations. FRA also proposed to require
railroad employees to test radio and redundant wireless communication
equipment as soon as practicable before the beginning of their work
assignment, and to remove inoperative equipment from service upon
detection. The NPRM also proposed a retention period for copies of
mandatory directives.
Discussion of Comments
By August 25, 1997, the closing date for the comment period, FRA
had received comments from the following parties, many of whom were
represented in the Working Group:
APTA
ASLRRA
AAR
BLE
BLE, Local Chairman 112 (BLE 112)
BLE, General Committee of Adjustment, Southeastern Pennsylvania
Transportation Authority (BLE SEPTA)
BMWE
Conrail
Duluth, Missabe and Iron Range Railway (DMIR)
Railtex
NS
Union Pacific Railroad Company (UP)
Comments that were addressed to specific sections of the NPRM are
discussed in the section-by-section analysis. In reviewing the
comments, five major issues emerged, which are discussed below.
(1) Coverage
The NPRM defined a working radio as one that can communicate with
the railroad's control center from any location within the rail system
(through repeater stations, if necessary), with the exception of
limited segments of territory where topography or transient weather
conditions temporarily prevent effective communications. In the case of
joint operations on another railroad, the radio must also be able to
reach the control center of the host railroad. FRA requested comments
on whether the final rule should allow exclusions in communications
coverage where the cost of placing additional repeater stations to
prevent dead spots would be significant in relation to potential
benefits.
FRA received the most comments on this issue. Coverage is a
significant issue for many western railroads because of their greater
territory and more diverse terrain.
BLE SEPTA commented that coverage exclusions should only be
considered on territory without passenger or hazardous materials
traffic, or on a case-by-case waiver basis. Factors such as
installation cost, topography or frequency of use should not determine
coverage limits, since quick communication is needed whenever a
potential disaster strikes. BMWE also opposed allowing railroads
subject to the NPRM to define additional coverage limits. BMWE
commented that the safety risks associated with operating without
communications capability remain the same regardless of
[[Page 47184]]
topography, and that cost issues had been adequately addressed by the
NPRM's exclusion of railroads with fewer than 400,000 annual employee
work hours and allowance for temporary fluctuations due to weather or
terrain.
DMIR, on the other hand, commented that FRA needed to clarify what
communications capability would be required for each piece of on-track
equipment and for intra-group communication. While DMIR's present
portable radios could communicate with other nearby radios, there were
areas on its system where topography prevented these radios from being
able to reach the dispatcher. DMIR estimated that providing each lone
worker with a portable radio capable of reaching the dispatcher would
cost the railroad approximately $200,000 (ten additional base stations,
six towers and forty more portable radios).
UP commented that it would not be cost effective or practicable to
design and implement a wide area system with 100% coverage all of the
time. Instead, UP suggested that FRA define its coverage requirements
using common terminology such as ``90% of the territory is covered 90%
of the time'' since this would reduce future waiver applications. With
respect to the proposed communications requirements for roadway workers
in Sec. 220.11, UP noted that portable radios do not provide the same
coverage as locomotive radios because of differences in transmitted
power, antenna height, and antenna efficiency and therefore could not
be expected to communicate with the control center from anywhere on the
right-of-way.
AAR commented that the preamble's implied requirement to construct
and install new base stations was not agreed to by the Working Group,
contained in the rule text or analyzed in the regulatory impact
analysis. ASLRRA supported AAR, adding that it would be cost-
prohibitive to require all railroads to install repeater stations to
eliminate dead spots and provide complete radio coverage. ASLRRA also
commented that the Working Group had never voted or reached consensus
on this issue because of the unavailability of data demonstrating the
safety benefits of full coverage.
The issue of ``coverage'' is separable into two dimensions. The
first has to do with the ability of mobile radios (mounted semi-
permanently within the cabs of locomotives, on-track equipment or
trucks assigned to roadway workers) to transmit and receive from any
place along the length of a railroad right-of-way. Major railroads
maintain thousands of repeater stations that facilitate communication
with control centers from such locations. However, even the most
complete of the current repeater station arrays may be unable to
receive from or transmit to mobile radios at isolated (localized) sites
such as long tunnels, at the base of cliffs, or at certain locations
within gorges. The working group did not discuss, and FRA did not
intend to propose, that every such ``dead spot'' be remedied, since
this could require the expenditure of large sums of money to place
repeating stations where no commercial power is available in order to
yield very modest increases in communication capability. The final rule
requires that radio coverage of all territories be provided (as is
generally the case today) with the following exceptions: (a) tunnels or
other localized places of extreme topography; and (b) temporary lapses
of coverage due to atmospheric or topographic conditions.
FRA also recognizes that certain existing ``dead spot'' locations
may warrant further study for special treatment. Examples may include
very long tunnels where an engine fire or derailment could create an
immediate need for rescue by a relief train. One commentator in this
proceeding, BLE Local 112, suggested that this final rule expressly
mandate such coverage. However, this proceeding has focused on the
equipping of trains and provision of communications capability to
roadway workers, rather than the density of the communications
infrastructure. Accordingly, FRA does not have available the data that
would be needed to resolve these issues in this final rule. To the
extent passenger operations are conducted through long tunnels, FRA
will expect railroads to address communications needs in formulating
plans under the new requirements for Passenger Train Emergency
Preparedness (64 FR 24632; May 4, 1998).
As noted in the final rule, transient weather conditions (alone or
in combination with topographic features) may also give rise to
temporary coverage gaps over which the railroad will have no control.
These interruptions are inherent to communications in the 160 MHZ band
and cannot be effectively addressed through regulatory fiat.
The second dimension of the coverage issue involves those
situations where roadway workers may find it necessary to work at some
distance from trucks or on-track equipment equipped with mobile radios,
in territory where only a mobile radio can be relied upon to
communicate with the control center. In these situations, it is again
unrealistic to require that repeater stations be installed in a pattern
so dense that portable radios will always be capable of reaching the
control center. Portable radios transmit at lower wattage than mobile
radios, and their smaller antennas are less able to receive faint
signals. Particularly in the Western States, adding repeater stations
to accommodate communication with the control center using only
portable radios could result in massive expenditures for additional
radio infrastructure. FRA has reviewed this issue in light of the
public comments and fashioned the following approach in this final
rule:
Those in charge of obtaining protection for roadway
workers (including lone workers) must be provided with whatever radio
equipment is needed to reach the control center from their work area,
subject to the same localized and transient exceptions that apply to
trains above. (Groups or lone workers traveling by rail will already
have this capability in the form of a mobile radio, and trucks used by
signal maintainers and other roadway workers must be similarly equipped
unless portable radios are sufficient for the purpose of reaching the
control center.)
To the extent that it is not practicable for such workers
to maintain immediate access to communications capability with the
control center (because of the need to work at some distance from
equipment on which mobile radios are mounted), portable radios must be
provided. Portable radios will permit these workers to monitor local
transmissions from trains, a major objective sought by representatives
of these workers during the working group negotiation. In an emergency
involving injury to a roadway worker, it may also be possible to relay
information to the control center through crews of passing trains or
through another roadway worker situated within earshot of the group's
on-track equipment or truck.
FRA believes that the final rule upholds the intent of the working
group to provide effective communications capability for trains and
roadway workers while responding to the detailed comments on coverage
received in response to the NPRM. FRA recognizes that standards for
effective communication will continue to evolve as technology improves
and the rail industry gains experience in the application of this final
rule.
(2) Roadway Worker Protection
The NPRM proposed to require large railroads to provide each
designated employee in charge, and each lone worker, with immediate
access to a
[[Page 47185]]
working radio. Small railroads would have the option of providing
immediate access to either a working radio or working wireless
communications.
Several commentators raised issues concerning the NPRM and FRA's
Roadway Worker Protection regulations (49 CFR Part 214, Subpart C).
Referring to FRA's proposed lone worker definition, DMIR suggested that
FRA substitute ``work group'' for ``work gang'' to be consistent with
Part 214 terminology. FRA agrees and has substituted ``group'' for
``gang'' throughout this final rule. To further harmonize this part
with Part 214, FRA substitutes ``employee responsible for on-track
safety'' for ``designated employee in charge'' (a term used in the
NPRM's preamble, but not the rule text) and ``employee in charge of on-
track equipment'' to ensure consistent terminology, and amends
Sec. 220.61(b) to require the employee responsible for on-track safety
to retain a copy of a mandatory directive while it is in effect, to
parallel the retention requirements in Sec. 214.321 (retention of
mandatory directives is discussed in more detail elsewhere in this
preamble).
NS expressed concerns about ``substantial'' duplication between the
NPRM and Part 214. Additionally, AAR commented that the preamble had
incorrectly stated that the Working Group's recommendations resulted
from a decision to enhance roadway worker compliance with Part 214 and
ability to communicate unsafe conditions. ASLRRA supported AAR's
comments, adding that the preamble had misstated the tasks of the
Working Group by implying that the Group had been tasked with equipping
maintenance-of-way equipment and/or extending roadway worker
requirements into the railroad communications rule.
After examining both rules, FRA finds them complementary, not
conflicting or duplicative, since the communications requirements in
this final rule reinforce compliance with on-track safety procedures by
workers performing duties on or adjacent to live track. While there may
not be agreement concerning the Group's reasons for amending Part 220,
the changes contained in the NPRM were the product of consensus.
BMWE's comments are addressed in the section-by-section analysis.
(3) Non-Radio Wireless Communications Procedures
FRA asked for comments on whether non-radio wireless communications
procedures paralleling the radio procedures in Subpart B should be
adopted for cellular telephones and other wireless communications
devices that would be covered under the NPRM. To focus on this issue,
FRA inquired whether non-radio wireless communications had the same
opportunities for misunderstanding as radio transmissions, and asked
how such procedures would be enforced (e.g., ``over'' and ``out'' with
cellular telephones where usually only one party to the conversation
could be overheard).
BLE SEPTA recommended that FRA adopt certain sections of the
current radio procedures for non-radio wireless communications,
specifically identification (Sec. 220.27), statement of numbers and
letters (Sec. 220.29), ending a transmission (Sec. 220.35), consistency
with federal regulations and railroad operating rules (Sec. 220.43),
complete communications (Sec. 220.45), and transmission of mandatory
directives (Sec. 220.61). BLE SEPTA noted that while cellular
telephones have less interference from other communications there is
also no listener redundancy to detect errors. BMWE also supported
adoption of non-radio wireless communications procedures to ensure the
accurate transmittal and copying of information. In particular, BMWE
advocated requiring all mandatory directives transmitted via non-radio
wireless communications to be repeated back and verified before being
acted upon. BLE Local 112 suggested that FRA require the dispatcher to
have a separate telephone number for emergencies.
Conversely, UP commented that non-radio wireless communications
procedures were unnecessary, and that railroads could combine ordinary
telephone procedures with operating rules to govern such
communications. APTA also commented that non-radio wireless
communications procedures were unnecessary, since wireless
communications other than radio would not involve heavy communications
traffic on shared channels. With cellular telephones, for example,
parties to a call would not be subject to interfering traffic so the
potential for confusion would be diminished. APTA also believed that
non-radio wireless communications procedures would be difficult to
monitor, and consequently, both unenforceable and counterproductive.
After reviewing the comments, FRA has decided not to promulgate
non-radio wireless communications procedures at this time, since the
Working Group did not consider in depth how to ensure the accuracy and
completeness of non-radio wireless communications. As proposed, in this
final rule FRA addresses only the testing and failure of non-radio
wireless communications equipment (in Secs. 220.37 and 220.38
respectively).
FRA emphasizes, however, that the procedures in Sec. 220.61(b)
should be followed even when a cellular telephone or other form of
wireless communication is used to transmit a mandatory directive, since
there is a risk of miscommunication. Regardless of the means of
transmission, an employee should not copy a mandatory directive while
at the controls of moving equipment. Regardless of the means of
transmission, FRA expects a mandatory directive to be copied in its
entirety and retained for the duration of the work assignment, to
ensure that those responsible for executing the directive understand
(if train crew) or acknowledge (if roadway workers) it. While existing
railroad operating rules will otherwise continue to govern non-radio
communications, FRA will monitor compliance with Sec. 220.61, and will
revisit the issue of non-radio wireless communications procedures if
necessary.
(4) Ending a Transmission
In the NPRM, FRA asked for comment on whether use of ``over'' and
``out'' at the end of each radio transmission should remain a
requirement or become a recommended practice .
Comments in response to the NPRM were divided. BMWE was not opposed
to retention of ``over'' and ``out'' provided that failure to end a
transmission in this manner did not result in individual liability.
Conrail supported changing ``over'' and ``out'' to a recommended
practice, commenting that this requirement was unique to railroads. UP,
also in favor of anti-retention, suggested that ``over'' and ``out'' be
required only when necessary to ensure transmission quality. Finally,
AAR and ASLRRA both favored allowing railroads to follow their own
current radio practices, commenting that ``over'' and ``out'' had no
special safety significance.
After reviewing these comments, FRA has decided to retain ``over
and out'' in the final rule, except in yard switching operations, where
radio congestion is a frequent problem and rapid delivery of
information supports real time decisions that are crucial to safety.
This exception is consistent with the latitude allowed under current
FRA enforcement practice. Use of ``over'' and ``out'' makes clear to
the conversants, and to any listeners monitoring and using that
frequency, when a radio transmission is in progress and when it has
concluded. Past audits demonstrate that overall compliance with radio
rules improves whenever this requirement is strictly
[[Page 47186]]
enforced. Moreover, crews may act on incomplete information or
overlapping transmissions without a standard procedure to indicate when
a transmission is over.
(5) Copying and Retention of Mandatory Directives
In the NPRM, FRA clarified that Sec. 220.61 has always required
that the conductor and the engineer each have an individual copy of
every mandatory directive transmitted by radio, since each is
responsible for ensuring that all train crew members (with the
exception of passenger and commuter train personnel not directly
involved in the operation of the train) read and understand the
directives before they are acted upon.
In its comments, NS suggested that a single copy of a mandatory
directive in the possession of either the conductor or engineer could
be used to ensure that both read and understand a mandatory directive
before acting upon it, thus avoiding the copying and paperwork burden
of duplicate copies. FRA disagrees and this final rule tracks the
proposed rule; too much potential for misunderstanding exists when the
engineer and conductor share a single copy of a mandatory directive,
even if both have read it. DMIR, however, asked if a two-part form
could be used to avoid possible transcription errors in making a
duplicate written copy of the mandatory directive. FRA has no
objections, so long as the engineer and conductor each retain a part of
the form containing the complete mandatory directive.
For roadway groups, FRA proposed to require that a mandatory
directive be ``acknowledged,'' instead of ``read and understood,'' by
the designated employee in charge, who would then provide a detailed
job briefing at the beginning of the assignment notifying the other
roadway workers of the group's movement limitations, authorities, and
other relevant information.
FRA received no comments on this proposal, and adopts it in this
final rule.
FRA proposed requiring that fulfilled or canceled mandatory
directives be marked with an ``X'' or in accordance with the railroad's
operating rules to prevent later employee confusion as to which
mandatory directives were applicable at any point of time, and that
each employee responsible for executing a mandatory directive within a
train crew or roadway group retain copies of those directives for the
duration of his or her work assignment. FRA also solicited comments on
the value of requiring retention of copies of mandatory directives for
seven work days after completion of the work assignment as recommended
in a recent FRA Safety Bulletin (61 FR 64191, August 26, 1996), and as
already required on NORAC (the Northeast Operating Rules Advisory
Committee) member railroads. This proposal would enable both railroads
and FRA to enforce compliance with the copying requirement.
Commentators uniformly supported marking directives fulfilled or
canceled. Commentators were divided on FRA's suggestion to retain
copies until the end of the work assignment, and uniformly opposed
retention for seven work days after completion of the work assignment.
Railtex, for example, commented that a seven day retention period would
be unenforceable, but supported retaining copies of mandatory
directives for the duration of the crews' work assignment. AAR, ASLRRA,
and BMWE, on the other hand, commented that retaining mandatory
directives beyond their effective period could lead to confusion as to
which directives had been fulfilled and which remained active, and that
marking fulfilled directives with an ``X'' or in accordance with
railroad operating rules would be sufficient. ASLRRA added that FRA's
Roadway Worker Protection regulations require retention only until the
directive has been fulfilled or canceled.
After considering this issue further, FRA continues to believe that
those employees responsible for ensuring that mandatory directives are
read and understood, namely engineers and conductors, should be
required to retain their copies for the duration of the work assignment
and mark copies of directives that have been fulfilled or canceled with
an ``X'' or in accordance with the railroad's operating rules and this
final rule so provides. Inspecting retained copies will enable
railroads and FRA to monitor and ensure that all mandatory directives
are correctly copied, read, and understood before being acted upon by
those with a need to know.
FRA agrees, however, that these part's retention requirements
should be consistent with those in Part 214 for employees responsible
for on-track safety. To avoid potential confusion, in
Sec. 220.61(b)(5)(ii) the final rule requires the employee responsible
for on-track safety to retain a copy of the mandatory directive while
it is in effect, the same retention period required for a copy of
authority for exclusive track occupancy under Sec. 214.321. Copies of
fulfilled or canceled directives need not be marked because of their
anticipated short retention time.
Other comments
In addition, FRA received some comments that did not address
specific sections of the NPRM or the five issues discussed above.
BLE suggested that each working radio should be equipped with a
hand held microphone and speaker, to allow the engineer greater range
of vision and movement while operating the controls of the locomotive,
and to screen out interference and background noise. Communication
equipment design specifications is a significant issue that was not
considered by the Working Group, and consequently is not within the
scope of the NPRM. FRA will therefore defer resolution of this issue to
future rulemakings.
BLE SEPTA made several comments specific to SEPTA's predominantly
short train operations. BLE SEPTA expressed concern that on two car
trains any interference with the primary radio would also block the
redundant radio because of the short distance between radios. Since
SEPTA engineers often operate multiple unit cars with dual operating
compartments separated by a passenger compartment, BLE SEPTA also
suggested requiring the redundant working wireless communication to be
located in the operating compartment of the controlling locomotive to
ensure access by the engineer. While FRA believes that such equipment
should be located in the back of the consist, where it would be better
protected and available for emergency notification in the event of a
frontal impact, the final rule does not specify where redundant
communication equipment should be placed in a train. BLE SEPTA would
also require voice tests for each radio frequency used during the
train's tour and for each instance where a train proceeds after an
interruption of power. Implicit in the working radio definition,
however, is the presumption that the radio works on all relevant
channels. This communications capability should not be affected by a
change in radio frequency or an interruption of power.
BLE SEPTA also recommended that FRA prohibit the use of radio to
transmit public service announcements and promotional information to
the crew for conveyance to passengers. FRA agrees that radio channels
should not be used for non-essential broadcasts, but has not included
this prohibition since it is already included in many railroad
operating rules, such as NORAC Rule 709, which prohibits broadcast of
unnecessary, irrelevant, or unidentified information. An additional BLE
SEPTA comment concerning incomplete
[[Page 47187]]
transmissions is discussed in Sec. 220.45 below.
Finally, referring to appendix B's Recommended Pronunciation of
Numerals, DMIR stated that the number ``0'' should be spoken as
``zero,'' not ``0;'' and that ``1600'' should be ``wun six hundred''
not ``wun six thousand.'' FRA appreciates DMIR noting these long-
standing errors, and has corrected them in this rule.
Effective Dates
As proposed, this final rule becomes effective 120 days after
publication to allow all railroads four months to implement the new
streamlined procedures, which should not require extensive investment
or retraining. Since the timetable for implementation is, of course,
determined by the issuance date of this final rule, FRA is extending
the proposed implementation dates for Secs. 220.9 and 220.11 an
additional nine months to allow both large and small railroads
sufficient time for equipment purchase. Thus, Secs. 220.9 and 220.11
apply July 1, 1999 for railroads providing commuter service in a
metropolitan or suburban area, railroads providing intercity passenger
service, and railroads with 400,000 or more annual employee work hours
in 1997. Since small railroads are allowed an additional year for
capital investment, Secs. 220.9 and 220.11 apply July 1, 2000 for
railroads with fewer than 400,000 annual employee work hours in 1997.
As mentioned above, this part is retitled to reflect its coverage
of other means of wireless communications such as cellular telephones
and data radio terminals. The section-by-section analysis discusses the
remaining amendments to Part 220.
SECTION-BY-SECTION ANALYSIS
Subpart A-General
Section 220.1 Scope
As proposed, FRA expands the scope of this part to allow for newer
forms of technology already in use. For this reason, FRA changes the
phrase ``radio communications'' to ``wireless communications'' and adds
definitions for ``working radio'' and ``working wireless
communications'' to this part.
Section 220.2 Preemptive Effect
This new section parallels the preemption language in 49 U.S.C.
Sec. 20106.
Section 220.3 Application
This section is unchanged.
Section 220.5 Definitions
Throughout this rule, FRA substitutes ``locomotive,'' which also
includes cab cars and MU units, wherever the term ``engine'' appeared.
Also, as mentioned above, FRA changes the term ``gang'' to ``group''
when referring to roadway workers, to be consistent with FRA's Roadway
Worker Protection regulations.
Unless otherwise noted, the following definitions are adopted as
proposed.
Adjacent tracks. This definition, taken from FRA's Roadway Worker
Protection regulations (see below), means two or more tracks with track
centers spaced less than 25 feet apart.
Control center. By control center, FRA means the locations from
which a railroad issues instructions governing its operations.
Employee. In 1992, the Rail Safety Enforcement and Review Act
(RSERA) clarified that FRA's safety jurisdiction extends to all
entities, including contractors and their employees, that may violate
the railroad safety laws. FRA has therefore amended this definition to
include contractors and their employees, and any individuals authorized
by railroads who use radios, or any other form of wireless
communications in connection with railroad operations.
Immediate access. This term, discussed in the preamble of the NPRM,
is now added to the definitions section. Immediate access to a radio
means that a radio is either on the employee's person, or sufficiently
close to the employee to allow the employee to make and receive radio
transmissions.
Joint operations. This term means rail operations conducted by more
than one railroad on the tracks of a railroad with 400,000 or more
annual employee work hours, except as necessary for the purposes of
interchange.
Locomotive. This term is taken from FRA's Railroad Locomotive
Safety Standards (49 CFR Part 229).
Lone worker. For consistency, this definition and terms that cross-
reference roadway worker protection throughout this document are taken
from the Roadway Worker Protection regulations.
Mandatory directive. In this part, FRA replaces the term ``train
order'' with ``mandatory directive,'' which conveys the same meaning as
the traditional train order, but refers specifically to speed
restrictions and movement authorities such as track warrants, Form D's,
and DTC (Direct Train Control) authorities. Excluded from this
definition are verbal instructions that are advisory in nature and
typically involve imminent conditions, such as verbal permission to:
pass a block or interlocking signal indicating stop; open a main track
switch and enter the main track in interlocking limits or in CTC
(Centralized Traffic Control) territory; move with the current of
traffic in Rule 251 territory; make a reverse movement within the
limits of the same block, pass a stop sign or red flag and enter
working limits; and obtain foul time. Verbal warnings of obstructions
or trespassers on or along the right-of-way, or instructions to stop a
train due to an imminent danger, are also excluded. All of these
instructions must be repeated as prescribed in Sec. 220.33(b), but need
not be copied since the crew will shortly act upon the information
conveyed. Copying requirements are addressed further in the discussion
of Sec. 220.33.
Railroad operation. This definition substitutes ``locomotive'' for
``engine,'' and makes an editorial change from ``single'' to
``singly.''
Roadway worker. This definition, taken from FRA's Roadway Worker
Protection regulations, means any employee of a railroad, or of a
contractor to a railroad, whose duties include inspection,
construction, maintenance or repair of railroad track, bridges,
roadway, signal, and communication systems, electrical traction
systems, roadway facilities or roadway maintenance machinery on or near
track or with the potential of fouling a track, and flagmen and
switchman/lookouts.
Train. Any railroad operation subject to the air brake testing
requirements of FRA's regulations on Railroad Power Brakes and Drawbars
(49 CFR Part 232) is considered a train for purposes of this rule. This
includes transfer trains, but not switching operations, or the assembly
and disassembly of rail cars within a railroad yard, since these
operations do not require an air test.
Working radio. A working radio is one with an adequate power
source, free of mechanical malfunctions, that can both transmit and
receive communications to and from the railroad's control center from
any location within the rail system (through repeater stations, if
necessary), with certain exceptions noted below. In the case of joint
operations on another railroad, the radio must also be able to reach
the control center of the host railroad.
A radio satisfies this definition even if there are localized dead
spots (such as a tunnel) within a territory and even if temporary
fluctuations or interference from weather or terrain occur. (It should
be noted, however, that under Sec. 220.45 of this part, any
communications which are not fully understood or properly completed may
not be acted upon and must be treated as if not sent.) Railroads must
maintain the communications
[[Page 47188]]
capability to broadcast in all territory over which they operate,
however.
Working wireless communications. With the exceptions noted, the
final rule requires communications redundancy to compensate for radio
communication failures due to interference, equipment failure,
transmission difficulties and other problems which will occur with even
the most advanced equipment. This term means the capability to
communicate with either a control center or emergency responder of the
railroad through a radio, portable radio, cellular telephone, or other
means of two-way communication from locations within the rail system.
(Emergency responder in this part means a member of a police or fire
department, or other organization involved with public safety charged
with providing or coordinating emergency services, who responds to a
passenger or freight train emergency. See FRA's Passenger Train
Emergency Preparedness regulations for additional discussion of this
term.)
Section 220.7 Penalty
As discussed above, the RSERA expanded coverage of FRA's
regulations to include contractors and their employees. FRA therefore
amends this section to clarify that this part applies not only to
railroads but also to any other entity that may violate this part,
including independent contractors who provide goods and services to
railroads and the employees of such contractors. Thus, any person
authorized by a railroad to use its wireless communications facilities
must comply with Part 220 procedures, regardless of whether the person
has a direct employment relationship with the railroad.
The Federal Civil Penalties Inflation Adjustment Act of 1990 (Pub.
L. 101-410 194 Stat. 890, 28 U.S.C. 2461 note, as amended by the Debt
Collection Improvement Act of 1996, Pub. L. 104-134, April 26, 1996),
required agencies to adjust the maximum civil monetary penalties within
their jurisdiction for inflation. FRA determined the resulting $11,000
and $22,000 maximum penalties in this part by applying the criteria set
forth in sections 4 and 5 of the statute to the maximum penalties
otherwise provided for in the Federal railroad safety laws.
Additionally, the minimum penalty for violations of this part is now
$500, as required by the RSERA.
Section 220.8 Waivers
This new section adopts by reference the procedures in Subpart C of
49 CFR Part 211 (Rules of Practice) for petitioning for a waiver from
compliance with the requirements of this part.
Section 220.9 Requirements for Trains
Paragraph (a): As discussed above in the section summarizing the
communications equipment requirements for trains, large railroads must
equip all trains with a working radio in the controlling locomotive and
with a back-up means of wireless communications. This requirement
applies to both freight and passenger operations.
The controlling locomotive must be equipped with a working radio
only when the locomotive is occupied by an assigned train crew and the
train is involved in railroad operations. To allow for possible radio
failure en route, the train must also have a form of working wireless
communications upon departure from a terminal. As required in
Secs. 220.37 and 220.38, all required communication devices must be
tested prior to the commencement of a work assignment, and removed from
service if found not to be functioning as intended. Wireless
communications must be able to reach the railroad's control center or
an emergency responder.
Paragraph (b): As discussed above, small railroads have to meet the
same heightened communication equipment standards as large railroads
when operating passenger trains. Thus, all passenger trains, regardless
of the size of the operating railroad, have to be equipped with both a
working radio in the occupied controlling locomotive and with redundant
working wireless communication equipment.
For freight trains, the communication requirements are determined
by two factors: train operating speed, and extent of joint operations.
If a freight train operates at greater than 25 miles per hour, or
engages in joint operations on track where the maximum authorized speed
for freight trains is greater than 25 miles per hour, the train must be
equipped with a working radio in the occupied controlling locomotive.
Similarly, a freight train engaged in joint operations on track that is
adjacent to and within 30 feet measured between track center lines of
another track on which the maximum authorized speed for passenger
trains is greater than 40 miles per hour, must also be equipped with a
working radio in the occupied controlling locomotive. When any of the
operating conditions described above are met, the freight train crew
must have a working radio to enable them to communicate with the host
railroad's control center and the other trains on the host railroad.
The term ``within 30 feet of another track center,'' a criteria
used in FRA's exercise of jurisdiction over tourist railroads, and also
in the excepted track definition in FRA's Track Safety Standards (49
CFR Part 213), defines when a railroad operates sufficiently close to
passenger train operations to create the potential for interference.
This requirement ensures that all freight trains operating in close
parallel proximity to passenger trains are equipped with radios.
A train that engages in joint operations on track where the maximum
authorized speed for freight trains is 25 miles per hour or less is
required to have working wireless communications, but not a working
radio in the occupied controlling locomotive. A train that transports
hazardous materials must also have working wireless communications even
if it does not transport passengers or engage in joint operations. No
communication equipment is required if a train does not transport
passengers or hazardous material, and does not engage in joint
operations or operate at greater than 25 miles per hour.
Section 220.11 Requirements for Roadway Workers
As proposed, large railroads must provide a working radio on
maintenance-of-way equipment moving to or from a work location, or
between multiple work locations on the same day, to enable the roadway
work group to contact the control center in the event of an emergency
when traveling. A unit of equipment traveling alone must also be radio
equipped. A small railroad is exempted if its trains do not operate in
excess of 25 miles per hour. Several commentators noted areas in which
the preamble discussion of this section differed from the proposed rule
text; these are clarified below.
Paragraph (a)(1): BMWE alerted FRA that the preamble discussion of
this paragraph could be read as being more encompassing than the
proposed rule text. In the NPRM's preamble, FRA stated that ``[i]f
several maintenance-of-way units are physically separated, only one
unit would have to be equipped with a working radio, provided that all
of the units are under the control of the same employee (emphasis
added),'' while the rule text referred to multiple pieces of
maintenance-of-way equipment traveling together under the same movement
authority. As BMWE noted, the term ``under the control of the same
employee'' could vary from railroad to railroad. FRA agrees that the
preamble misstated the intent of the Working Group, which was to ensure
[[Page 47189]]
that multiple pieces of maintenance-of-way equipment traveling together
under the same movement authority be able to communicate with the
control center.
Additionally, AAR, APTA and UP all correctly pointed out that the
preamble discussion of intra-group communications was overly
restrictive when it twice referred to a requirement for maintenance-of-
way intra-group wireless communications capability, since the proposed
rule text only required maintenance-of-way equipment to have intra-
group communications capability with each other. Under the final rule
alternatives to wireless communications, such as horns, hand signals,
and amplified voice systems are acceptable means of intra-group
communications.
Paragraph (b): Access to a working radio is determined by function,
with two categories of roadway workers, the employee responsible for
on-track safety of a roadway work group, and the lone worker, required
to have access to a working radio. Both categories have analogous
communication needs, since in each case, the employee is responsible
for providing protection, either for an entire roadway group, or for
him or herself.
As discussed above, large railroads must provide each employee
responsible for on-track safety and each lone worker with access to a
working radio, and with a portable radio whenever immediate access to
the working radio is unavailable. Small railroads have the option of
providing access to either a working radio or working wireless
communications.
Paragraph (c)(2): As proposed, a railroad, regardless of size, is
not required to provide communication equipment whenever the work
location of the roadway work group or lone worker is physically
inaccessible to trains, or has no through or adjacent track traffic
when roadway workers are present.
BMWE suggested narrowing this proposed exclusion by requiring the
conditions in both (i) and (ii) to be present, to ensure communications
capability whenever rail traffic is expected on tracks adjacent to work
locations protected in accordance with the inaccessible track
requirements of Part 214. By changing the underlined ``or'' to ``and,''
BMWE would require physically inaccessible locations to have
communications capability to protect against traffic on adjacent tracks
not within the limits described in Sec. 220.11(c)(2)(i).
Although most short lines are single track operations, a double
track railroad could not operate on either track if it wished to
qualify for BMWE's proposed exclusion. To address BMWE's concerns and
be compatible with FRA's Roadway Worker Protection regulations, FRA
instead incorporates Part 214's adjacent tracks definition, two or more
tracks with track centers spaced less than 25 feet apart, into
Sec. 220.11(c)(2)(ii). By doing so, FRA requires railroads not exempt
under Sec. 220.11(c)(1) to provide access to a working radio to a
employee responsible for on-track safety or lone worker whenever there
is adjacent traffic within 25 feet of their work location.
Section 220.13 Reporting Emergencies
Paragraphs (a)-(c): In this new section, FRA proposed to require an
employee to use the quickest means of communications available to
notify the control center before undertaking other forms of emergency
response, such as medical treatment or evacuation, to ensure that
properly trained and equipped personnel respond to the scene as quickly
as possible. While agreeing that an employee should use the quickest
means available to notify the railroad, BMWE suggested that the on-site
employee should be allowed discretion to determine the priorities in an
emergency (e.g., by choosing to render medical attention before
notifying the railroad). Although FRA agrees that an emergency may
occasionally require immediate action prior to notification, as a
general rule, on-site employees should not undertake responsive action
without sufficient information and proper training. Requiring
notification to be the first priority facilitates the quick arrival of
professional emergency response personnel in situations when the right
actions and reactions are critical.
The employee should follow the emergency radio transmission
procedures in Sec. 220.47 of this part when using a radio, or the
procedures specified in the railroad's timetable or timetable special
instructions when using another means of wireless communications. This
section also includes language on emergency procedures originally
contained in Sec. 220.47(a).
Paragraph (d): FRA adds this paragraph to require an alternative
means of emergency reporting whenever railroad operations are conducted
while the control center is unattended or unable to receive radio
transmissions. For example, a railroad may provide its employees with
cellular telephones or portable radios with a dedicated police channel
in lieu of maintaining 24-hour control center staffing to handle after
hours emergencies. In such scenarios, employees would then have the
capability to inform the staffed operating center of another railroad
or to contact emergency responders directly. FRA anticipates that this
added flexibility will primarily benefit medium-sized railroads, since
many small railroads already rely on cellular telephones for emergency
notification and large railroads staff their control centers around the
clock.
Subpart B--Radio and Wireless Communication Procedures
FRA retitles Subpart B to make clear that the definition for
working wireless communications, like that for working radio, requires
that communications equipment be tested and in working condition before
a work assignment commences. Both wireless communication and radio
equipment are covered by Secs. 220.37 and 220.38; section titles in
this Subpart that apply only to radio operations have accordingly been
retitled to reflect that fact.
Section 220.21 Railroad Operating Rules; Radio Communications;
Recordkeeping
FRA deletes the implementation dates from this section since these
references are no longer necessary.
Paragraph (b): FRA received no comments on its proposed editorial
changes, which are incorporated into this final rule.
Paragraph (c): FRA retains the carrier classifications (Class I,
II, and III railroads) created by the former Interstate Commerce
Commission (ICC) and retained unchanged by the ICC's successor, the
Surface Transportation Board.
Section 220.23 Publication of Radio Information
FRA received no comments on its proposed editorial changes, which
are incorporated into this final rule.
Section 220.25 Instruction and Operational Testing of Employees
Paragraph (c): This paragraph requires a railroad to test employees
authorized to use a radio for railroad operations on the procedures in
this part. The railroad shall administer radio procedure tests in
accordance with its written program of operational tests and
inspections filed under Sec. 217.9 (Railroad Operating Rules, 49 CFR
Part 217), and in conjunction with mandatory periodic operating rules
tests.
Section 220.27 Identification
Paragraph (a): FRA combines paragraphs (a)(2) and (a)(3), and
deletes
[[Page 47190]]
paragraph (a)(3)'s requirement for an employee (usually the dispatcher)
to identify the location of the station from which the employee is
broadcasting, for those railroads that use central or regional
dispatching, with a uniquely designated station for each dispatching
system. If a station does not have a unique designation, both the
station's name and location should continue to be stated.
Paragraph (b): FRA received no comments on its proposed editorial
changes, which are incorporated into this final rule.
Section 220.29 Statement of Letters and Numbers in Radio Communications
This section is retitled to limit its applicability to radio
communications.
Paragraph (b): FRA received no comments on its proposed editorial
changes, which are incorporated into this final rule.
Paragraph (c): This paragraph is amended to provide that a decimal
point may also be indicated by the use of the words ``dot,'' or
``point,'' in addition to ``decimal.''
Section 220.31 Initiating a Radio Transmission
This section is retitled to limit its applicability to radio
communications. FRA had asked for comment on whether to change its
current order of identification, which requires the caller to identify
him or herself before identifying the intended receiver, to the reverse
order, with the caller first identifying who he or she seeks to
contact, and then identifying him or herself. FRA received no comments
on this proposal, and accordingly retains its current order of
identification.
Section 220.33 Receiving a Radio Transmission
This section is retitled to limit its applicability to radio
communications.
Paragraph (a): FRA adopts a proposed change which clarifies that an
employee need not monitor the radio when other immediate duties
intervene, but must resume monitoring once those circumstances are
over.
Paragraphs (b) and (c): FRA deletes paragraph (b) since it is made
redundant by paragraph (a), and redesignates current paragraph (c) as
paragraph (b).
As discussed above, unless required by a railroad's operating
rules, a railroad employee does not have to copy advisory instructions,
since the train either already possesses authority to occupy the main
track by signal indication, or through the railroad's operating rules.
Similarly, advisory information on conditions ahead such as trespassers
or debris on track also involves imminent conditions that often change
by the time the next train passes by. While these short-term
instructions must be repeated, they need not be copied since they will
soon be acted upon. (In non-signaled territory, in contrast, occupying
or fouling a main track typically requires written initial movement
authority from the train dispatcher or control operator.)
On the other hand, copying is necessary when an order will be acted
upon later, or is of a long-term nature. In such instances, FRA
believes that an employee must have a written reference to avoid the
risk that the employee may later rely on a faulty recollection of the
instruction.
Paragraph (b)(1): FRA received no responses to its request for
comments on whether to continue requiring communications to be repeated
in switching operations. Therefore, FRA leaves this section unchanged.
As before, communications involving yard switching operations do not
have to be repeated back to the transmitting party, since switching in
yards often requires the rapid exchange of information being acted upon
in real time, and the higher volume of operations in yards contributes
to greater congestion on yard channels.
Section 220.35 Ending a Radio Transmission
This section is retitled to limit its applicability to radio
communications. As discussed above, use of ``over'' and ``out'' is no
longer required in yard switching transmissions, because of their high
volume and the need to keep phrasing as terse as possible in light of
the real time decision making for which the information is employed.
For all other radio transmissions, use of ``over'' and ``out''
continues to be required to ensure that employees act on complete
information and do not inadvertently interrupt transmissions already in
progress.
Section 220.37 Testing Radio and Wireless Communication Equipment
As discussed above, this section is retitled and expanded in scope
to cover testing of all the communication equipment required by
Secs. 220.9 and 220.11.
Paragraph (a): As proposed, FRA substitutes ``as soon as
practicable'' for ``at least once during each tour of duty,'' to
require the crew to perform a voice test at the start of their tour
rather than at any point during their trip, thus enabling the crew to
learn before they first need to use the radio whether it works properly
or needs to be replaced. BMWE noted that the NPRM preamble discussion
implied that the requirement to perform such voice tests is limited to
the engineer and conductor, when in fact the rule requires all
employees who use wireless communications equipment to perform voice
tests as soon as practicable.
DMIR, however, felt that requiring voice testing for ``all workers
using radios'' is unnecessary and would also require recordkeeping. As
mentioned above, FRA has always required voice testing; FRA is
modifying and expanding this requirement to ensure that employees have
access to working wireless communications equipment before beginning
their work assignments. FRA has not previously required recordkeeping
of voice tests, and does not do so in this rule.
Also as proposed, FRA deletes the phrase ``outside yard limits'' to
ensure that a voice test is conducted even when a train does not leave
yard limits, and the phrase ``where the train is made up'' to make
clear that at each intermediate crew change point, the new crew must
perform a voice test at the start of their tour.
Paragraphs (b) and (c): Existing paragraphs (b) and (c) are
deleted, since these requirements would be covered in proposed
Sec. 220.38, discussed below. A new paragraph (b) is added requiring
that the test of a radio shall consist of voice transmissions with
another radio, with the employee receiving the transmission advising
the employee conducting the test of the clarity of the transmission.
Section 220.38 Communication Equipment Failure
This new section addresses failure of the communication equipment
required by Secs. 220.9 and 220.11.
Paragraph (a): If a radio or wireless communication device failure
occurs, the employee is required to notify the proper authorities. In
addition, FRA now requires inoperative radios and inoperative mandatory
wireless communication equipment to be removed from service upon
discovery.
Paragraph (b): As proposed, if a radio or wireless communication
device fails en route, the controlling locomotive may proceed until the
earlier of the next calendar day inspection or the nearest repair point
where the equipment could be repaired or replaced. The movements
allowed for communication equipment repair in paragraph (b) are taken
from Sec. 229.9(b) of FRA's Railroad Locomotive Safety Standards, which
specifies the movements allowed for repair of non-complying
locomotives.
[[Page 47191]]
In the NPRM, FRA asked for comment on whether, to encourage prompt
replacement of failed radios, the final rule should expressly provide
that placement of one or more radios on locomotives at a particular
location does not constitute that location as a ``repair point.'' Both
UP and AAR agreed with this suggested guidance, which FRA will employ
as a rule of reason to encourage railroads to replace failed radios as
soon as feasible with a reasonable deployment of equipment. (FRA
anticipates that failed radios will usually be replaced and not
repaired, since the capability to repair these solid state units is
normally available only at central shops or the manufacturer). Thus,
FRA will not consider a location to be a designated repair point merely
because the railroad voluntarily makes or has made repairs there.
Section 220.39 Continuous Radio Monitoring
This section is retitled to limit its applicability to radio
communications. FRA received no comments on its proposed editorial
changes, which are incorporated into this final rule.
Section 220.41 Notification on Failure of Radio
FRA removes and reserves this section since it is made redundant by
Sec. 220.38, discussed above, which also addresses radio and equipment
failures. In its comments, Conrail correctly noted that the proposed
removal of this section would require the removal of its corresponding
penalty. Accordingly, FRA also removes the penalty for this section
from the penalty schedule.
Section 220.43 Radio Communications Consistent With Federal Regulations
and Railroad Operating Rules
This section is retitled to limit its applicability to radio
communications, and reworded, to make clear that radio communications
must be in compliance with this part, FCC regulations, and railroad
operating rules.
Section 220.45 Radio Communications Shall Be Complete
This section is retitled to limit its applicability to radio
communications, but is otherwise unchanged. BLE SEPTA suggested that
employees should be required to comply with the more restrictive
condition whenever an incomplete communication may contain a more
restrictive operating condition, until communications have been
reestablished. FRA believes that requiring employees not to act upon
incomplete communications is safer practice than requiring employees to
speculate and possibly make incorrect assumptions about the content of
unfinished communications.
Section 220.47 Emergency Radio Transmissions
This section is retitled to limit its applicability to radio
communications. As discussed above, since Sec. 220.13(a) now addresses
emergency notification, Sec. 220.47(b) has been deleted. The revised
section continues to require an initial emergency transmission to begin
with the word ``emergency'' repeated three times.
Section 220.49 Radio Communication Used in Shoving, Backing or Pushing
Movements
This section is retitled to limit its applicability to radio
communications, and to make clear that the section applies to back-up
moves only. In addition, the phrase ``in lieu of hand signals'' is
deleted to emphasize that this section applies whenever a radio is
used. To make the section easier to understand, FRA also makes several
editorial changes simplifying its language.
Section 220.51 Radio Communications and Signal Indications
This section is retitled to limit its applicability to radio
communications.
Paragraph (b): As proposed, FRA deletes the phrase ``in automatic
block territory'' to emphasize that the prohibition against conveying
signal indications applies to all types of territory. UP, however,
asked for clarification on whether a dispatcher or control operator
could advise a crew if the indication or aspect of a signal
unexpectedly changed from proceed to stop. UP noted that such warnings
have previously prevented emergencies by providing crews sufficient
notice to stop their trains safely.
In emergency situations, FRA has always allowed signal indications
or aspects to be conveyed on a need to know basis. FRA will continue to
allow such radio communications when necessary to prevent imminent
danger or accidents.
Section 220.61 Radio Transmission of Mandatory Directives
FRA substitutes ``mandatory directive'' for ``train order''
wherever that term appeared and integrates this section, which
addresses the transmission of mandatory directives by radio, into
Subpart B, which covers all radio procedures. The word ``radio'' has
been added to the title of this section. Other than this change, the
section is adopted as proposed with the addition of new retention
requirements. For train crews, the conductor and engineer are required
to retain copies of mandatory directives for the duration of their work
assignments. For on-track equipment, the employee responsible for on-
track safety must retain copies of mandatory directives while they are
in effect.
Appendices
As discussed above, FRA amends appendix B to correct some
longstanding errors in its recommended pronunciation of numerals, and
amends appendix C to delete the penalty for Sec. 220.41, which has been
removed and reserved. FRA also amends appendix C to add penalties for
failure to comply with the communications equipment standards contained
in Secs. 220.9 and 220.11. Also as discussed above, FRA amends the
minimum and maximum penalties for this part in accordance with the
RSERA and the Federal Civil Penalties Inflation Adjustment Act of 1990,
respectively.
Environmental Impact
FRA has evaluated this rule for its potential environmental
impacts, as required by the National Environmental Policy Act (42
U.S.C. 4321 et seq.) and related directives, and determined that it is
a non-major action for environmental purposes.
Federalism Implications
FRA has analyzed this rule in accordance with the principles of
Executive Order 12612 (``Federalism''), and determined that these
amendments to Part 220 do not have sufficient federalism implications
to warrant the preparation of a Federalism Assessment. The fundamental
policy decision providing that Federal regulations should govern
aspects of service provided by municipal and public benefit
corporations (or agencies) of State governments is embodied in the
statute quoted above. To provide reasonable flexibility to State-level
decision making, FRA included commuter authorities as full partners in
the development of this rule.
Regulatory Impact
Executive Order 12866 and DOT Regulatory Policies and Procedures
This rule has been evaluated in accordance with existing policies
and procedures, and been determined to be non-significant under both
Executive Order 12866 and DOT policies and procedures (44 FR 11034;
February 26, 1979). FRA has prepared and placed in the docket a
regulatory analysis addressing the economic impact of the final rule.
Document inspection and
[[Page 47192]]
copying facilities are available at 1120 Vermont Avenue, 7th Floor,
Washington, D.C. Photocopies may also be obtained by submitting a
written request to the FRA Docket Clerk at Office of Chief Counsel,
Federal Railroad Administration, 400 Seventh Street, S.W., Washington,
D.C. 20590.
As part of the regulatory impact analysis FRA has assessed
quantitative measurements of costs and benefits expected from the
adoption of the final rule. Over a twenty year period, the Net Present
Value (NPV) of the estimated quantifiable societal benefits is $57.8
million, and the NPV of the estimated costs is $37.1 million.
The major costs anticipated from adopting this final rule include
the installation of radios in some locomotives; the purchase of
cellular telephones or other forms of wireless communication by smaller
railroads; usage fees for cellular telephones; the installation of
radios in some maintenance-of-way equipment; the purchase of additional
portable radios for roadway work groups and lone workers; training on
radio procedures; maintenance of locomotive and portable radios; and
replacement cellular telephones.
The major benefits anticipated from adopting this final rule
include a reduction in injuries and fatalities to roadway workers; a
reduction in trespasser fatalities; a reduction in the severity of
railroad worker injuries due to quicker emergency response; a reduction
in grade crossing accidents; and a reduction in railroad accidents due
to the improper usage of radios. Additionally, FRA anticipates other
qualitative benefits accruing from this final rule which have not been
factored into the quantified analysis. These include increased
efficiency within the industry and a reduction in hazardous material
spills.
Regulatory Flexibility Act
The Regulatory Flexibility Act of 1980 (5 U.S.C. 601 et seq.)
requires a review of final rules to assess their impact on small
entities. FRA's Regulatory Flexibility Assessment can be found in
Appendix B of the final rule's Regulatory Impact Analysis, located in
the docket.
After consultation with the Office of Advocacy of the Small
Business Administration (SBA), FRA decided to use the delineation of
fewer than 400,000 annual employee hours to define small entities. This
grouping is one that FRA has used in the past (in 49 CFR Parts 217
(Railroad Operating Rules) and 219 (Control of Alcohol and Drug Use))
to define who is subject to reporting requirements. Typically, FRA uses
the Surface Transportation Board's revenue-based classification of
Class III railroads as being representative of small entities. Although
many Class III railroads have fewer than 400,000 annual employee hours,
using 400,000 annual employee hours as the line between small and large
entities is preferable since FRA already maintains a database of
information on railroads below this cut-off. Additionally, defining
small railroads as those with fewer than 400,000 annual employee hours
does not automatically exempt switching and terminal railroads, unlike
the Class III distinction. By using this grouping for small railroads,
FRA captures most small entities that would be defined by the SBA as
small businesses.
FRA certifies that this rule is expected to have a significant
economic impact on a substantial number of small entities.
Approximately 435 small entities will be impacted. However, the actual
burden on most of these railroads will vary because of their different
operating characteristics. There are no small government jurisdictions
affected by this regulation.
Entities that are not subject to this rule include railroads that
do not operate on the ``general railroad system of transportation'' due
to FRA's current exercise of its jurisdiction (See 49 CFR Part 209,
Appendix A). FRA's jurisdictional approach greatly reduces the number
of tourist, scenic, historic, and excursion railroads that are subject
to this rule and its associated burdens. FRA estimates that
approximately 180 small entities will be exempted from the final
requirements of this regulation since they do not operate on the
general system of transportation.
The communication requirements pertaining to locomotives, as set
forth in Sec. 220.9 of this rule, have been designed to minimize their
impact on small railroads. While large railroads are required to have a
working radio and wireless communication redundancy in every train,
small railroads are only required to comply with this standard for
trains used to transport passengers. A radio is required on a freight
train operated by a small railroad only when the train operates at
greater than 25 miles per hour or engages in joint operations on a
large railroad where either the maximum authorized speed for freight
trains exceeds 25 miles per hour on the track being used, or the train
operates on track adjacent to and within 30 feet of another track on
which the maximum speed for passenger trains exceeds 40 miles per hour.
Any form of wireless communication device can be used on a freight
train operated by a small railroad when the train is engaged in joint
operations with a large railroad and the maximum authorized speed on
the track being used is 25 miles per hour or less.
In addition, a wireless communications device is required when a
freight train of a small railroad transports hazardous material that is
required to be placarded under 49 CFR Part 172 (Hazardous Materials)
and does not otherwise fit into one of the above mentioned categories
requiring other types of communications equipment. The flexibility
afforded to small railroads with these alternatives will lessen the
costs imposed on these railroads.
The communications requirements pertaining to roadway workers, as
set forth in Sec. 220.11 of this rule, have been designed to minimize
their impact on small railroads. Section 220.11(a)'s requirement to
equip maintenance-of-way equipment with communications capability upon
arriving at a work site does not apply to small railroads. Under
Sec. 220.11(b), large railroads must provide each employee responsible
for on-track safety and each lone worker with immediate access to a
working radio. However, small railroads can instead provide such
employees with immediate access to working wireless communications.
Small railroads may also be able to avoid any of the communication
equipping requirements of Sec. 220.11 if they meet the exceptions set
forth in Sec. 220.11(c).
Most small railroads will have a low enough volume and train
frequency not to be impacted by the requirements of Sec. 220.11, since
Sec. 220.11(c) exempts small railroads that meet certain specified
conditions. To qualify for an exemption from Sec. 220.11, a small
railroad may not operate a large volume of traffic over a branch line.
Generally, the ability of a railroad to perform track-related
maintenance on track(s) that are taken out of service is inversely
related to the volume and frequency of trains on its branch lines.
Paperwork Statement
The final rule contains new information collection requirements.
The information collection requirements currently contained in 49 CFR
220 were approved by the Office of Management and Budget (OMB) under
OMB approval numbers 2130-0035 and 2130-0524. These information
collection requirements plus the new information collection
requirements resulting from this rulemaking have been submitted to OMB
for approval under the Paperwork Reduction Act of 1995, 44 U.S.C. 3501
[[Page 47193]]
et seq. The sections containing new information collection requirements
are listed below. All estimates include the time for reviewing
instructions; searching existing data sources; gathering or maintaining
the needed data; and reviewing the information.
[[Page 47194]]
------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
Average time per Total annual
CFR section Respondent universe Total annual responses response Total annual burden hours burden cost
------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
220.8--Waivers........................ 680 railroads............ 2 letters................ 1 hour.................. 2 hours $50
220.13--Reporting emergencies......... 680 railroads............ N/A...................... Usual & Customary N/A N/A
Practice.
*220.21--Railroad operating rules; 680 railroads............ N/A...................... Approved under # 2130- N/A N/A
radio communication; recordkeeping. 0035.
220.23--Publication of radio 680 railroads............ N/A...................... Usual and Customary N/A N/A
information. Procedure.
*220.25--Instruction and operational N/A...................... N/A...................... Approved under # 2130- N/A/ N/A
testing of employees. 0035.
Instruction--1st Yr............... 680 railroads............ 15,000 instr. sessions... 30 minutes.............. 7,500 hours 187,500
Instruction--Subseq. Yrs.......... 680 railroads............ 1,000 instr. sessions.... 30 minutes.............. 500 hours 12,500
Periodic operational testing--new 680 railroads............ 33,333 tests............. 15 minutes.............. 8,333 hours 208,325
requirement.
220.27--Identification................ N/A...................... N/A...................... Usual and Customary N/A N/A
Procedure.
220.31--Initiating a radio N/A...................... N/A...................... Usual and Customary N/A N/A
transmission--identification. Procedure.
220.33--Receiving a radio N/A...................... N/A...................... Usual and Customary N/A N/A
transmission--acknowledgment. Procedure.
220.35--Ending a radio transmission... N/A...................... N/A...................... Usual and Customary N/A N/A
Procedure.
220.37--Testing radio and wireless 680 railroads............ 780,000 tests............ 30 seconds.............. 6,500 hours 162,500
communication equipment.
220.38--Communication equipment N/A...................... N/A...................... Usual and Customary N/A N/A
failure--notification. Procedure.
220.47--Emergency radio transmission.. N/A...................... N/A...................... Usual and Customary N/A N/A
Procedure.
220.61--Transmission of mandatory ......................... ......................... ........................ ........................................................ ..............
directives.
Copying and repeating of mandatory 680 railroads............ 7,200,000 directives..... 1.5 minutes............. 180,000 hours 5,400,000
directive.
Train crews--marking with an X 680 railroads............ 624,000 marks............ 15 seconds.............. 2,600 hours $65,000
mandatory directives fulfilled or
cancelled.
------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
[[Page 47195]]
FRA cannot impose a penalty on persons for violating information
collection requirements which do not display a current OMB control
number, if required. FRA will obtain current OMB control numbers for
any information collection requirements resulting from this rulemaking
action prior to the effective date of the final rule. The valid OMB
control number for this information collection is 2130-0524.
List of Subjects in 49 CFR Part 220
Communications, Railroad.
Accordingly, for the reasons stated in the preamble, FRA revises 49
CFR part 220 to read as follows:
PART 220 --RAILROAD COMMUNICATIONS
Subpart A--General
Sec.
220.1 Scope.
220.2 Preemptive effect.
220.3 Application.
220.5 Definitions.
220.7 Penalty.
220.8 Waivers.
220.9 Requirements for trains.
220.11 Requirements for roadway workers.
220.13 Reporting emergencies.
Subpart B--Radio and Wireless Communication Procedures
220.21 Railroad operating rules; radio communications;
recordkeeping.
220.23 Publication of radio information.
220.25 Instruction and operational testing of employees.
220.27 Identification.
220.29 Statement of letters and numbers in radio communications.
220.31 Initiating a radio transmission.
220.33 Receiving a radio transmission.
220.35 Ending a radio transmission.
220.37 Testing radio and wireless communication equipment.
220.38 Communication equipment failure.
220.39 Continuous radio monitoring.
220.41 [Reserved].
220.43 Radio communications consistent with federal regulations and
railroad operating rules.
220.45 Radio communication shall be complete.
220.47 Emergency radio transmissions.
220.49 Radio communication used in shoving, backing or pushing
movements.
220.51 Radio communications and signal indications.
220.61 Transmission of mandatory directives.
Appendix A to Part 220--Recommended Phonetic Alphabet
Appendix B to Part 220--Recommended Pronunciation of Numerals
Appendix C to Part 220--Schedule of Civil Penalties
(Authority: 49 U.S.C. 20103, 20107, 21301, 21304, 21311 (1994);
and 49 CFR 1.49.)
Subpart A--General
Sec. 220.1 Scope.
This part prescribes minimum requirements governing the use of
wireless communications in connection with railroad operations. So long
as these minimum requirements are met, railroads may adopt additional
or more stringent requirements.
Sec. 220.2 Preemptive effect.
Under 49 U.S.C. 20106 (formerly section 205 of the Federal Railroad
Safety Act of 1970, 45 U.S.C. 434), issuance of the regulations in this
part preempts any State law, rule, regulation, order, or standard
covering the same subject matter, except a provision necessary to
eliminate or reduce an essentially local safety hazard that is not
incompatible with this part and that does not unreasonably burden
interstate commerce.
Sec. 220.3 Application.
(a) Except as provided in paragraph (b) of this section, this part
applies to railroads that operate trains or other rolling equipment on
standard gage track which is part of the general railroad system of
transportation.
(b) This part does not apply to:
(1) A railroad that operates only on track inside an installation
which is not part of the general railroad system of transportation; or
(2) Rapid transit operations in an urban area that are not
connected with the general railroad system of transportation.
Sec. 220.5 Definitions.
As used in this part, the term:
Adjacent tracks means two or more tracks with track centers spaced
less than 25 feet apart.
Control center means the locations on a railroad from which the
railroad issues instructions governing railroad operations.
Division headquarters means the location designated by the railroad
where a high-level operating manager (e.g., a superintendent, division
manager, or equivalent), who has jurisdiction over a portion of the
railroad, has an office.
Employee means an individual who is engaged or compensated by a
railroad or by a contractor to a railroad, who is authorized by a
railroad to use its wireless communications in connection with railroad
operations.
Immediate access to a radio means a radio on the employee's person,
or sufficiently close to the employee to allow the employee to make and
receive radio transmissions.
Joint operations means rail operations conducted by more than one
railroad on the track of a railroad subject to the requirements of
Sec. 220.9(a), except as necessary for the purpose of interchange.
Locomotive means a piece of on-track equipment other than hi-rail,
specialized maintenance, or other similar equipment--
(1) With one or more propelling motors designed for moving other
equipment;
(2) With one or more propelling motors designed to carry freight or
passenger traffic, or both; or
(3) Without propelling motors but with one or more control stands.
Lone worker means an individual roadway worker who is not being
afforded on-track safety by another roadway worker, who is not a member
of a roadway work group, and who is not engaged in a common task with
another roadway worker.
Mandatory directive means any movement authority or speed
restriction that affects a railroad operation.
Railroad operation means any activity which affects the movement of
a train, locomotive, on-track equipment, or track motor car, singly or
in combination with other equipment, on the track of a railroad.
Roadway worker means any employee of a railroad, or of a contractor
to a railroad, whose duties include inspection, construction,
maintenance or repair of railroad track, bridges, roadway, signal and
communication systems, electric traction systems, roadway facilities or
roadway maintenance machinery on or near track or with the potential of
fouling a track, and flagmen and watchmen/lookouts.
System headquarters means the location designated by the railroad
as the general office for the railroad system.
Train means one or more locomotives coupled with or without cars,
requiring an air brake test in accordance with 49 CFR part 232, except
during switching operations or where the operation is that of
classifying and assembling rail cars within a railroad yard for the
purpose of making or breaking up trains.
Working radio means a radio that can communicate with the control
center of the railroad (through repeater stations, if necessary to
reach the center) from any location within the rail system, except:
(1) Tunnels or other localized places of extreme topography, and
(2) Temporary lapses of coverage due to atmospheric or topographic
conditions. In the case of joint operations on another railroad, the
radio
[[Page 47196]]
must be able to reach the control center of the host railroad.
Working wireless communications means the capability to communicate
with either a control center or the emergency responder of a railroad
through such means as radio, portable radio, cellular telephone, or
other means of two-way communication, from any location within the rail
system, except:
(1) Tunnels or other localized places of extreme topography, and
(2) Temporary lapses of coverage due to atmospheric or topographic
conditions. In the case of joint operations on another railroad, the
radio must be able to reach the control center of the host railroad.
Sec. 220.7 Penalty.
Any person (including but not limited to a railroad; any manager,
supervisor, official, or other employee or agent of a railroad; any
owner, manufacturer, lessor, or lessee of railroad equipment, track, or
facilities; any independent contractor providing goods or services to a
railroad; and any employee of such owner, manufacturer, lessor, lessee,
or independent contractor) who violates any requirement of this part or
causes the violation of any such requirement is subject to a civil
penalty of at least $500 and not more than $11,000 per violation,
except that: Penalties may be assessed against individuals only for
willful violations; where a grossly negligent violation or a pattern of
repeated violations has created an imminent hazard of death or injury,
or has caused death or injury, a penalty not to exceed $22,000 per
violation may be assessed; and the standard of liability for a railroad
will vary depending upon the requirement involved. Each day a violation
continues shall constitute a separate offense. (See appendix C to this
part for a statement of agency civil penalty policy.)
Sec. 220.8 Waivers.
(a) Any person subject to a requirement of this part may petition
the Administrator for a waiver of compliance with such requirement. The
filing of such a petition does not affect that person's responsibility
for compliance with that requirement while the petition is being
considered.
(b) Each petition for waiver must be filed in the manner and
contain the information required by part 211 of this chapter.
(c) If the Administrator finds that a waiver of compliance is in
the public interest and is consistent with railroad safety, the
Administrator may grant the waiver subject to any conditions the
Administrator deems necessary.
Sec. 220.9 Requirements for trains.
(a) Except as provided for in paragraphs (b)(1) through (4) of this
section, on and after July 1, 1999, each occupied controlling
locomotive in a train shall have a working radio, and each train shall
also have communications redundancy. For purposes of this section,
``communications redundancy'' means a working radio on another
locomotive in the consist or other means of working wireless
communications.
(b) On and after July 1, 2000, the following requirements apply to
a railroad that has fewer than 400,000 annual employee work hours:
(1) Any train that transports passengers shall be equipped with a
working radio in the occupied controlling locomotive and with redundant
working wireless communications capability in the same manner as
provided in paragraph (a) of this section.
(2) Any train that operates at greater than 25 miles per hour; or
engages in joint operations on track where the maximum authorized speed
for freight trains exceeds 25 miles per hour; or engages in joint
operations on a track that is adjacent to and within 30 feet measured
between track center lines of another track on which the maximum
authorized speed for passenger trains exceeds 40 miles per hour, shall
be equipped with a working radio in the occupied controlling
locomotive.
(3) Any train that engages in joint operations, where the maximum
authorized speed of the track is 25 miles per hour or less, shall be
equipped with working wireless communications in the occupied
controlling locomotive.
(4) Any train not described in paragraph (b) of this section that
transports hazardous material required to be placarded under the
provisions of part 172 of this title shall be equipped with working
wireless communications in the occupied controlling locomotive.
Sec. 220.11 Requirements for roadway workers.
(a) On and after July 1, 1999, the following requirements apply to
a railroad that has 400,000 or more annual employee work hours:
(1) Maintenance-of-way equipment operating without locomotive
assistance between work locations shall have a working radio on at
least one such unit in each multiple piece of maintenance-of-way
equipment traveling together under the same movement authority. The
operators of each additional piece of maintenance-of-way equipment
shall have communications capability with each other.
(2) Each maintenance-of-way work group shall have intra-group
communications capability upon arriving at a work site.
(b) On and after July 1, 1999, each employee designated by the
employer to provide on-track safety for a roadway work group or groups,
and each lone worker, shall be provided, and where practicable, shall
maintain immediate access to a working radio. When immediate access to
a working radio is not available, the employee responsible for on-track
safety or lone worker shall be equipped with a radio capable of
monitoring transmissions from train movements in the vicinity. A
railroad with fewer than 400,000 annual employee work hours may provide
immediate access to working wireless communications as an alternative
to a working radio.
(c) This section does not apply to:
(1) Railroads which have fewer than 400,000 annual employee work
hours, and which do not operate trains in excess of 25 miles per hour;
or
(2) Railroad operations where the work location of the roadway work
group or lone worker:
(i) Is physically inaccessible to trains; or
(ii) Has no through traffic or traffic on adjacent tracks during
the period when roadway workers will be present.
Sec. 220.13 Reporting emergencies.
(a) Employees shall immediately report by the quickest means
available derailments, collisions, storms, wash-outs, fires,
obstructions to tracks, and other hazardous conditions which could
result in death or injury, damage to property or serious disruption of
railroad operations.
(b) In reporting emergencies, employees shall follow:
(1) The procedures of Sec. 220.47 when using a radio; or
(2) The procedures specified for reporting emergencies in the
railroad's timetables or timetable special instructions, when using
another means of wireless communications.
(c) Employees shall describe as completely as possible the nature,
degree and location of the hazard.
(d) An alternative means of communications capability shall be
provided whenever the control center is unattended or unable to receive
radio transmissions during a period in which railroad operations are
conducted.
[[Page 47197]]
Subpart B--Radio and Wireless Communication Procedures
Sec. 220.21 Railroad operating rules; radio communications;
recordkeeping.
(a) The operating rules of each railroad with respect to radio
communications shall conform to the requirements of this part.
(b) Thirty days before commencing to use radio communications in
connection with railroad operations each railroad shall retain one copy
of its current operating rules with respect to radio communications at
the locations prescribed in paragraphs (b) (1) and (b)(2) of this
section. Each amendment to these operating rules shall be filed at such
locations within 30 days after it is issued. These records shall be
made available to representatives of the Federal Railroad
Administration for inspection and photocopying during normal business
hours.
(1) Each Class I railroad, each Class II railroad, each railroad
providing intercity rail passenger service, and each railroad providing
commuter service in a metropolitan or suburban area shall retain such
rules at each of its division headquarters and at its system
headquarters; and (2) Each Class III railroad and any other railroad
subject to this part but not subject to paragraph (b)(1) of this
section shall retain such rules at the system headquarters of the
railroad.
(c) For purposes of this section, the terms Class I railroad, Class
II railroad, and Class III railroad have the meaning given these terms
in 49 CFR Part 1201.
Sec. 220.23 Publication of radio information.
Each railroad shall designate where radio base stations are
installed, where wayside stations may be contacted, and the appropriate
radio channels used by these stations in connection with railroad
operations by publishing them in a timetable or special instruction.
The publication shall indicate the periods during which base and
wayside radio stations are operational.
Sec. 220.25 Instruction and operational testing of employees.
Each employee who a railroad authorizes to use a radio in
connection with a railroad operation, shall be:
(a) Provided with a copy of the railroad's operating rules
governing the use of radio communication in a railroad operation;
(b) Instructed in the proper use of radio communication as part of
the program of instruction prescribed in Sec. 217.11 of this chapter;
and
(c) Periodically tested under the operational testing requirements
in Sec. 217.9 of this chapter.
Sec. 220.27 Identification.
(a) Except as provided in paragraph (c) of this section, the
identification of each wayside, base or yard station shall include at
least the following minimum elements, stated in the order listed:
(1) Name of railroad. An abbreviated name or initial letters of the
railroad may be used where the name or initials are in general usage
and are understood in the railroad industry; and
(2) Name and location of office or other unique designation.
(b) Except as provided in paragraph (c) of this section, the
identification of each mobile station shall consist of the following
elements, stated in the order listed:
(1) Name of railroad. An abbreviated name or initial letters of the
railroad may be used where the name or initial letters are in general
usage and are understood in the railroad industry;
(2) Train name (number), if one has been assigned, or other
appropriate unit designation; and
(3) When necessary, the word ``locomotive'', ``motorcar'', or other
unique identifier which indicates to the listener the precise mobile
transmitting station.
(c) If positive identification is achieved in connection with
switching, classification, and similar operations wholly within a yard,
fixed and mobile units may use short identification after the initial
transmission and acknowledgment consistent with applicable Federal
Communications Commission regulations governing ``Station
Identification''.
Sec. 220.29 Statement of letters and numbers in radio communications.
(a) If necessary for clarity, a phonetic alphabet shall be used to
pronounce any letter used as an initial, except initial letters of
railroads. See appendix A of this part for the recommended phonetic
alphabet.
(b) A word which needs to be spelled for clarity, such as a station
name, shall first be pronounced, and then spelled. If necessary, the
word shall be spelled again, using a phonetic alphabet.
(c) Numbers shall be spoken by digit, except that exact multiples
of hundreds and thousands may be stated as such. A decimal point shall
be indicated by the words ``decimal,'' ``dot,'' or ``point.'' (See
appendix B to this part, for a recommended guide to the pronunciation
of numbers.)
Sec. 220.31 Initiating a radio transmission.
Before transmitting by radio, an employee shall:
(a) Listen to ensure that the channel on which the employee intends
to transmit is not already in use;
(b) Identify the employee's station in accordance with the
requirements of Sec. 220.27; and
(c) Verify that the employee has made radio contact with the person
or station with whom the employee intends to communicate by listening
for an acknowledgment. If the station acknowledging the employee's
transmission fails to identify itself properly, the employee shall
require a proper identification before proceeding with the
transmission.
Sec. 220.33 Receiving a radio transmission.
(a) Upon receiving a radio call, an employee shall promptly
acknowledge the call, identifying the employee's station in accordance
with the requirements of Sec. 220.27 and stand by to receive. An
employee need not attend the radio during the time that this would
interfere with other immediate duties relating to the safety of
railroad operations.
(b) An employee who receives a transmission shall repeat it to the
transmitting party unless the communication:
(1) Relates to yard switching operations;
(2) Is a recorded message from an automatic alarm device; or
(3) Is general in nature and does not contain any information,
instruction or advice which could affect the safety of a railroad
operation.
Sec. 220.35 Ending a radio transmission.
(a) Except for transmissions relating to yard switching operations,
at the close of each transmission to which a response is expected, the
transmitting employee shall say ``over'' to indicate to the receiving
employee that the transmission is ended.
(b) Except for transmissions relating to yard switching operations,
at the close of each transmission to which no response is expected, the
transmitting employee shall state the employee's identification
followed by the word ``out'' to indicate to the receiving employee that
the exchange of transmissions is complete.
Sec. 220.37 Testing radio and wireless communication equipment.
(a) Each radio, and all primary and redundant wireless
communication equipment used under Secs. 220.9 and 220.11, shall be
tested as soon as practicable to ensure that the equipment
[[Page 47198]]
functions as intended prior to the commencement of the work assignment.
(b) The test of a radio shall consist of an exchange of voice
transmissions with another radio. The employee receiving the
transmission shall advise the employee conducting the test of the
clarity of the transmission.
Sec. 220.38 Communication equipment failure.
(a) Any radio or wireless communication device found not to be
functioning as intended when tested pursuant to Sec. 220.37 shall be
removed from service and the dispatcher or other employee designated by
the railroad shall be so notified as soon as practicable.
(b) If a radio or wireless communication device fails on the
controlling locomotive en route, the train may continue until the
earlier of--
(1) The next calendar day inspection, or
(2) The nearest forward point where the radio or wireless
communication device can be repaired or replaced.
Sec. 220.39 Continuous radio monitoring.
Each radio used in a railroad operation shall be turned on to the
appropriate channel as designated in Sec. 220.23 and adjusted to
receive communications.
Sec. 220.41 [Reserved]
Sec. 220.43 Radio communications consistent with federal regulations
and railroad operating rules.
Radio communication shall not be used in connection with a railroad
operation in a manner which conflicts with the requirements of this
part, Federal Communication Commission regulations, or the railroad's
operating rules. The use of citizen band radios for railroad operating
purposes is prohibited.
Sec. 220.45 Radio communication shall be complete.
Any radio communication which is not fully understood or completed
in accordance with the requirements of this part and the operating
rules of the railroad, shall not be acted upon and shall be treated as
though not sent.
Sec. 220.47 Emergency radio transmissions.
An initial emergency radio transmission shall be preceded by the
word ``emergency,'' repeated three times. An emergency transmission
shall have priority over all other transmissions and the frequency or
channel shall be kept clear of non-emergency traffic for the duration
of the emergency communication.
Sec. 220.49 Radio communication used in shoving, backing or pushing
movements.
When radio communication is used in connection with the shoving,
backing or pushing of a train, locomotive, car, or on-track equipment,
the employee directing the movement shall specify the distance of the
movement, and the movement shall stop in one-half the remaining
distance unless additional instructions are received. If the
instructions are not understood, the movement shall be stopped
immediately and may not be resumed until the misunderstanding has been
resolved, radio contact has been restored, or communication has been
achieved by hand signals or other procedures in accordance with the
operating rules of the railroad.
Sec. 220.51 Radio communications and signal indications.
(a) No information may be given by radio to a train or engine crew
about the position or aspect displayed by a fixed signal. However, a
radio may be used by a train crew member to communicate information
about the position or aspect displayed by a fixed signal to other
members of the same crew.
(b) Except as provided in the railroad's operating rules, radio
communication shall not be used to convey instructions which would have
the effect of overriding the indication of a fixed signal.
Sec. 220.61 Radio transmission of mandatory directives.
(a) Each mandatory directive may be transmitted by radio only when
authorized by the railroad's operating rules. The directive shall be
transmitted in accordance with the railroad's operating rules and the
requirements of this part.
(b) The procedure for transmission of a mandatory directive is as
follows:
(1) The train dispatcher or operator shall call the addressees of
the mandatory directive and state the intention to transmit the
mandatory directive.
(2) Before the mandatory directive is transmitted, the employee to
receive and copy shall state the employee's name, identification,
location, and readiness to receive and copy. An employee operating the
controls of moving equipment shall not receive and copy mandatory
directives. A mandatory directive shall not be transmitted to employees
on moving equipment, if such directive cannot be received and copied
without impairing safe operation of the equipment.
(3) A mandatory directive shall be copied in writing by the
receiving employee in the format prescribed in the railroad's operating
rules.
(4) After the mandatory directive has been received and copied, it
shall be immediately repeated in its entirety. After verifying the
accuracy of the repeated mandatory directive, the train dispatcher or
operator shall then state the time and name of the employee designated
by the railroad who is authorized to issue mandatory directives. An
employee copying a mandatory directive shall then acknowledge by
repeating the time and name of the employee so designated by the
railroad.
(5)(i) For train crews, before a mandatory directive is acted upon,
the conductor and engineer shall each have a written copy of the
mandatory directive and make certain that the mandatory directive is
read and understood by all members of the crew who are responsible for
the operation of the train. Mandatory directives which have been
fulfilled or canceled shall be marked with an ``X'' or in accordance
with the railroad's operating rules, and retained for the duration of
the train crew's work assignment.
(ii) For on-track equipment, before a mandatory directive is acted
upon, the employee responsible for on-track safety shall have a written
copy of the mandatory directive, and make certain that the mandatory
directive is acknowledged by all employees who are responsible for
executing that mandatory directive. The employee responsible for on-
track safety shall retain a copy of the mandatory directive while it is
in effect.
(6) A mandatory directive which has not been completed or which
does not comply with the requirements of the railroad's operating rules
and this part, may not be acted upon and shall be treated as though not
sent. Information contained in a mandatory directive may not be acted
upon by persons other than those to whom the mandatory directive is
addressed.
Appendix A to Part 220--Recommended Phonetic Alphabet
A--ALFA
B--BRAVO
C--CHARLIE
D--DELTA
E--ECHO
F--FOXTROT
G--GOLF
H--HOTEL
I--INDIA
J--JULIET
K--KILO
L--LIMA
M--MIKE
N--NOVEMBER
O--OSCAR
P--PAPA
[[Page 47199]]
Q--QUEBEC
R--ROMEO
S--SIERRA
T--TANGO
U--UNIFORM
V--VICTOR
W--WHISKEY
X--XRAY
Y--YANKEE
Z--ZULU
The letter ``ZULU'' should be written as ``Z'' to distinguish it
from the numeral ``2''.
Appendix B to Part 220--Recommended Pronunciation of Numerals
To distinguish numbers from similar sounding words, the word
``figures''should be used preceding such numbers. Numbers should be
pronounced as follows:
------------------------------------------------------------------------
Number Spoken
------------------------------------------------------------------------
0........................................ ZERO.
1........................................ WUN.
2........................................ TOO.
3........................................ THUH-REE-.
4........................................ FO-WER.
5........................................ FI-YIV.
6........................................ SIX.
7........................................ SEVEN.
8........................................ ATE.
9........................................ NINER.
------------------------------------------------------------------------
(The figure ZERO should be written as ``0'' to distinguish it
from the letter ``O''. The figure ONE should be underlined to
distinguish it from the letter ``I''. When railroad rules require
that numbers be spelled, these principles do not apply.)
The following examples illustrate the recommended pronunciation
of numerals:
------------------------------------------------------------------------
Number Spoken
------------------------------------------------------------------------
44..................................... FO-WER FO-WER.
500.................................... FI-YIV HUNDRED.
1000................................... WUN THOUSAND.
1600................................... WUN SIX HUNDRED.
14899.................................. WUN FO-WER ATE
NINER NINER.
20.3................................... TOO ZERO DECIMAL
THUH-REE.
------------------------------------------------------------------------
Appendix C to Part 220--Schedule of Civil Penalties \1\
------------------------------------------------------------------------
Willful
Section Violation violation
------------------------------------------------------------------------
220.9 Requirements for trains........... $5,000 $7,500
220.11 Requirements for roadway workers. 5,000 7,500
220.21 Railroad Operating rules; radio
communications.........................
(a)..................................... 5,000 7,500
(b)..................................... 2,500 5,000
220.23 Publication of radio information. 2,500 5,000
220.25 Instruction of employees......... 5,000 7,500
220.27 Identification................... 1,000 2,000
220.29 Statement of letters and numbers. 1,000 2,000
220.31 Initiating a transmission........ 1,000 2,000
220.33 Receiving a transmission......... 1,000 2,000
220.35 Ending a transmission............ 1,000 2,000
220.37 Voice test....................... 5,000 7,500
220.39 Continuous monitoring............ 2,500 5,000
220.41 [Reserved] .....................
220.43 Communication consistent with the
rules.................................. 2,500 5,000
220.45 Complete communications.......... 2,500 5,000
220.47 Emergencies...................... 2,500 5,000
220.49 Switching, backing or pushing.... 5,000 7,500
220.51 Signal indications............... 5,000 7,500
220.61 Radio transmission of mandatory
directives............................. 5,000 7,500
------------------------------------------------------------------------
\1\ A penalty may be assessed against and only for a willful violation.
The Administrator reserves the right to assess a penalty of up to
$22,000 for any violation where circumstances warrant. See 49 CFR part
209, appendix A.
Issued in Washington, D.C. on August 28, 1998.
Jolene M. Molitoris,
Federal Railroad Administrator.
[FR Doc. 98-23697 Filed 9-3-98; 8:45 am]
BILLING CODE 4910-06-P
