[Federal Register Volume 64, Number 31 (Wednesday, February 17, 1999)]
[Notices]
[Pages 7940-7943]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 99-3844]
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DEPARTMENT OF TRANSPORTATION
Federal Railroad Administration
Petition for Waiver of Compliance
In accordance with 49 Code of Federal Regulations (CFR), Sections
211.9 and 211.41 notice is hereby given that the Federal Railroad
Administration (FRA) has received a request for a waiver of compliance
from certain requirements of Federal railroad safety regulations. The
individual petition is described below, including the party seeking
relief, the regulatory provisions involved, the nature of the relief
being requested and the petitioner's arguments in favor of relief.
Alaska Railroad Corporation (Waiver Petition Docket Number FRA-
1998-4901)
Alaska Railroad Corporation(ARRC), seeks a waiver of compliance
from certain sections of Title 49 CFR Parts 216, Special Notice and
Emergency Order Procedures: Railroad Track, Locomotive and Equipment;
217, Railroad Operating Rules; 218, Railroad Operating Practices; 220,
Radio Standards and Procedures; 229, Railroad Locomotive Safety
Standards; 233, Signal Systems Reporting Requirements; 235,
Instructions Governing Applications for Approval of a 2 Discontinuance
or Material Modification of a Signal System or Relief from the
Requirements Of Part 236; 236, Rules, Standards, and Instructions
Governing the Installation, Inspection, Maintenance, and Repair of
Signal and Train Control Systems,
[[Page 7941]]
Devices, and Appliances; and 240, Qualification and Certification Of
Locomotive Engineers, under Part 211.51, Tests, to allow them to
develop, implement, and test technology designed to prevent train
collisions and overspeed violations and to protect track maintenance
personnel from trains. The program will enable ARRC to demonstrate and
validate the technology, referred to as Precision Train Control (PTC),
before it is implemented on a larger scale.
PTC is a communications-based system designed to precisely manage
the movements of trains in real time. PTC will generate a movement plan
for all trains and then provide each train's engineer information
necessary to keep the train on plan. PTC will monitor each train's
position, velocity and acceleration in real time in respect to the
movement plan and will prompt the engineer to take action before a
violation occurs associated with limits of authority, track bulletins,
track speed, speed restrictions, and working limits of track
maintenance personnel. PTC will require the installation of a computer-
aided dispatching (CAD) system from which the PTC system will be
controlled. The PTC system will consist of three segments that work
together to provide enforcement against train movement violations: the
central office segment; the locomotive segment; and the communications
segment. The central office segment will consist of the CAD, a server
and movement planner that will develop and issue enforceable movement
authorities and speed limits for each PTC-equipped train. This
information is sent through the communications segment to the
locomotive segment located onboard the controlling locomotive of each
train. The locomotive segment enforces a train's movement and speed
limits by monitoring and reporting the train's location and speed and
applying the brakes to stop the train if necessary to prevent a
violation.
The PTC program will be implemented system wide on the ARRC in the
State of Alaska. All main track on all subdivisions on the ARRC will be
included in the project. Total trackage will be 534.3 miles.
The following are the waiver requests and their justifications:
Sec. 216.13 Special notice for repairs--locomotive. Waiver is
requested for PTC-equipped locomotives to the extent that non-operation
of PTC equipment installed onboard (whether through malfunction or
deactivation) shall not be construed as an unsafe condition requiring
special notice for repairs. Waiver is also sought for non-PTC-equipped
locomotives operating in the PTC test territory to the extent that the
absence of PTC equipment onboard shall not be construed as an unsafe
condition requiring special notice for repairs.
Justification: With or without PTC equipment operating onboard the
controlling locomotive, a train remains subject to existing operating
rules. PTC tests require flexibility in installing, removing, turning
on, and turning off the onboard equipment. The PTC tests will involve
only a small subset of locomotives that will be PTC-equipped for
testing.
Sec. 217.9 Program of operational tests and inspections; record
keeping. Waiver is requested exempting operation of PTC equipment and
procedures from the requirements for operational tests and inspections
and associated record keeping.
Justification: During the PTC test phase, procedures for using PTC
equipment and functions will be refined and modified. Until such
procedures are defined, they cannot be addressed in the General Code of
Operating Rules (GCOR). In any case, PTC is expected to have minimal
impact on the operating rules.
Sec. 217.11 Program of instruction on operating rules; record
keeping; electronic record keeping. Waiver is requested exempting
operation of PTC equipment and procedures from the requirements for
instruction and associated record keeping.
Justification: During the PTC test phase, procedures for using PTC
equipment and functions will be refined and modified. Until such
procedures are defined, they cannot be addressed in the GCOR. In any
case, PTC is expected to have minimal impact on the operating rules.
Part 218 [Subpart D] Prohibition Against Tampering With Safety
Devices. Waiver is requested exempting onboard PTC equipment from the
requirements of Sec. 218.51, 218.53, 218.55, 218.57, 218.59, and 128.61
to the extent that PTC equipment onboard a locomotive shall not be
considered a ``safety device'' according to the provisions of this
subpart at any time during the test phase.
Justification: PTC tests require flexibility in installing,
removing, turning on, and turning off the onboard equipment. The ARRC
also needs the flexibility to permanently disable or remove PTC
equipment in the event that a production system is not implemented.
Part 220 Radio Standards and Procedures. Clarification is
requested establishing that digital radio communications are exempt
from all requirements applicable to radio communications under Part
220.
Justification: Imposing the requirements of Part 220 would negate
the efficiencies of digital data communications and adversely affect
the PTC concept of operations. Digital radio communications are
expected to enhance safety by eliminating the sources of human error
which Part 220 is designed to mitigate.
Sec. 220.21 Railroad operating rules; radio communications; record
keeping. Clarification is requested to establish that during PTC
testing, operating rules with respect to radio communications shall not
be construed or required to address procedures governing digital data
communications.
Justification: The GCOR radio rules were written to enhance the
safety of voice radio communications. Whether new rules are needed to
accommodate digital communications is an open issue which will be
decided during the PTC test phase.
Sec. 220.23 Publication of radio information. Clarification is
requested to establish that digital radio base stations and wayside
interface units are exempt from the requirements for publication of
radio information including locations, channels, and periods of
operation.
Justification: The safety rationale of these requirements does not
apply to digital radio communications used in PTC where communication
management functions occur transparently to the user.
Sec. 220.61 Transmission of train orders by radio. Clarification
is requested establishing that both PTC digitally transmitted
enforceable authorities and text authorities including track warrants,
track permits and track bulletins are exempt from the requirements
governing the voice transmission of train orders, especially: voice
exchange prior to transmission of a train order; limitations regarding
when and to which crew member a train order may be sent; copying a
train order in writing; repeating a train order back to the dispatcher;
and requiring the conductor and engineer to have written copies of a
train order before it is acted upon.
Justification: The safety rational of these requirements does not
apply to digital transmission of either PTC enforceable authorities or
displayed text authorities. PTC enforceable authorities are transparent
to the train crew and are clearly outside the provisions of this
section. Digitally transmitted track warrants, track permits and track
bulletins are expected to enhance safety by eliminating the sources of
[[Page 7942]]
communication error which the requirements are designed to mitigate.
Sec. 229.7 Prohibited acts. Waiver is requested to the extent that
PTC equipment onboard a locomotive shall not be considered
``appurtenances'' rendering the locomotive subject to the constraints
of this section.
Justification: PTC test require flexibility in installing,
removing, turning on, and turning off the onboard equipment. ARRC
requires the flexibility to temporarily or permanently disable onboard
PTC equipment. Whether or not PTC equipment onboard a locomotive is
functioning, the train remains subject to the provisions of the rules
governing the current methods of operation.
Sec. 229.135 Event recorders. Waiver is requested to the extent
that PTC equipment onboard a locomotive shall not be considered an
``event recorder'' subject to the provisions of this section.
Justification: PTC equipment by design will operate intermittently
during the test phase. The data accumulated by the onboard PTC
equipment will be used to develop and refine PTC functions. Such data
can be expected to contain anomalies that do not reflect true operating
conditions, but by analysis will contribute to achieving necessary
objectives in the PTC design.
Sec. 233.9 Reports. Waiver is requested exempting PTC operations
in the test phase from the reporting requirement of this section.
Justification: ARRC recognizes that a PTC production system is
subject to the provisions of this section, however, imposition of the
requirements during the test phase would be an unnecessary paperwork
burden.
Sec. 235.5 Changes requiring filing of application. Waiver is
requested exempting PTC from the requirements of this section during
the test phase.
Justification: PTC tests require flexibility in installing,
removing, modifying, turning on, and turning off the PTC equipment.
ARRC also requires the flexibility to permanently disable or remove PTC
equipment in the event that a production system is not implemented.
Sec. 236.4 Interference with normal functioning of device. Waiver
is requested to the extent that PTC equipment shall be excluded from
this requirement during the test phase.
Justification: During the PTC test phase, the ``normal
functioning'' of PTC will be identified, refined and defined. PTC tests
require flexibility in installing, removing, turning on, and turning
off the PTC equipment. With or without PTC equipment operating onboard
the controlling locomotive, the train remains subject to the provisions
of the rules governing the existing methods of operation.
Sec. 236.5 Design of control circuits on closed circuit principle.
Waiver is requested excepting PTC equipment from the closed circuit
design requirement.
Justification: PTC is composed of solid state components that are
software driven. Neither the hardware or software can technically be
designed to meet the provisions of this section.
Sec. 236.11 Adjustment, repair, or replacement of component.
Waiver is requested exempting PTC components onboard a locomotive from
the requirements of this section.
Justification: PTC test require flexibility in installing,
removing, modifying, turning on and turning off PTC equipment. Failure
of a PTC component will not jeopardize the safety of train operations.
With or without PTC equipment operating onboard the controlling
locomotive, the train remains subject to the provisions of the rules
governing the existing methods of operation.
Sec. 236.15 Timetable instructions. Waiver is requested exempting
PTC territory from the timetable designation requirement of this
section during the PTC test phase.
Justification: The PTC test phase will consist of tests and
demonstrations, identifying the test territory in the timetable would
be both premature and an unnecessary paperwork burden.
Sec. 236.23 Aspects and indications. Waiver is requested to the
extent that the PTC display onboard an equipped locomotive shall not be
construed to represent or correspond to signal aspects or indications
subject to the requirements of this section.
Justification: The ARRC is a non signaled railroad. The PTC design
excludes any visual display of signal aspects or indications. PTC
enforceable authorities, which may or may not derive from signal
indications, are not displayed onboard. Only text authorities, such as
track warrants, track permits and track bulletins, are displayed to the
train crew. Information on the PTC display will in no way represent
authority conveyed through wayside signals.
Sec. 236.76 Tagging of wires and interference of wires or tags
with signal apparatus. Waiver is requested exempting PTC equipment from
the wire tagging requirement.
Justification: PTC hardware consists of computers, computer
peripherals, and communication devices. While the inapplicability of
this section to circuit boards, connectors, and cables would appear
obvious, waiver is sought for clarification.
Sec. 236.101 Purpose of inspection and tests; removal from service
of relay or device failing to meet test requirements. Waiver is
requested exempting PTC equipment from the requirement for removal of
failed equipment from service.
Justification: PTC tests require flexibility in installing,
removing, turning on, and turning off the onboard equipment. With or
without PTC equipment operating onboard, a train remains subject to the
provisions of the rules governing the existing methods of operation.
Sec. 236.107 Ground tests. Waiver is requested exempting PTC
equipment from the requirement for ground tests during the test phase.
Justification: PTC hardware consists of computers, computer
peripherals, and communication devices. Ground tests would serve no
purpose in ensuring safety and could be damaging to the equipment.
Sec. 236.109 Time releases, timing relays and timing devices.
Waiver is requested exempting PTC equipment from the testing
requirement of this section during the test phase.
Justification: The timing devices in PTC equipment are software-
driven, have no moving or visible parts, and are far more reliable than
the devices for which this regulation was promulgated to address.
Sec. 236.110 Results of tests. Waiver is requested exempting PTC
tests from the record keeping requirements of this section.
Justification: During the PTC test phase, the types of tests needed
to ensure appropriate levels of maintenance will be defined.
Sec. 236.501 Forestalling device and speed control. Waiver is
requested exempting PTC from the requirement for medium-speed
restriction.
Justification: PTC is not connected to a signal system and will not
enforce speed restrictions indicated by signal aspects. PTC will
enforce speed restrictions reflected in the track database or issued
through the CAD system.
Sec. 236.504 Operation interconnected with automatic block-signal
system. Waiver is requested exempting PTC from the requirement of
interconnection with an automatic block-signal system.
Justification: The ARRC is a non-signaled railroad and PTC will
have no connection to a signal system; however, PTC will operate to
perform its intended function in the event of failure of the engineer
to obey a restrictive condition displayed in the cab.
[[Page 7943]]
Sec. 236.511 Cab signals controlled in accordance with block
conditions stopping distance in advance. Waiver is requested exempting
the PTC onboard display from the cab-signal requirements in this
section.
Justification: PTC is not an automatic cab signal system and will
have no connection to a signal system.
Sec. 236.514 Interconnection of cab signal system with roadway
signal system. Waiver is requested exempting PTC from the requirement
of interconnection with a roadway signal system.
Justification: There are no roadway signal systems installed on the
ARRC, therefore PTC will have no connection with a signal system.
Sec. 236.515 Visibility of cab signals. Waiver is requested
exempting the PTC display from the visibility requirements of this
section during the test phase.
Justification: PTC is not an automatic cab signal system and the
design excludes any visual representation of signal aspects or
indications. However, the visibility requirements will be met in the
PTC production system.
Sec. 236.534 Entrance to equipped territory; requirements. Waiver
is requested exempting the PTC from the requirements of this section
during the test phase.
Justification: PTC tests require flexibility in installing,
removing, turning on, and turning off PTC equipment.
Sec. 236.551 Power supply voltage; requirement. Waiver is
requested exempting the onboard PTC power supply from the voltage
requirement of this section.
Justification: PTC onboard equipment will function with more then a
50% variation in voltage.
Sec. 236.552 Insulation resistance; requirement. Waiver is
requested exempting PTC equipment from the insulation resistance
requirement of this section.
Justification: PTC onboard equipment consists of computers,
computer peripherals, and communications equipment. Insulation
resistance tests could be damaging to such components.
Sec. 236.553 Seal, where required. Waiver is requested exempting
PTC equipment from the seal requirement of this section.
Justification: The PTC system will allow for manual disablement of
onboard PTC functions and equipment both remotely from the dispatching
office and through an onboard manual function. Use of the onboard
cutout function will be electronically monitored and reported to the
dispatcher as an alarm.
Sec. 236.566 Locomotive of each train operating in train stop,
train control or cab signal territory; equipped. Waiver is requested to
the extent that the equipped requirements in the section shall not
apply to PTC during the test phase.
Justification: A small subset of locomotives operating in the test
territory will be PTC-equipped; the majority of trains will not be
equipped. PTC tests require flexibility in installing, removing,
turning on and turning off the onboard equipment. In any case, all PTC
tests will be conducted under the provisions of the rules governing the
existing methods of operation.
Sec. 236.567 Restrictions imposed when device fails and/or is cut
out en route. Waiver is requested exempting PTC tests from the
restrictions associated with device failure or cutout.
Justification: PTC tests require flexibility in installing,
removing, turning on and turning off the on-board equipment. All PTC
tests will be conducted under the provisions of the rules governing the
existing methods of operation and a failure or deactivation of the PTC
equipment will not jeopardize safety of train operations.
Sec. 236.586 Daily or after trip test. Waiver is requested
exempting PTC from the requirements of this section during the test
phase.
Justification: During the PTC test phase, the requirements for a
daily or after-trip test, if necessary, will be defined. An objective
is to perform this test without human intervention.
Sec. 236.587 Departure test. Waiver is requested exempting PTC
from the test requirements of this section during the test phase.
Justification: During the PTC test phase, the requirements for a
departure test will be defined. An objective is to perform this test
without human intervention.
Sec. 236.588 Periodic test. Waiver is requested exempting PTC from
the requirements of this section during the test phase.
Justification: During the PTC test phase, the requirements for
periodic testing will be defined.
Sec. 236.703 Aspect. Clarification is requested exempting the PTC
display from this definition.
Justification: PTC is not an automatic cab signal system and its
design does not include any visual representation of signal aspects or
indications.
Sec. 236.805 Signal, cab. Clarification is requested exempting the
PTC display from this definition.
Justification: PTC is not an automatic cab signal system and its
design does not include any visual representation of signal aspects or
indications.
Sec. 240.127 Criteria for examining skill performance. Waiver is
requested exempting PTC from the testing requirements of this section
during the test phase.
Justification: Criteria and procedures for PTC performance
evaluation do not yet exist; they will be identified and defined during
the PTC test phase.
Sec. 240.129 Criteria for monitoring operational performance of
certified engineers. Waiver is requested exempting PTC from the
performance monitoring procedures during the test phase.
Justification: Criteria and procedures for PTC performance
evaluation do not yet exist; they will be identified and defined during
the test phase.
Interested parties are invited to participate in these proceedings
by submitting written views, data, or comments. FRA does not anticipate
scheduling a public hearing in connection with these proceedings since
the facts do not appear to warrant a hearing. If any interested party
desires an opportunity for oral comment, they should notify FRA, in
writing, before the end of the comment period and specify the basis for
their request.
All communications concerning this proceeding should identify the
appropriate docket number (e.g., Waiver Petition Docket Number FRA-
1998-4901) and must be submitted in triplicate to the Docket Clerk,
Office of Chief Counsel, Federal Railroad Administration, Nassif
Building, 400 Seventh Street, SW, Washington, DC 20590.
Communications received within 45 days of publication of this
notice will be considered by FRA before final action is taken. Comments
received after that date will be considered as far as practicable. All
written communications concerning these proceedings are available for
examination during regular business hours (9 a.m.-5 p.m.) on the 7th
floor, 1120 Vermont Avenue, NW, Washington, DC 20590.
Issued in Washington, DC, on February 10, 1999.
Grady C. Cothen, Jr.,
Deputy Associate Administrator for Safety Standards and Program
Development.
[FR Doc. 99-3844 Filed 2-16-99; 8:45 am]
BILLING CODE 4910-06-P
