[Federal Register Volume 62, Number 123 (Thursday, June 26, 1997)]
[Proposed Rules]
[Pages 34544-34560]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 97-15818]
[[Page 34543]]
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Part III
Department of Transportation
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Federal Railroad Administration
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49 CFR Part 220
Railroad Communications; Notice of Proposed Rulemaking
Federal Register / Vol. 62, No. 123 / Thursday, June 26, 1997 /
Proposed Rules
[[Page 34544]]
DEPARTMENT OF TRANSPORTATION
Federal Railroad Administration
49 CFR Part 220
[Docket No. RSOR-12; Notice No. 4]
RIN 2130-AB19
Railroad Communications
AGENCY: Federal Railroad Administration (FRA), DOT.
ACTION: Notice of Proposed Rulemaking (NPRM).
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SUMMARY: In June 1996, FRA convened a working group comprised of rail
industry and labor representatives to recommend revisions to FRA's
radio standards and procedures (49 CFR part 220). The working group
examined extensive data and debated how to make the regulations more
flexible, thereby improving compliance, and whether to mandate radios
and other forms of wireless communications to convey emergency and need
to know information.
After studying these issues, the working group proposed to require
wireless communications devices, including radios, for specified
classifications of railroad operations and roadway workers. This part
would therefore be retitled to reflect its proposed coverage of other
means of wireless communications such as cellular telephones and data
radio terminals. These proposed amendments, which are based upon both
FRA and working group recommendations, would accommodate changing
technologies, while continuing to ensure sound safety practices.
DATES: (1) Written comments must be received no later than August 25,
1997. Comments received after that date will be considered to the
extent possible without incurring additional expense or delay. Requests
for formal extension of the comment period must be made by August 11,
1997.
(2) Requests for a public hearing must be made by July 28, 1997.
Public hearings are generally held to provide interested parties an
opportunity for oral presentations of data, views, or arguments
concerning the proposed standards. Any person interested in requesting
a hearing should contact Ms. Renee Bridgers, Docket Clerk, at (202)
632-3198.
ADDRESSES: Written comments should be submitted to Ms. Renee Bridgers,
Docket Clerk, Office of Chief Counsel, Federal Railroad Administration,
400 Seventh Street, S.W., Washington, D.C. 20590. Persons wishing
notification that their comments have been received should submit a
stamped, self-addressed postcard with their comments. The Docket clerk
will indicate on the postcard the date on which the comments were
received and will return the card to the addressee. Written comments
will be available for examination, both before and after the comment
period closes, during regular business hours in Room 7051 at 1120
Vermont Avenue, N.W., Washington, D.C. 20005. All hand deliveries
should be made to the Vermont Avenue address.
FOR FURTHER INFORMATION CONTACT: Gene Cox, Operating Practices
Specialist, Office of Safety, FRA, 400 Seventh Street S.W., Washington,
D.C. 20590 (telephone: 202-632-3504); Dennis Yachechak, Operating
Practices Specialist, Office of Safety, FRA, 400 Seventh Street S.W.,
Washington, D.C. 20590 (telephone: 202-632-3378); or Patricia V. Sun,
Trial Attorney, Office of Chief Counsel, FRA, 400 Seventh Street S.W.,
Washington, D.C. 20590 (telephone: 202-632-3183).
SUPPLEMENTARY INFORMATION:
FRA's 1994 Report to Congress
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 the Department's
railroad radio standards and procedures (49 CFR part 220). 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 (FCC).
After completing its inquiry, FRA concluded that railroad radio
communications were generally good and had steadily improved since
FRA's last major study of the area in 1987. Several issues arose,
however. Compliance with the standards and procedures in part 220 was
poor, possibly due to the inflexibility of FRA's regulations. Employees
continued to report problems with radio equipment.
In July 1994, therefore, FRA published its Report to Congress on
Railroad Communications and Train Control (Report). At page xi of the
Report, based on the findings of its inquiry, FRA committed to--
Revising the Radio Standards and Procedures to make the
regulations more flexible to promote improved compliance.
Propose, as part of that rulemaking, including in the
revised rule requirements that railroads provide suitable communication
links between trains and dispatchers, and between locomotive engineers
and ground employees, and that back-up systems be established for
safety critical functions.
Propose as a part of that rulemaking that each lead
locomotive be equipped with an operative radio or suitable alternate
communication equipment.
Work with a major railroad and its employees to implement
transmission of movement authorities by digital data railroad, in lieu
of voice radio communications.
In the Report, FRA found that radio related problems could be
divided into two types: hardware concerns (problems involving
technology application) and human interface concerns (problems
involving the proper utilization of that technology in accordance with
FRA regulations and railroad rules). Among the significant problems
reported in some dispatchers offices were the following:
Hardware Concerns
``Bleed-over'' from neighboring dispatcher districts, as
well as from automatic wayside detectors that overrode dispatching
frequencies and interrupted radio transmissions with trains.
Two or more incompatible communications systems in use in
the same dispatcher's office.
Lack of a dedicated emergency channel at some locations.
Some communications systems lacked the capability to prioritize
incoming calls into regular versus emergency calls.
Inoperative radios, despite a considerable improvement in
the reliability of locomotive onboard radios.
Unusual atmospheric or terrain conditions, rather than
equipment malfunctions, which disrupted even upgraded communications
systems, including mobile and cellular telephone systems.
Human Interface Concerns
Radio frequency congestion caused by nonessential
transmissions and use of other than assigned frequencies.
Train dispatcher and field employee failure to comply with
required radio standards and
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procedures, including failure to transmit train orders properly,
failure to transmit and repeat on-track authorities properly, failure
to identify stations properly, and failure to self-identify properly.
Under-utilization of available frequencies often created
interference with radio transmissions. Yardmasters and terminal
switching crews used channels intended for road train use. Channels
intended exclusively for communication to dispatchers were particularly
misused: road crews would use dispatching channels while adding or
removing cars from their trains; maintenance of way workers would use
dispatching channels to communicate with each other, even though
separate channels were available for this purpose; and supervisors,
administrative personnel, clerks, and even railroad taxi drivers would
use dispatching channels for purposes unrelated to the safety of
railroad operations.
The Railroad Safety Advisory Committee
Also in 1994, FRA established its first formal regulatory
negotiation committee to address roadway worker safety. This committee
successfully reached consensus conclusions and recommended a NPRM to
the Administrator, persuading FRA that a more consensual approach to
rulemaking would likely yield more effective, and more widely accepted,
rules. Additionally, President Clinton's March 1995 Presidential
Memorandum titled ``Regulatory Reinvention Initiative'' directed
agencies to expand their efforts to promote consensual rulemaking. FRA
therefore decided to move to a collaborative process by creating a
Railroad Safety Advisory Committee (RSAC or the Committee).
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. The
Administrator's representative (the Associate Administrator for Safety
or that person's delegate) is the Chairperson of the Committee. RSAC's
purpose is to provide recommendations and advice to the Administrator
on development of FRA's railroad safety regulatory program, including
issuance of new regulations, review and revision of existing
regulations, and identification of non-regulatory alternatives for
improvement of railroad safety.
FRA has tasked RSAC with safety issues to address, among them
railroad communications. To address specific tasks, RSAC formed
standing or temporary subcommittees, or working groups, comprised of
knowledgeable persons from the organizations represented on RSAC. The
composition of each working group was approved by the full committee.
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 (ASLRA)
Association of American Railroads (AAR)
Brotherhood of Locomotive Engineers (BLE)
Brotherhood of Locomotive Engineers, American Train Dispatchers
Department (ATDD)
Brotherhood of Maintenance of Way Employees (BMWE)
Brotherhood of Railroad Signalmen (BRS)
Burlington Northern Santa Fe (BNSF)
Canadian Pacific Rail System (CP)
Consolidated Rail Corporation (Conrail)
CSX Transportation, Inc. (CSX)
Federal Railroad Administration (FRA)
International Brotherhood of Electrical Workers (IBEW)
National Railroad Passenger Corporation (Amtrak)
Norfolk Southern Corporation (NS)
Railway Progress Institute (RPI)
Transportation Communications International Union (TCU)
United Transportation Union (UTU)
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.
The Working Group's goal was to produce a preamble and proposed
rule text recommending revisions to the Radio Standards and Procedures
contained in 49 CFR Part 220, that are warranted by appropriate data
and analysis. The Group's recommendations would then be sent to RSAC
for review. FRA would in turn utilize the consensus recommendations of
RSAC as the basis for proposed and final agency action whenever
possible, consistent with applicable law and Presidential guidance. The
Group could also recommend specific safety policies and procedures that
the group considered relevant but inappropriate for regulatory action.
To accomplish this goal, the Working Group held ten meetings, all
of which were open to the public. Summary minutes were taken, and have
been placed in a docket available for inspection upon request. FRA
worked in concert with the Group to develop this NPRM.
After considerable debate, the Working Group agreed to recommend
that Part 220 be amended as follows. First, more communications
equipment would be required on trains operated by large railroads than
on those operated by small railroads. Large railroads, defined as those
with 400,000 or more annual employee work hours, would be required to
equip each train with a working radio in each occupied controlling
locomotive and with some means of redundant working wireless
communications. 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.
Second, for roadway workers, the working group also recommended
that communication equipment requirements 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 of the units
needs to be equipped but the operators of each unit would have
communications capability with each other. Each employee designated by
the employing railroad to provide on-track safety for a roadway work
gang or gangs, and each lone worker would maintain immediate access to
a working radio. Each maintenance of way work gang would also have to
be provided intra-gang communications capability. Small railroads, in
most cases, would have to provide each designated employee in charge,
and each lone worker, with immediate access to working wireless
communications, unless the railroad did not operate in excess of 25
miles per hour. The foregoing communication requirements would not
apply to roadway work locations that are inaccessible to trains.
Third, this part would also be retitled to reflect its proposed
coverage of other means of wireless communications such as cellular
telephones and data radio terminals with keypads, that comply with the
proposed communications redundancy requirements. The Working Group also
recommended additional smaller changes, which are detailed in the
section-by-section analysis portion of this NPRM.
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At a meeting on March 24, 1997, RSAC voted to recommend that the
Administrator issue this document as a proposed Federal regulation and
continue the rulemaking procedures necessary to adopt its principles in
a final rule. At the conclusion of the comment period on this proposal,
FRA will work with the Working Group in developing a final rule.
The section-by-section analysis discusses all of the proposed
amendments to part 220.
Scope
As part of its charter, the Group considered whether to include
other types of radios currently in use in railroad operations such as
data radios, digital radios and ``packet radios'' (cellular phone
packet data) in part 220. The Group decided, however, that it was
premature to expand application of this rule to new technologies, such
as positive train control and data transmission systems, that are still
undergoing research, development, and testing. Automatic train control,
which is the subject of ongoing program development, will not be
addressed in this rulemaking.
As proposed, part 220 would not only include procedures for voice
radios (radios that utilize dedicated frequency channels for voice
communications), but would also, for the first time, mandate when
working radios are required to be used. FRA also proposes to expand the
rule to cover non-radio means of wireless communications, such as
cellular telephones and data terminals with keypads, since the Working
Group decided to require such equipment as either the primary or the
secondary means of communication for most types of railroad operations.
The proposed rule (with the exceptions of Secs. 220.37 and 220.38,
discussed in the section-by-section analysis) does not contain
procedures for non-radio wireless communications, however. FRA is still
considering this issue, and asks for comment on whether such procedures
are needed, and what they should contain.
All of these proposals are discussed in more detail below.
Proposed Effective Dates
It is currently contemplated that the final rule would be effective
120 days after publication, except for Secs. 220.9 and 220.11. Sections
220.9 and 220.11 would be effective July 1, 1998 for each railroad:
(1) Providing commuter service in a metropolitan or suburban area;
(2) Providing intercity passenger service; or
(3) That has 400,000 or more annual employee work hours in 1997.
Sections 220.9 and 220.11 would be effective July 1, 1999 for each
railroad that has fewer than 400,000 annual employee work hours in
1997.
Impact on Small Railroads
On June 27, 1996, the Small Business Regulatory Enforcement Act of
1996 (SBREFA) (Pub. L. 104-121), went into effect. The SBREFA requires
an administrative agency, when conducting a rulemaking, to focus
particular attention on the rule's potential economic impacts on small
entities.
The Small Business Administration (SBA) defines ``small entity'' by
industry in regulations issued pursuant to 15 U.S.C. Sec. 632. In 13
CFR Secs. 121.401-407 and Sec. 121.601, the SBA defines a small entity
as any ``railroad, line-hauling operation'' with 1,500 or fewer
employees, and any ``railroad switching and terminal establishments''
with 500 or fewer employees. Temporary, full- and part-time workers are
included as employees, as are employees of independent contractors in
certain circumstances (see 13 CFR Sec. 121.404 for the full list of
defining criteria). The total number of employees is calculated by
averaging the number of temporary, full- and part-time workers used
over the preceding 12-month period.
According to SBA guidance, FRA can use a different definition of
small entity for purposes of the SBREFA, so long as FRA consults with
the SBA, notifies the public in its proposed rules and proposed
regulatory flexibility analyses that it is not using the SBA number
system, and requests comments on the definitions it uses. FRA must also
provide this notification whenever, in a proposed or final rule, it
certifies that the rule will have no significant impact on small
entities. To delineate between small and large railroads, for purposes
of this rulemaking, FRA proposes to adopt the reporting cut-off used in
49 CFR parts 217 and 219 (Railroad Operating Rules and Control of
Alcohol and Drug Use, respectively) of 400,000 annual employee work
hours (as determined in 1997, the year before implementation). Thus,
small railroads would be those with fewer than 400,000 annual employee
work hours; large railroads would be those with 400,000 or more annual
employee work hours. FRA anticipates that the proposed cut-off of
400,000 annual employee work hours would cover all Class I and II
railroads. ASLRA, who represents the interests of small railroads on
the Working Group, agrees with FRA's proposed definition of small
railroads for purposes of this rule.
Recognizing that smaller railroads have unique concerns, FRA
proposes different communication equipment standards and a longer
implementation period for small railroads. FRA's purpose is to allow
small railroads more flexibility without compromising safety.
Throughout this preamble, the rationale for FRA's proposed treatment of
small railroads will be discussed in detail.
The timetable for implementation would, of course, be determined by
the date of issuance of the final rule. As target dates, however, FRA
proposes to allow all railroads four months after final rule
publication to implement the new streamlined procedures, since the
proposed amendments should not require extensive investment or
retraining. FRA would phase-in implementation of radio/wireless
equipment purchase, however, to allow for railroad budget cycles and
the need to place orders. Small railroads would be allowed an extra
year to prepare for the required capital investment.
Thus, under FRA's proposal, the final rule would be effective 120
days after publication, except for Secs. 220.9 and 220.11. Sections
220.9 and 220.11 would be effective July 1, 1998 for railroads
providing commuter service in a metropolitan or suburban area,
railroads providing intercity passenger service (as used here and in
Sec. 220.21, this phrase allows for the expansion of passenger service
by providers other than Amtrak), and railroads with 400,000 or more
annual employee work hours in 1997. Sections 220.9 and 220.11 would be
effective July 1, 1999 for railroads with fewer than 400,000 annual
employee work hours in 1997. Carriers should not wait until the final
rule becomes effective to begin preparations for implementation of the
new requirements, however.
FRA invites comment on the classification system it has chosen as
well as on these target implementation dates.
Communications Equipment Requirements for Trains
Railroads With 400,000 or More Annual Employee Work Hours
For large railroads, FRA proposes to mandate working radios as the
primary means of communication for train crews, with some form of
redundant wireless communications capability. Reliable, high-quality
radio communications help ensure that movement authorities are clearly
understood, that emergency assistance can be quickly requested in the
event of
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an accident, and that emergency and security warnings can be
transmitted.
Moreover, large railroads already rely heavily on radios because of
the decrease in standard train crew size. Formerly, when crews
consisted of up to five employees (the engineer, conductor, head
brakeman, rear brakeman, and fireman), hand/lantern signals were used
for intra-crew communications. Now, the standard road train crew is
commonly composed of an engineer and conductor. While the use of radios
has led to greater operating efficiency, today's smaller crews rely
more heavily on voice radio for the conduct of switching operations.
Crews also need to have immediate communications capability to
handle obstructions, derailments, injuries, and other unanticipated
events. The withdrawal of train order operators and other
communications media from the rights of way, together with the
reductions in train crew size and lengthening of crew districts, makes
radio the primary means of emergency communication.
Based on a recent AAR survey, large railroads already provide most
of their lead locomotives with all-channel radios that allow
communications between trains and the dispatching center. Most
railroads also already have policies that require the train's radio to
be operational at the time of departure.
The Group therefore recommended to require that the controlling
locomotive in a train be equipped with a working radio upon departure
from a terminal. 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. Clearly, if a
locomotive is unoccupied, there is no one who needs to communicate from
it.
To address the possibility that a radio may fail en route, the
Working Group recommended that each train also have a form of working
wireless communications upon departure from a terminal. If the radio in
the controlling locomotive should fail en route, a standby radio, a
radio on another locomotive in the consist (e.g., a push-pull passenger
train), or another form of wireless communication will be available as
a backup until the primary radio can be either repaired or replaced. To
ensure that a required communication device is working, the device must
be tested prior to the commencement of a work assignment, a removed
from service if it is found not be functioning as intended. The Working
Group decided that wireless communications must be able to reach the
railroad's control center or an emergency responder, since their
purpose is mainly emergency notification.
Railroads With Fewer Than 400,000 Annual Employee Work Hours
Small railroads usually operate short trains, over short distances,
at slow speeds. They are often located in industrial parks or other
clearly defined areas where train crews are able to maintain constant
visual contact during railroad operations. For many of these railroads
(unlike larger ones), equipping train crews with a working radio and
some means of redundancy would entail not just a capital investment in
equipment, but also the hiring of dispatchers and the building of base
units. Many small railroads already use cellular telephones, not
radios, as their primary means of communication.
When operating passenger trains, however, small railroads face the
same heightened safety considerations as larger ones. For example, if a
derailment or other emergency occurred, it is crucial that the crew and
dispatcher be able to communicate with each other. Therefore, small
railroads would also be required to equip their passenger trains with a
working radio on each occupied controlling locomotive, and some form of
communications redundancy.
For freight trains, requirements would be determined by two
factors: whether the train operates at greater than 25 miles per hour,
and whether the train engages in joint operations on the tracks of a
large railroad. The varying requirements for freight trains operated by
small railroads will be discussed in more detail in the analysis of
Sec. 220.9.
Communications Equipment Requirements for Roadway Workers
On December 16, 1996, FRA published a final rule on Roadway Worker
Safety (61 FR 65959). That rule was the product of a negotiated
rulemaking involving several of the same parties participating in the
Working Group. The Roadway Worker Safety rule will bring about
significant improvements in the protection afforded workers conducting
duties on or adjacent to live track. That rule makes careful
distinctions in the type of protection that must be afforded under a
variety of common circumstances, and responsibility is placed jointly
on railroad supervision and workers to ensure that proper protection is
requested and afforded. The Working Group noted that provision of good
communications capability could encourage compliance with these
requirements while facilitating provision of the required protection.
This factor, plus the ability of roadway workers to quickly apprise the
control center or approaching trains of unsafe conditions along the
right of way, at a highway-rail crossing, or in a train inspected for
dragging equipment and other problems as it ``rolled by'' a work site,
led the Working Group to recommend the communication requirements
contained in this proposal.
Railroads With 400,000 or More Annual Employee Work Hours
The draft language in Sec. 220.11 requires railroads to determine
who should have access to a working radio by employee function. After
considerable debate, the Working Group concluded that two categories of
roadway workers, the Designated Employee in Charge (as defined in
Subpart C of 49 CFR part 214, Railroad Workplace Safety) of a roadway
work group, and the lone worker, must maintain immediate access to
working radio. The term ``maintain immediate access'' is discussed
below in the section dealing with communication requirements for
roadway workers of railroad with fewer than 400,000 annual employee
work hours.
A designated Employee in Charge and a lone worker have analogous
communications need. In each case, the employee must be qualified on
the physical characteristics of his or her assigned territory, and in
each case, the employee is responsible for providing protection, with
the difference that the Designated Employee in Charge is responsible
for an entire roadway gang, while the lone worker is responsible only
for him or herself. (Not every roadway worker who works alone is
considered a lone worker, however. Under Sec. 214.7 of FRA's
regulations on Roadway Workplace Safety, a lone worker is defined as 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 gang, and
who is not engaged in a common task with another roadway worker.)
Maintenance of way equipment traveling as a train between work
locations would also have to be equipped with at least one working
radio. Thus, when several maintenance of way units move in tandem, at
least one of the units would have the capacity to communicate with the
control center in the event of an emergency. If 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. The
[[Page 34548]]
operators of each additional piece of maintenance of way equipment
would be required to have wireless communications capability with each
other.
Large railroads would also have to provide each maintenance of way
gang with intra-gang wireless communications capability upon the gang's
arrival at the work site to enable gang workers to communicate movement
authorities and other need to know information to each other.
Railroads With Fewer Than 400,000 Annual Employee Work Hours
In the case of small railroads, the Designated Employee in Charge
(as defined in subpart C of 49 CFR part 214, Railroad Workplace Safety)
of a roadway work group, and the lone worker, must maintain either
immediate access to a working radio or working wireless communications.
FRA would allow small railroads an alternative to providing immediate
access to a working radio, since railroads operate at a lower volume,
often over single track, in limited territories, where the greater
broadcast capability of a radio is unnecessary. In these circumstances,
employees usually know where each other is located.
By ``maintain immediate access,'' FRA intends that the radio or
wireless communication equipment be either on the employee's person, or
for the radio, sufficiently close to the employee to allow the employee
to make a transmission and receive radio transmissions. As a rule of
reason, this means that a required communications device must be both
supplied by the railroad and used by the employee. To maintain
immediate access, the employee must stay within easy hearing distance
of the communications device so that he or she can continue to monitor
transmissions. For example, a signal maintainer climbing a signal tower
could maintain immediate access by carrying a portable radio, or by
staying within easy hearing distance of the radio speaker mounted on
his or her vehicle.
There are three exceptions, however, where FRA believes that the
risk presented by slow, infrequent trains would be so minimal that no
means of communication would be required. No communication equipment
would be required if a small railroad does not operate trains in excess
of 25 miles per hour. For all railroads, both large and small, no
communication equipment would be required if the work location of the
roadway work gang or lone worker is physically inaccessible to trains,
or has no through or adjacent traffic when roadway workers are present.
Non-radio Wireless Communications Procedures
As mentioned above, due to time restrictions, the Group did not
fully debate the issue of whether to propose procedures for the use of
non-radio wireless communications that would parallel the radio
procedures in Subpart B of this part. Instead, the Group decided to
reserve the scope of this issue for the final rule. FRA asks for
comment on whether such procedures are necessary (e.g., is ordinary
telephone etiquette sufficient for cellular telephones), and on the
following questions posed by the Group.
If FRA decides to adopt non-radio wireless procedures, should they
be incorporated into part 220 or implemented in a separate rule? With
non-radio wireless communications, do the same opportunities for
misunderstanding exist as with radio? How would FRA enforce non-radio
wireless procedures (e.g., ``over and out'' with cellular telephones)
since usually only one party to the conversation can be overheard?
Should radio procedures apply to the transmission of mandatory
directives by wireless communications? Should there be wireless
communications procedures to handle en route failure? Some railroads
already address non-radio wireless procedures in their operating rules.
Reframing of Radio Frequencies
The Federal Communications Commission (FCC) regulates the radio
frequencies used by the railroad industry. FRA will continue to monitor
FCC actions dealing with the bandwidth of channels utilized by
railroads, and many propose modifications to this part to reflect FCC
decisions.
Emergency Order No. 20
On February 22, 1996, FRA issued Emergency Order (EO) No. 20,
notice no. 1 (61 FR 6876), which required commuter and intercity
passenger railroads to develop interim safety plans and improved
operating rules designed to ensure the safety of passengers in the
leading car of a train. In EO No. 20, notice no. 2, published on March
5, 1996 (61 FR 8703), FRA modified the signal calling provision in
notice no. 1. Essentially, during specified types of push-pull and
multiple unit operations, designated crew members must orally
communicate wayside signal aspects to the crew in the controlling
locomotive. Notice no. 2 also states that ``[i]f necessary due to a
radio equipment failure, alternative means shall be established by the
operating crew (e.g., via intercom, cellular telephone etc.) to
accomplish this procedure.''
While the crew communication requirements in EO No. 20 affect and
are affected by this NPRM's proposed revisions to part 220, FRA will
not address this issue here. Instead, FRA will discuss crew
communications in its second NPRM on passenger equipment standards,
which is anticipated to be issued in 1998.
Section by Section Analysis
Subpart A--General
Section 220.1 Scope
As explained earlier in this preamble, FRA proposes to expand the
scope of this part to allow for newer forms of technology that are
already in use. For this reason, FRA proposes to change the phrase
``radio communications'' to ``wireless communications'' and to add the
definitions of ``working radio'' and ``working wireless
communications'' to this part.
Section 220.2 Preemptive Effect
FRA proposes to add a preemption section, which would parallel the
preemption language in 49 U.S.C. Sec. 20166.
Section 220.3 Application
This section would remain unchanged.
Section 220.5 Definitions
Throughout the rule, FRA proposes to substitute ``locomotive'' for
``engine'' wherever that term appears. The term ``locomotive'' is more
encompassing, since it also include cab cars and MU units.
The following is an explanation of each definition that FRA
proposes to add or amend.
Control center. In the past, most railroads issued instructions
from numerous dispatching offices distributed throughout their
territory. Today, radio communications and other advanced technologies
have enabled most railroads to centralize management of their
operations in fewer locations. By control center, FRA means the
locations from which a railroad issues instructions governing its
operations.
Employee. The Rail Safety Enforcement and Review Act (RSERA) (1992)
clarified that FRA's safety jurisdiction extends to all entities,
including contractors and their employees, that may violate the
railroad safety laws. The amended definition of employee would include,
besides contractors and their employees, and
[[Page 34549]]
individuals authorized by railroads who use radios, or any other form
of wireless communications in connection with railroad operations.
Joint operations. This term refers to operations by a small
railroad on the tracks of a large railroad (one with 400,000 or more
annual employee work hours). Under Sec. 220.9, a train operated by a
small railroad that would otherwise be exempt from meeting the
communication equipment standards would be required to have either a
working radio or working wireless communications when engaged in
certain types of joint operations. The proposed definition allows an
exclusion for interchange operations.
Lone worker. For consistency, FRA proposes to incorporate this
definition from its recently published final rule on Roadway Worker
Protection [61 FR 65959, December 16, 1996].
Mandatory directive. Throughout part 220, FRA proposes to replace
the term ``train order'' with ``mandatory directive.'' A mandatory
directive carries the same authority as the traditional train order,
but also includes speed restrictions and other types of movement
authority such as direct train control authorities and track warrants.
Railroad operation. The proposed definition would substitute
``locomotive'' for ``engine'' to be consistent with the terminology in
the remainder of the rule, and would make an editorial change from
``single'' to ``singly.''
Roadway worker. For consistency, FRA would also incorporate this
definition from the recently published final rule on Roadway Worker
Protection.
Train. Under this definition, any railroad operation subject to the
air brake testing requirements of 49 CFR part 232 would be considered a
train for purposes of this rule. In proposing this definition, the
Working Group sought to exclude switching operations, and the assembly
or disassembly of rail cars within a railroad yard, both of which do
not require an air test. However, the definition does include transfer
trains, particularly long-distance yard-to-yard movements.
Working radio. By working radio, FRA means 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). 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 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 completed may not be acted upon and must be
treated as if not sent). Railroads must maintain the communications
capability to broadcast over every territory on which they operate,
however.
Some members of the Working Group have suggested that railroads be
permitted to define coverage limits that exclude certain territories,
such as lightly used branch lines in areas uniformly affected by
extreme topography, where the cost of placing repeater stations might
be significant in relation to the benefits afforded. FRA recognizes
that this issue deserves further consideration and requests comment
regarding whether the final rule should contain language permitting
exclusions to ``coverage.'' If so, under what specific conditions might
this be appropriate? FRA also notes that railroads may petition for
waivers of these proposed requirements in accordance with the
procedures contained in 49 CFR part 211 (FRA's Rules of practice);
however, FRA would prefer for this issue to be resolved within the text
of the final rule.
Working wireless communications. As discussed above, FRA proposes
to require communications redundancy to compensate for failed radio
communications due to interference, equipment failure, transmission
difficulties and other problems which will occur even with the most
advanced equipment.
Section 220.7 Penalty
As explained above, the RSERA expanded coverage of FRA's
regulations to include contractors and their employees. FRA proposes to
amend this section to make clear 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. In other words, any
person who is 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.
FRA would also amend this section to raise the minimum penalty for
violations of this part from $250 to $500, as already required by the
RSERA.
Section 220.9 Requirements for Trains
Paragraph (a)
As discussed above in the section analyzing FRA's proposed
communications equipment requirements for trains, large railroads would
be required to equip all trains with a working radio in the controlling
locomotive and with a back-up means of wireless communications. This
requirement would apply to both freight and passenger operations.
Paragraph (b)
As discussed above, small railroads would 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, would have to be equipped with both
a working radio in the 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 controlling locomotive. Similarly,
a freight train engaged in joint operations on track in proximity to
track where the maximum authorized speed for passenger trains is
greater than 40 miles per hour must also be equipped with a working
radio in the controlling locomotive. The proposed cutoff in
subparagraph (b)(2)(B), ``within 30 feet measured between track center
lines of another track,'' is one of the criteria used to determine the
extent of FRA's jurisdiction over tourist and historic railroads.
In the conditions described above, FRA would require the crew of
the freight train to have a working radio to enable them to communicate
with the host railroad's control center and the other trains on the
host railroad. For example, if a freight train went into emergency or a
hazardous materials release occurred, the crew of the freight train
could broadcast a warning to the crew of a nearby passenger train, in
addition to the control center.
A train that engaged in joint operations on track where the maximum
authorized speed for freight trains is 25 miles per hour or less would
be required to have working wireless communications, but not a working
radio in the controlling locomotive.
[[Page 34550]]
Finally, a train that did not transport passengers or engage in
joint operations, would also be required to have working wireless
communications if it transported hazardous materials. No communication
equipment would be required for a train that did not transport
passengers or hazardous material, and did not engage in joint
operations or operate at greater than 25 miles per hour.
Section 220.11 Requirements for Roadway Workers
Paragraph (a)
As discussed above, a small railroad would not need to provide
communications equipment if its trains do not operate in excess of 25
miles per hour. In addition, in the section analyzing FRA's proposed
communications equipment requirements for roadway workers, large
railroads would have to provide a working radio to maintenance of way
equipment moving to or from a work location, or between multiple work
locations on the same day. The radio would enable the roadway work gang
to contact the control center when traveling. A unit of equipment
traveling alone would also need to be radio equipped.
Paragraph (b)
As discussed above, large railroads would have to provide each
Designated Employee in Charge, and each lone worker, with immediate
access to a working radio. Small railroads would have the option of
providing immediate access to either a working radio or working
wireless communications.
Paragraph (c)
As discussed above, a railroad, regardless of size, would not be
required to provide communication equipment whenever the work location
of the roadway work gang or lone worker is physically inaccessible to
trains, or has no through or adjacent traffic when roadway workers are
present.
Section 220.13 Reporting Emergencies
In this new section, FRA seeks to emphasize that an employee's
first priority, in the event of an emergency, is to notify the railroad
using the quickest means of communications available. An employee
should notify the proper authorities 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. In reporting emergencies, the employee is to
follow the procedures in Sec. 220.47 of this part when using a radio,
or the procedures specified in the railroad's time table, or timetable
special instructions when using another means of wireless
communications. Operating rules, timetables, and timetable special
instructions are required to be filed under Sec. 217.7 of 49 CFR part
217 (Railroad Operating Rules).
Because this section includes language originally in
Sec. 220.47(a), which also covers emergency procedures, Sec. 220.47
would now only include the requirement that an initial radio
transmission begin with the word ``emergency'' repeated 3 times.
Subpart B--Radio and Wireless Communication Procedures
FRA proposes to retitle 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. The title to this Subpart
would be changed to reflect that wireless communication equipment is
covered by Secs. 220.37 and 220.38; section titles in this Subpart that
apply only to radio operations have accordingly also been retitled to
reflect that fact.
Section 220.21 Railroad Operating Rules; Radio Communications:
Recordkeeping
FRA proposes to delete the implementation dates from this section
since these references are no longer necessary.
Paragraph (b)
The proposed changes to paragraph (b) are strictly editorial. In
paragraph (b)(1), as explained above in the discussion on effective
dates, the phrase ``each railroad providing intercity rail service''
allows for future expansion of passenger service by providers other
than Amtrak.
Paragraph (c)
This paragraph makes clear that FRA would retain the carrier
classifications (Class I, II, and III railroads) originally created by
the former Interstate Commerce Commission (ICC). The Department's
Surface Transportation Board, which succeeded the ICC, has not changed
these classifications.
Section 220.23 Publication of Radio Information
The proposed changes are all editorial.
Section 220.25 Instruction and Operational Testing of Employees
Other than one editorial amendment (from ``[e]ach employee who is
authorized * * *'' to [e]ach employee who a railroad authorizes * *
*''), the only proposed change in this section is the addition of
paragraph (c).
Paragraph (c)
This paragraph would require each railroad to conduct testing on
the procedures in this part in accordance with the written program of
operational tests and inspections required to be filed under Sec. 217.9
(Railroad Operating Rules, 49 CFR Part 217). Railroads would have to
test employees on radio procedures in conjunction with the already
required periodic operating rules tests.
Section 220.27 Identification
Paragraph (a)
FRA proposes to delete paragraph (a)(3), which required an employee
(usually the dispatcher) to identify the location of the wayside, base,
or yard station from which the employee is broadcasting. This
requirement is now superfluous for those railroads that use central or
regional dispatching, with a single station for each dispatching
system. Where this is the case, each dispatching station has a unique
designation, so that stating that designation would be sufficient
identification. FRA hopes that streamlining the identification
requirements will help to reduce radio congestion. If a station does
not have a unique designation, both the station's name and location
should continue to be stated.
The other proposed change would merely combine paragraphs (a)(2)
and (a)(3) into one paragraph.
Paragraph (b)
As explained above, FRA proposes to substitute ``locomotive'' for
``engine'' wherever it appears in the rule. FRA would also delete
``pakset'' and ``caboose'' since these are no longer widely used terms.
Section 220.29 Statement of Letters and Numbers in Radio
Communications
This section would be retitled to limit its applicability to radio
communications.
Paragraph (b)
FRA proposes to delete the word ``precision'' as unnecessary, and
to make other editorial changes such as suggesting a station name as an
example of what must be spelled for clarity.
[[Page 34551]]
Paragraph (c)
This paragraph would be amended to provide that a decimal point
could 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 would be retitled to limit its applicability to radio
communications.
The only proposed changes to the section itself would be to make it
gender-neutral, by substituting ``the employee'' for ``he'' or ``his.''
Similar changes have been made throughout the proposed rule text.
At one Working Group meeting, it was noted that the current
regulation differs from practice in other industries because it
requires the caller to identify him or herself before identifying the
intended receiver. In the aviation industry, for example, the reverse
order is followed, with the caller first identifying who he or she
seeks to contact, and then identifying him or herself. The Group
debated whether adopting this reverse order of identification could
reduce dispatcher fatigue and requests for repeats by allowing
dispatchers to listen specifically for transmissions that are addressed
to the control center. The Group elected to make no changes; FRA
invites comment on whether reversing the current identification order
would improve the quality of railroad communications.
Section 220.33 Receiving a Radio Transmission
This section would be retitled to limit its applicability to radio
communications.
Paragraph (a)
The only proposed change would clarify 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 would delete paragraph (b) since it would be made redundant by
proposed paragraph (a). Current paragraph (c) would be redesignated as
paragraph (b).
Unless required by a railroad's operating rules, FRA does not
propose to require a railroad employee to copy the following
instructions when in signaled territory: permission to pass a stop
signal, occupy main track in CTC territory or to move with the current
of traffic, make a reverse movement within the limits of the same
block, and permission for foul time. This is because the instructions
are advisory in nature, and that, in these instances the train either
already possesses authority to occupy the main track by signal
indication, or the operating rules themselves convey this authority.
Similarly, information such as trespassers or debris on track ahead
usually involve imminent conditions that may change by the time the
next train passes by, and are also advisory in nature. While these
short-term instructions must be repeated, they need not be copied since
they will soon be acted upon. In contrast, in non-signaled territory,
occupancy of, or fouling a main track typically requires some form of
initial movement authority from the train dispatcher or control
operator, and, therefore, must be in writing.
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 would continue to allow communications involving yard switching
operations to be transmitted without having to be repeated back to the
transmitting party. Switching that involves occupying or potentially
fouling main track may present different kinds of risks than switching
in a yard environment. Yard channels are more subject to overcrowding
because of their volume of operations.
Some members of the Working Group would prefer to omit the
requirement to repeat communications in all circumstances where
switching is being performed. FRA requests further comment on this
issue and will ensure full reconsideration in the Working Group prior
to publication of a final rule.
Section 220.35 Ending a Radio Transmission
This section would be retitled to limit its applicability to radio
communications.
In its 1994 Report, FRA noted that this section has been widely
disregarded, and expressed doubts about whether continuing to enforce
this section would be the best use of agency resources. For this
reason, at one of the Working Group meetings, FRA suggested making
``over and out'' a recommended practice instead of a required one. In
FRA's experience, when railroads rigidly enforce ``over and out'',
superfluous conversations disappear and radio discipline improves.
Nevertheless, this section remains the least complied with in part 220,
and there is potential individual liability for both railroad officers
and employees who fail to comply with this requirement.
As the Working Group deliberations closed, there was disagreement
regarding the appropriate treatment of this provision. FRA has retained
the existing provision in the rule text as proposed in this NPRM with
the expectation that the matter can be resolved in the Working Group at
the final rule stage.
FRA seeks comment on this issue. Should FRA enforce this section
against individuals? Would agency resources be better spent ensuring
that the proper parties act on a transmission? If so, how could this be
done? Are there alternate, equally effective ways to indicate the end
of a transmission? Is this procedure necessary when the dispatcher has
achieved a one-to-one identification with a particular employee? If
retained, should this requirement be enforced in terminals?
Section 220.37 Testing Radio and Wireless Communication Equipment
As discussed above, this section would be retitled and expanded in
scope to cover testing of all the communication equipment required by
Secs. 220.9 and 220.11.
Paragraph (a)
By substituting ``as soon as practicable'' for ``at least once
during each tour of duty,'' FRA proposes to require the engineer and
conductor to perform a voice test at the start of their tour.
Currently, this section allows a crew to perform a voice test at any
point during their trip. Revising this section would prevent the crew
from delaying the test, e.g., not performing a voice test until right
before the first time the crew uses the radio. A crew should not wait
until they are several hours into their trip before checking to see
whether the radio works properly or whether it needs to be replaced.
FRA would also delete 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) would be deleted, since these
requirements
[[Page 34552]]
would be covered in proposed Sec. 220.38, discussed below. A new
paragraph (b) would be added requiring that the test of a radio shall
consist of voice transmissions with another radio. The employee
receiving the transmission shall advise the employee conducting the
test of the clarity of the transmission.
FRA has not specified the testing procedures that must be followed
for other forms of wireless communications. FRA seeks comments on
whether the rule should specify such testing procedures and, if so,
what these procedures should contain.
Section 220.38 Communication Equipment Failure
This section is new and covers the equipment failure of all the
communication equipment required by Secs. 220.9 and 220.11.
Paragraph (a)
In the current rule, only Sec. 220.41, which merely requires that
the employee notify the proper authorities, addresses the issue of
radio failure. In addition to notification, this proposed section would
also require that inoperative radios and other mandatory wireless
communication equipment be removed from service as soon as they are
discovered.
Paragraph (b)
If a radio fails en route, the controlling locomotive could 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 radio repair in paragraph (b) mirror those found
in 49 CFR Sec. 229.9(b), which specifies the movements allowed for
repair of non-complying locomotives. Members of the working group asked
that comment be requested regarding flexibility for designation of
repair points. For instance, in order to encourage aggressive action to
replace failed radios, should the rule expressly provide that placement
of one or more radios on locomotives at a particular location does not
constitute that location as a ``repair point''?
Section 220.39 Continuous Radio Monitoring
This section would be retitled to limit its applicability to radio
communications. The intent of the other proposed changes is strictly
editorial. This section would continue to be written in terms of the
radio, not the employee, to make clear that it requires the radio to be
constantly monitored, but does not require every employee to monitor.
Only the employee who is custodian of the radio would be responsible
for ensuring monitoring.
Section 220.41 Notification on Failure of Radio
Proposed Sec. 220.38, discussed above, which also addresses radio
and equipment failures, would make this section redundant. FRA would
therefore remove and reserve this section.
Section 220.43 Radio Communications Consistent With Federal
Regulations and Railroad Operating Rules
This section would be retitled to limit its applicability to radio
communications, and amended to make an editorial change (``must'' to
``shall''). As reworded, this section would make explicit what had
previously been implicit, by requiring a radio communication to comply
with this part and with FCC regulations, in addition to the railroad's
operating rules.
Section 220.45 Radio Communications Shall be Complete
This section would be retitled to limit its applicability to radio
communications, but would otherwise remain unchanged.
Section 220.47 Emergency Radio Transmissions
This section would also be retitled to limit its applicability to
radio communications. As mentioned above in the discussion on proposed
Sec. 220.13, Sec. 220.13(a) would include the language originally in
Sec. 220.47(a). FRA would retain the requirement that an initial
transmission begin with ``emergency'' repeated 3 times, however
(subsequent transmissions do not have to begin this way). In this
section, FRA therefore proposes to delete paragraph (a). Additionally,
FRA would change the word ``transmission'' to ``communication,'' to
emphasize that the emergency frequency or channel must be kept clear
for the duration of the two-way conversation between the reporting
employee and the emergency responder.
Section 220.49 Radio Communication Used in Shoving, Backing or Pushing
Movements
This section would be retitled to limit its applicability to radio
communications. In the title of this section, the term ``shoving''
would be substituted for ``switching.'' The proposed title would make
clear that this section applies to back-up moves only. The term
``switching'' is irrelevant, since this section also applies when road
trains make back-up moves.
The phrase ``in lieu of hands signals'' would be deleted to
emphasize that this section applies whenever a radio is used. FRA also
proposes to substitute ``continual'' for ``continuous,'' since the
former implies a succession of occurrences that are very close
together, with only small breaks between them; while the latter implies
an unbroken succession of occurrences. This editorial change would
clarify that employees are not required to converse ceaselessly when
using radio communication to make a shoving, backing or pushing
movement.
Section 220.51 Radio Communications and Signal Indications
This section would be retitled to limit its applicability to radio
communications. In paragraph (b), FRA proposes to delete the phrase
``in automatic block territory'' to emphasize that the prohibition
against conveying signal indications applies to all types of territory.
Section 220.61 Transmission of Mandatory Directives
In this section, FRA proposes to substitute ``mandatory directive''
for ``train order'' wherever that term appeared. Also, instead of
breaking this section out into a separate subpart (Subpart C), FRA
would integrate this section, which addresses the transmission of
mandatory directives by radio, into Subpart B, which covers all radio
procedures. Subpart C would thus be reserved for non-radio wireless
procedures, if FRA decides to adopt them.
Other than the changes discussed below, all other proposed
amendments are intended strictly to modernize and streamline this
section.
Paragraph (5)(i)
By inserting the word ``each'' and removing the word ``both,'' FRA
intends to clarify that it is not sufficient for the engineer and
conductor to share a copy of the mandatory directive, even if they have
both read it. This section requires, and has always required (contrary
to some railroad interpretations), the conductor and the engineer to
have their own individual copies. Both, in turn, are then responsible
for ensuring that all members of the crew responsible for operation of
the train read and understand the directive before it is acted upon.
Personnel on passenger and commuter trains who are not directly
involved in the operation of a train, such as lounge care attendants
and ticket takers, are not required to read and understand each
mandatory directive.
[[Page 34553]]
The Working Group recommended, and the proposed rule provides, that
mandatory directives that have been fulfilled or canceled be marked
with an ``X'' or in accordance with the railroad's operating rules.
Compliance with this requirement will ensure that employees do not
later become confused as to which mandatory directives are applicable
at any point in time.
For both train crews (paragraph 5(i)) and roadway gangs (paragraph
5(ii)), FRA suggested that the Working Group consider whether to
require each employee responsible for executing a mandatory directive
to retain a copy of that directive until the end of their work
assignment. After investigating a 1996 fatal head-on collision at
Smithfield, West Virginia, FRA issued a Safety Bulletin (61 FR 64191)
advising that railroads require train crews to retain copies of
mandatory directives for seven work days after the completion of the
work assignment. This is already the practice on NORAC (the Northeast
Operating Rules Advisory Committee) member railroads. Retention of
mandatory directives for the duration of the work assignment would also
enable both railroads and FRA to enforce compliance with the copying
requirement. Moreover, since copies of mandatory directives are already
being generated, retention for the duration of the assignment would not
impose any additional paperwork burden on the industry.
The Working Group did not have time to explore the retention issue
fully, however. FRA has therefore not required in the proposed rule
that any employee retain a mandatory directive beyond the time it has
been fulfilled or canceled. FRA solicits comment on the value of
retention. Could retention of copies of mandatory directives lead to
employee confusion as to which directives were outstanding and which
still needed to be acted upon, or would the requirement to mark
fulfilled directives ensure that employees acted upon the correct
directive? This issue will be revisited thoroughly by the Working Group
in its consideration of the final rule.
Paragraph (5)(ii)
For roadway gangs, FRA proposes to require that the mandatory
directive be ``acknowledged,'' instead of ``read and understood,'' by
those employees who need to know. Often, the employee in charge is the
only member of the roadway gang who has been qualified on the physical
characteristics of the area assigned to the gang. At the beginning of
the assignment, the designated employee in charge should provide a
detailed job briefing notifying the other roadway workers of the gang's
movement limitations, authorities, and other relevant information.
Mandatory directives which have been fulfilled or canceled would be
marked with an X or in accordance with the railroad's operating rules.
Commenters are requested to address whether the mandatory directives
should be retained until the end of their work assignment (see
discussion under paragraph (5)(i), above).
Regulatory Impact
Executive Order 12866 and DOT Regulatory Policies and Procedures
This rule has been evaluated in accordance with existing policies
and procedures. It is believed that the rule will be 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 proposed rule. Document inspection and 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, SW., Washington, DC 20590.
As part of the regulatory impact analysis FRA has assessed
quantitative measurements of costs and benefits expected from the
adoption of the proposed rule. Over a twenty year period, the Net
Present Value (NPV) of the estimated quantifiable societal benefits is
$102.8 million, and the NPV of the estimated costs is $39.9 million.
The major costs anticipated from adopting this proposed rule
include: the installation of radios for locomotives; the purchase of
cellular telephones or other form of wireless communication for
locomotives of smaller railroads operating trains in situations with
decreased risk; 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 for locomotive and portable radios; and
replacement cellular telephones.
The major benefits anticipated from adopting this proposed rule
include: reduction of injuries and fatalities of roadway workers;
reduced trespasser fatalities; reduction of railroad worker injury
severity from a quicker emergency response; reduced grade crossing
accidents; and reduced railroad accidents that were caused by the
improper usage of radios.
Additionally, FRA anticipates other qualitative benefits accruing
from this proposed rule which are not 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 assessment of small entity impact can be found in
Appendix B of the NPRM's Regulatory Impact Analysis, located in the
docket.
After consultation with the Office of Advocacy of the SBA, FRA will
use the delineation of less than 400,000 annual employee hours as being
representative of small entities. This grouping is one that FRA has
used in the past (in 49 CFR parts 217 and 219) to alleviate reporting
requirements. Typically, FRA uses the Surface Transportation Board's
(STB) revenue-based classification of Class III railroads as being
representative of small entities. Many Class III railroads have fewer
than 400,000 annual employee hours. Using 400,000 annual employee hours
as the line between small and non-small entities provides advantages
over the Class III distinction. FRA already maintains a database
containing information on which railroads fall below this line.
Additionally, this delineation does not provide the same automatic
exemption as the Class III distinction does for switching and terminal
railroads. By using this grouping for small railroads, FRA is capturing
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 number of small entities. There are no small
government jurisdictions affected by this regulation. Approximately 450
small entities will be impacted. However, the actual burden on most of
these railroads will vary because of their different operating
characteristics.
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
[[Page 34554]]
proposed 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 the
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 track
being used is 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 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
the impact on small railroads. The subsection (a) requirement of
equipping maintenance of way equipment with communications capability
upon arriving at a work site, does not apply to small railroads. Under
subsection (b), large railroads must provide each employee designated
by the employer to provide on-track safety for a roadway work group and
each lone worker with immediate access to a working radio. However,
small railroads can 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 subsection (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
paragraph (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.
Environmental Impact
FRA has evaluated these proposed regulations in accordance with its
procedures for ensuring full consideration of the potential
environmental impacts of FRA actions, as required by the National
Environmental Policy Act (42 U.S.C. 4321 et seq.) and related
directives. These proposed regulations meet the criteria that establish
this as a non-major action for environmental purposes.
Appendix
FRA plans to revise Appendix C to part 220--Schedule of Civil
Penalties in the final rule. Because such penalty schedules are
statements of policy, notice and comment are not required prior to
their issuance. See 5 U.S.C. 553(b)(3)(A). Nevertheless, interested
parties are welcome to submit their views on what penalties may be
appropriate.
Federalism Implications
This proposed rule has been analyzed according to the principles of
Executive Order 12612 (``Federalism''). It has been determined that
these proposed 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. FRA has made every effort to provide reasonable
flexibility to State-level decision making and has included commuter
authorities as full partners in development of this proposed rule.
Paperwork Reduction Act
The proposed rule contains some new information collection
requirements. The information collection requirements currently in 49
CFR part 220 were approved by the Office of Management and Budget (OMB)
under OMB approval numbers 2130-0035 and 2130-0524 and are marked with
an ``*'' below. These information collection requirements plus any new
information collection requirements resulting from this rulemaking
proceeding will be submitted to OMB for approval under the Paperwork
Reduction Act of 1995, 44 U.S.C. 3501 et seq. at the final rule stage.
The sections that contain the current and proposed 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.
--------------------------------------------------------------------------------------------------------------------------------------------------------
Total
Average time per Total annual burden annual
CFR section Respondent universe Total annual responses response hours burden
cost
--------------------------------------------------------------------------------------------------------------------------------------------------------
220.13--Reporting emergencies....... 680 railroads................. N/A................... Usual and Customary N/A................... N/A
Practice under Common
Law.
* 220.21--Railroad operating rules; 680 railroads................. N/A................... Approved by OMB under N/A................... N/A
radio communication; recordkeeping. 2130-0035.
Requirement will not
impose any new burden.
220.23--Publication of radio 680 railroads................. N/A................... Usual and Customary N/A................... N/A
information. Procedure.
* 220.25--Instruction and N/A........................... N/A................... Approved by OMB under N/A................... N/A
operational testing of employees. 2130-0035.
--Instruction....................... 680 railroads................. Additional 15,000 30 minutes............ Annual burden will $187,500
employees trained. increase by 7,500
hours to include
training for roadway
workers.
[[Page 34555]]
--Periodic operational testing--new 680 railroads................. Additional 33,333 15 minutes............ Increase of 8,333 $208,325
requirement. tests. hours annually.
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--acknowledgement. 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 N/A........................... N/A................... Approved by OMB under N/A................... N/A
mandatory directive. 2130-0524.
--Train crews--marking with an X 680 railroads................. 52,000 X's............ 15 seconds............ 217 hours............. $5,425
mandatory directives fulfilled or
canceled.
--On track equipment--marking with 680 railroads................. 39,000 X's............ 15 seconds............ 163 hours............. $4,075
an X mandatory directives fulfilled
or canceled.
--------------------------------------------------------------------------------------------------------------------------------------------------------
Pursuant to 44 U.S.C. 3506(c)(2)(B), FRA solicits comments on the
quality, utility, and clarity of the information to be collected; and
on whether these information collection requirements are necessary for
the proper performance of the function of FRA, including whether the
information has practical utility; whether FRA's estimates of the
burden of the information collection requirements are accurate; and
whether the burden of collection of information on those who are to
respond, including through the use of automated collection techniques
or other forms of information technology, may be minimized.
Organizations and individuals desiring to submit comments on these
information collection requirements should direct them to Gloria
Swanson Eutsler, Federal Railroad Administration, RRS-211, 400 7th
Street, S.W., Washington, D.C. 20590, or contact Mrs. Eutsler at (202)
632-3318. The final rule will address any public comments received on
the information collection requirements contained in this proposal.
FRA cannot impose a penalty on persons for violating information
collection requirements which do not display a current OMB control
number, if required. FRA intends to obtain current OMB control numbers
for any information collection requirements resulting from this
rulemaking action prior to the effective date of a final rule. The OMB
control number, when assigned, will be announced by separate notice in
the Federal Register.
List of Subjects in 49 CFR Part 220
Communications, Railroads.
Accordingly, for the reasons stated in the preamble, FRA proposes
to revise 49 CFR part 220 to read as follows:
PART 220--RAILROAD COMMUNICATIONS
Subpart A--General
Subpart A--General
Sec.
220.1 Scope.
220.2 Preemptive effect.
220.3 Application.
220.5 Definitions.
220.7 Penalty.
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 Continous 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, 21301, 21304, 21311 (1994); and 49
CFR 1.49(m).
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,
[[Page 34556]]
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 these regulations
preempts any State law, rule, regulation, order, or standard covering
the same subject matter, except a provision directed at 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:
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.
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.
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 gang, 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, with the
exception of limited segments of territory where topography or
transient weather conditions temporarily prevent effective
communication. In the case of joint operations on another railroad, the
radio 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 an emergency responder of the railroad
through such means as radio, portable radio, cellular telephone, or
other means of two-way communication, from any location within the rail
system, with the exception of limited segments of territory where
topography or transient weather conditions temporarily prevent
effective communication. In the case of joint operations on another
railroad, the working wireless communication 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 $10,000 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 $20,000 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. 220.9 Requirements for trains.
(a) Except as provided for in paragraph (b) of this section, 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) 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 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 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 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 controlling locomotive.
[[Page 34557]]
Sec. 220.11 Requirements for roadway workers.
(a) 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 gang shall have intra-gang
communications capability upon arriving at a work site.
(b) Each employee designated by the employer to provide on-track
safety for a roadway work gang or gangs, and each lone worker, shall
maintain immediate access to a working radio, except that a railroad
with fewer than 400,000 annual employee work hours can 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
gang or lone worker:
(i) is physically inaccessible to trains; or
(ii) has no through or adjacent rail traffic 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 of this part 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.
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 with 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 its territory where radio base
stations are installed, where wayside stations may be contacted, and
designate 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 acknowledgement consistent with applicable Federal
Communications Commission regulations governing ``Station
Identification''.
Sec. 220.29 Statment 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 word ``decimal,'' ``dot,'' or ``point''. (See
appendix B to this part, for a recommended guide to the pronunciation
of numbers.)
[[Page 34558]]
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) 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) 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 redundant wireless communication equipment used
under Secs. 220.9 and 220.11 shall be tested as soon as practicable to
ensure that the equipment 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 advice 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 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 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 give complete instructions or
keep in continual radio contact with the employee receiving the
instructions. The distance of the movement shall be specified, and the
movement shall stop in one-half the remaining distance unless
additional instructions are received. If the instructions are not
understood or continual radio contact is not maintained, 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,
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 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 by
radio 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
[[Page 34559]]
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.
(ii) For on-track equipment, before a mandatory directive is acted
upon, the employee in charge of the on-track equipment 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. Mandatory
directives which have been fulfilled or canceled shall be marked with
an ``X'' or in accordance with the railroad's operating rules.
(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
Q--QUEBEC
R--ROMEO
S--SIERRA
T--TANGO
U--UNIFORM
V--VICTOR
W--WHISKEY
X--XRAY
Y--YANKEE
Z--ZULU
The letters ``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................................. 0
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 ``O'' 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 THOUSAND
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
------------------------------------------------------------------------
220.21 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 Notification on failure of train radio 2,500 5,000
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 Transmission of train orders by radio. 5,000 7,500
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\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
$20,000 for any violation where circumstances warrant. See 49 CFR part
209, appendix A.
[[Page 34560]]
Issued in Washington, DC on June 11, 1997.
Jolene M. Molitoris,
Federal Railroad Administrator.
[FR Doc. 97-15818 Filed 6-25-97; 8:45 am]
BILLING CODE 4910-06-M
