[Federal Register Volume 63, Number 168 (Monday, August 31, 1998)]
[Notices]
[Pages 46274-46278]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 98-23376]
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DEPARTMENT OF TRANSPORTATION
Federal Railroad Administration
Petition for Waiver of Compliance
In accordance with Title 49. Code of Federal Regulations (CFR),
Sections 211.9 and 211.41, notice is hereby given that the Federal
Railroad Administration (FRA) received a request for a waiver of
compliance from certain requirements of Federal railroad safety
regulations. The individual petition is described below, including the
party seeking relief, the regulatory provisions involved, the nature of
the relief being requested, and the petitioner's arguments in favor of
relief.
CSX Transportation, Incorporated (Waiver Petition Docket Number H-
98-6)
CSX Transportation, Incorporated (CSXT) seeks a waiver of
compliance from certain sections of 49 CFR Parts 216, Special Notice
and Emergency Order Procedures: Railroad Track, Locomotive and
Equipment; 217, Railroad Operating Rules; 218, Railroad Operating
Practices; 229, Railroad Locomotive Safety Standards; 233, Signal
Systems Reporting Requirements; 235, Instructions Governing
Applications for Approval of a Discontinuance or Material Modification
of a Signal System or Relief from the Requirements of Part 236; 236,
Rules, Standards, and Instructions Governing the Installation,
Inspection, Maintenance, and Repair of Signal and Train Control
Systems, Devices, and Appliances; and 240, Qualification and
Certification of Locomotive Engineers, under Part 211.51, Tests, to
allow them to develop, implement, and test technology designed to
prevent train collisions and overspeed violations and to protect track
maintenance personnel from trains. The program will enable CSXT to
demonstrate and validate the technology, referred to as CBTM (for
Communications Based Train Management), before it is implemented on a
larger scale.
CBTM is a non-vital safety overlay that works in conjunction with
the existing method of operation in DTC (Direct Traffic Control)
territory to protect against the consequences of human error. This
approach provides a ``safety net'' for train operations while retaining
the existing method of operation as the primary means of control.
CBTM's safety enhancements are achieved through a distributed,
communication-based system that enforces movement authority and speed
restrictions for CBTM-equipped trains. Five CBTM segments work together
to provide this enforcement: office server, zone logic controller,
wayside, locomotive, and communications. The office server receives the
DTC authority and train message information from CADS (Computer Aided
Dispatching System). This information is passed down to the appropriate
zone logic controller. The zone logic controller sends this information
through the communications segment down to the locomotive, as targets.
The locomotive segment enforces a train's movement and speed limits by
monitoring the train's location and speed in relation to the targets.
The system will apply a penalty brake application to stop the train, if
necessary, to prevent a violation. The wayside segment will communicate
switch position information to the zone logic controller and the
locomotive. Two Differential Global Positioning System sites will be
utilized to provide train location information, one being at Savannah
Beach, Georgia, and the other located at either Knoxville, Tennessee,
or Greensboro, North Carolina.
The CBTM pilot is designed to develop, test and demonstrate PTS
(Positive Train Separation) technology. As a pilot program, it will
focus on proving the CBTM concepts and technology and on laying the
groundwork for a production system. While the purpose of CBTM is to
enhance safety, the pilot program itself is not expected to yield
immediate
[[Page 46275]]
safety benefits. The program will focus on testing the technology
without adversely affecting the safety of operations under the existing
method of operations, which will remain in effect.
The CBTM pilot program will be implemented on 126.6 miles of CSXT
track in the Southeast. The pilot will include all of the territory on
two subdivisions, Spartanburg and McCormick, of the Florence Service
Lane. Relief is sought for CBTM test operations on all tracks of all
types included in the pilot territory. The pilot territory includes
single main track, sidings, and branch lines. It will also include the
self restoring, power operated switch located at M.P. AK 557.9,
normally positioned for straightaway movement to CSXT's CN&L
subdivision. The following are the waiver requests and their
justifications:
Section 216.13 Special notice for repairs--locomotive. Waiver is
requested for CBTM-equipped locomotives to the extent that non-
operation of CBTM equipment installed on board (whether through
malfunction or deactivation) shall not be construed as an unsafe
condition requiring special notice for repairs; waiver is sought for
non-CBTM-equipped locomotives operating in the CBTM pilot territory to
the extent that the absence of CBTM equipment on board shall not be
construed as an unsafe condition requiring special notice for repairs.
Justification: With or without CBTM equipment operating on board
the controlling locomotive, a train remains subject to existing method
of operation. (CBTM is an overlaid system, enhancing current safety
without affecting the operation of existing systems). CBTM tests
require flexibility in installing, removing, turning on, and turning
off the on-board equipment. The CBTM pilot will equip only six
locomotives, which is a small subset of locomotives operating in the
pilot territory.
Section 217.9 Program of operational tests and inspections;
recordkeeping. Waiver is requested exempting operation of CBTM
equipment and procedures from the requirements for operational tests
and inspections and associated recordkeeping.
Justification: The CBTM pilot is a test program during which
procedures for using CBTM equipment and functions will be refined and
modified. Until such procedures are defined, they cannot be addressed
in the code of operating rules, timetables, and timetable special
instructions to which this section applies.
Section 217.11 Program of instruction on operating rules;
recordkeeping; electronic recordkeeping. Waiver is requested exempting
operation of CBTM equipment and procedures from the requirements for
instruction and associated recordkeeping.
Justification: The CBTM pilot is a test program during which
procedures for using CBTM equipment and functions will be refined and
modified. Until such procedures are defined, they cannot be addressed
in the code of operating rules to which this section applies. In any
case, CBTM is expected to have minimal impact on the code of operating
rules.
Part 218 [Subpart D] Prohibition Against Tampering With Safety
Devices. Waiver is requested exempting on-board CBTM equipment from the
requirements of all sections under Subpart D of Part 218 (Sections 51,
53, 55, 57, 59, and 61) to the extent that CBTM equipment on board a
locomotive shall not be considered a ``safety device'' according to the
provisions of this subpart at any time during the pilot program.
Justification: The CBTM pilot is a test program. CBTM tests require
flexibility in installing, removing, turning on and turning off the on-
board equipment. CSXT tests require the flexibility to permanently
disable or remove CBTM equipment in the event that a production system
is not implemented.
Section 229.7 Prohibited acts. Waiver is requested to the extent
that CBTM equipment on board a locomotive shall not be considered
``appurtenances'' rendering the locomotive subject to the constraints
of this section.
Justification: The CBTM pilot is a test program. CBTM tests require
flexibility in installing, removing, turning on and turning off the on-
board equipment. CSXT also requires the flexibility to temporarily or
permanently disable on-board CBTM equipment. Whether or not CBTM
equipment on board a locomotive is functioning, the train remains
subject to the safety provisions of the existing method of operation.
Section 229.135 Event recorders. Waiver is requested to the extent
that CBTM equipment on board a locomotive shall not be considered an
``event recorder'' subject to the provisions of this section.
Justification: CBTM equipment by design will operate intermittently
during the pilot program. CBTM tests require flexibility in installing,
removing, turning on and turning off the on-board equipment. CSXT also
requires the flexibility to temporarily or permanently disable on-board
CBTM equipment.
Section 233.9 Reports. Waiver is requested exempting CBTM
operations in the pilot program from the reporting requirement of this
section.
Justification: While a CBTM production system may belong to the
category of ``other similar appliances, methods, and systems''
specified in Sec. 233.1, this requirement would impose an unnecessary
paperwork burden for a test program.
Section 235.5 Changes requiring filing of application. Waiver is
requested exempting the CBTM pilot program from the filing requirements
of this section.
Justification: The CBTM pilot is a test program. It is an overlay
system that can enhance the safety of train operations without
affecting the existing method of operation. CBTM tests require
flexibility in installing, removing, modifying, turning on and turning
off the on-board equipment. CSXT also requires the flexibility to
permanently disable or remove CBTM equipment in the event that a
production system is not implemented.
Section 236.4 Interference with normal functioning of device.
Waiver is requested to the extent that CBTM equipment shall be excluded
from this requirement during the pilot program.
Justification: The CBTM pilot is a test program through which the
``normal functioning'' of CBTM will be defined and refined. CBTM tests
require flexibility in installing, removing, turning on and turning off
the on-board equipment. With or without CBTM equipment operating on
board the controlling locomotive, the train remains subject to the
safety provisions of existing method of operation.
Section 236.5 Design of control circuits on closed circuit
principle. Waiver is requested excepting CBTM equipment from the closed
circuit design requirement.
Justification: CBTM is an overlay system using solid-state
components. It will enhance railroad safety while in no way interfering
with the operation of existing safety devices.
Section 236.6 Hand-operated switch equipped with switch circuit
controller. Waiver is requested exempting the CBTM pilot program from
the maintenance requirements of this section.
Justification: CBTM is an overlay system in non-signaled territory.
The installation of circuit controllers on the manual switches and the
information they convey are for use by the CBTM pilot only, the
maintenance of which will not affect the safety of train operations.
CSXT requires the flexibility to temporarily or permanently disable or
[[Page 46276]]
remove CBTM related equipment in the event that a production system is
not implemented.
Section 236.8 Operating characteristics of electromagnetic,
electronic, or electrical apparatus. Waiver is requested exempting CBTM
equipment from the requirements of this section.
Justification: CBTM consists of devices which are not signal
apparatus. The functioning of these devices are not essential to the
safety of train operations. The CBTM pilot is a test program during
which the limits within which these devices are designed to operate
will be defined.
Section 236.11 Adjustment, repair, or replacement of component.
Waiver is requested exempting CBTM components on board a locomotive
from the requirements of this section.
Justification: CBTM is an overlay system designed to enhance safety
while in no way affecting the operation of existing method of
operation. Failure of a CBTM component will not jeopardize the safety
of train operations.
Section 236.15 Timetable instructions. Waiver is requested
exempting the CBTM pilot territory from the timetable designation
requirement of this section.
Justification: Since the pilot program will consist of tests and
demonstrations, identifying the test territory in the timetable as
``CBTM'' (or some similar label) would be both premature and an
unnecessary paperwork burden.
Section 236.23 Aspects and indications. Waiver is requested to the
extent that the CBTM display on board an equipped locomotive shall not
be construed to represent or correspond to signal aspects or
indications and shall therefore be exempt from the requirements of this
section.
Justification: CBTM is an overlay system in non-signaled territory.
Its design excludes any visual display of signal aspects or
indications. CBTM enforceable authorities will not be derived from
signal indications. Only CBTM status information will be displayed to
the crew. Trains will remain subject to the existing method of
operation. Text information regarding authorities, speed restrictions,
or work zones will be displayed to the crew only after enforcement.
This information will in no way represent or qualify the authority
conveyed by the dispatcher.
Section 236.76 Tagging of wires and interference of wires or tags
with signal apparatus. Waiver is requested exempting CBTM equipment
from the wire tagging requirement.
Justification: CBTM hardware consists of computers, computer
peripherals, and communication devices. While the inapplicability of
this section to circuit boards, connectors, and cables would appear
obvious, waiver is sought for clarification.
Section 236.101 Purpose of inspection and tests; removal from
service of relay or device failing to meet test requirements. Waiver is
requested exempting CBTM equipment from the requirement for removal of
failed equipment from service.
Justification: The CBTM pilot is a test program. CBTM tests require
flexibility in installing, removing, turning on and turning off the on-
board equipment. With or without CBTM equipment operating on board, a
train remains subject to the safety provisions of the existing method
of operation.
Section 236.107 Ground tests. Waiver is requested exempting CBTM
equipment in the pilot program from the requirement for ground testing.
Justification: CBTM hardware consists of computers, computer
peripherals, and communication devices. Ground tests would serve no
purpose in ensuring safety and could be damaging to this equipment.
Section 236.109 Time releases, timing relays and timing devices.
Waiver is requested exempting CBTM equipment in the pilot program from
the annual testing requirement.
Justification: The timing devices in CBTM equipment are software-
driven, have no moving parts, and are far more reliable than the
devices for which this regulation was promulgated.
Section 236.110 Results of tests. Waiver is requested exempting
CBTM tests from the recordkeeping requirements of this section.
Justification: The CBTM pilot is a test program during which the
types of tests needed to ensure appropriate levels of maintenance will
be defined.
Section 236.202 Signal governing movements over hand-operated
switch. Waiver is requested exempting CBTM tests from the requirements
of this section.
Justification: The CBTM pilot is a test program during which the
operational parameters will be defined.
Section 236.501 Forestalling device and speed control. Waiver is
requested exempting CBTM from the requirement for low or medium-speed
restriction in paragraphs (1) and (2) under provision (b).
Justification: CBTM is a safety enhancement system that will apply
a penalty brake application to enforce the maximum permissible speed
based on permanent or temporary speed restrictions issued by the
dispatcher, not signal indications.
Section 236.502 Automatic brake application, initiation by
restrictive block conditions stopping distance in advance. Waiver is
requested exempting CBTM automatic brake applications from the
requirement tying brake applications to restrictive block conditions.
Justification: As an overlay system, CBTM applies enforcement
braking with reference to CBTM enforceable targets generated from
dispatcher issued movement authorities, not signal indications. As for
the signal indication at the self-restoring power operated switch
location, CBTM enforceable targets are generated based on switch
position and dispatcher issued authorities; they may or may not
correspond to a restrictive signal indication at this location.
Section 236.504 Operation interconnected with automatic block-
signal system. Waiver is requested exempting CBTM from the requirement
of interconnection with an automatic block-signal system.
Justification: CBTM is an overlay system in non-signaled territory
with no connection to a signal system.
Section 236.511 Cab signals controlled in accordance with block
conditions stopping distance in advance. Waiver is requested exempting
any CBTM on-board display from the cab-signal requirements in this
section.
Justification: CBTM is not an automatic cab signal system and will
have no direct connection with the signal system.
Section 236.512 Cab signal indication when locomotive enters block
where restrictive conditions obtain. Waiver is requested exempting any
CBTM on-board display from the cab-signal requirements in this section.
Justification: CBTM is not an automatic cab signal system. Since
CBTM is an overlay system, the train crew will maintain the primary
responsibility for adherence to the movement authorities issued
verbally by the train dispatcher.
Section 236.514 Interconnection of cab signal system with roadway
signal system. Waiver is requested exempting CBTM from the requirement
of interconnection with the roadway signal system.
Justification: CBTM is an overlay system in non-signaled territory
with no connection to a signal system except for the self-restoring
power operated switch where CBTM will indirectly receive switch
position information only.
Section 236.515 Visibility of cab signals. Waiver is requested
exempting any CBTM display from the visibility requirement of this
section.
[[Page 46277]]
Justification: CBTM is not an automatic cab signal system. The CBTM
design excludes any visual representation of signal aspects or
indications.
Section 236.528 Restrictive condition resulting from open hand-
operated switch; requirement. Waiver is requested exempting any CBTM
display from the requirements of this section.
Justification: CBTM is a test program in non-signaled territory.
The installation of circuit controllers on the manual switches and the
information they convey are for use by the CBTM pilot only. Trains will
continue to be governed by the existing method of operation, therefore
the functioning of these devices is not essential to the safety of
train operations. The limits within which these devices will be
required to operate under a restrictive condition will be defined as
part of the CBTM pilot program.
Section 236.534 Entrance to equipped territory; requirements.
Waiver is requested exempting the CBTM pilot program from the
requirements of this section.
Justification: The CBTM pilot is a test program. CBTM tests will
require flexibility in installing, removing, turning on and turning off
the on-board equipment.
Section 236.551 Power supply voltage; requirement. Waiver is
requested exempting the on-board CBTM power supply from the voltage
requirement in this section.
Justification: The CBTM pilot is a test program during which the
limits within which the power supply voltage must be maintained, will
be defined.
Section 236.552 Insulation resistance; requirement. Waiver is
requested exempting CBTM equipment from the insulation resistance
requirement in this section.
Justification: CBTM on-board equipment consists of computers,
computer peripherals, and communications equipment. Insulation
resistance tests could be damaging to such components.
Section 236.553 Seal, where required. Waiver is requested
exempting CBTM equipment from the seal requirement in this section.
Justification: The CBTM system will allow the crew to inhibit the
CBTM functions and equipment through an on-board manual function. Use
of the on-board inhibit function will be electronically monitored and
archived.
Section 236.563 Delay time. Waiver is requested exempting CBTM
from the delay time requirement in this section.
Justification: The CBTM braking algorithm continuously computes
braking distance to the next target where a stop is required based on
dispatcher issued authorities, not signals.
Section 236.564 Acknowledging time. Waiver is requested exempting
CBTM from the acknowledging time requirement in this section.
Justification: The CBTM pilot is a test program during which these
types of parameters will be refined and modified.
Section 236.566 Locomotive of each train operating in train stop,
train control or cab signal territory; equipped. Waiver is requested to
the extent that the equipment requirements in this section shall not
apply to CBTM during the test period.
Justification: The CBTM pilot is a test program. A small subset of
locomotives operating in the test territory will be CBTM-equipped; the
majority of trains will not be equipped. CBTM tests require flexibility
in installing, removing, turning on and turning off the on-board
equipment. CSXT requires the flexibility to permanently disable or
remove CBTM equipment.
Section 236.567 Restrictions imposed when device fails and/or is
cut out en route. Waiver is requested exempting CBTM operations from
the restrictions associated with device failure or cutout.
Justification: The CBTM pilot is a test program requiring
flexibility in installing, removing, turning on and turning off the on-
board equipment. Since CBTM is a safety overlay, a failure or
deactivation of CBTM equipment has the effect only of suspending the
safety enhancements associated with CBTM without compromising the
underlying safety provisions of existing method of operation. If a CBTM
device fails, operations will continue in a normal mode. The dispatcher
will be immediately notified before CBTM equipment is inhibited.
Moreover, the dispatcher is immediately notified if CBTM equipment
fails, eliminating any need for a reduction in speed.
Section 236.586 Daily or after trip test. Waiver is requested
exempting the CBTM pilot program from the test requirements of this
section.
Justification: The CBTM pilot is a test program during which
requirements for a daily or after-trip test, if necessary, will be
defined. CBTM equipment is many times more reliable than the equipment
for which this regulation was promulgated.
Section 236.587 Departure test. Waiver is requested exempting the
CBTM pilot program from the test requirements of this section.
Justification: The CBTM pilot is itself a test program during which
the requirements for a departure test will be defined. Further, it is
likely the departure test will be made without human intervention and/
or outside CBTM territory.
Section 236.588 Periodic test. Waiver is requested exempting the
CBTM pilot program from the test requirements of this section.
Justification: The CBTM pilot is itself a test program during which
the requirements for periodic testing will be defined.
Section 236.703 Aspect. Clarification is requested exempting the
CBTM display from this definition.
Justification: CBTM is not an automatic cab signal system. CBTM is
an overlay system designed for non-signaled territory and does not
include any visual representation of signal aspects or indications.
Section 236.805 Signal, cab. Clarification is requested exempting
the CBTM display from this definition.
Justification: CBTM is not an automatic cab signal system. CBTM is
an overlay system designed for non-signaled territory and does not
include any visual representation of signal aspects or indications.
Section 240.127 Criteria for examining skill performance. Waiver
is requested exempting the CBTM pilot program from the testing
procedures in this section.
Justification: The CBTM pilot is itself a test program. Criteria
and procedures for CBTM performance evaluation do not yet exist; they
will be determined during the program. Since CBTM is a limited test
program, there is not justification for including it in our engineer
certification procedures. A training program will be developed and
implemented for engineers operating CBTM-equipped locomotives.
Section 240.129 Criteria for monitoring operational performance of
certified engineers. Waiver is requested exempting the CBTM pilot
program from the performance monitoring procedures in this section.
Justification: The CBTM pilot is itself a test program. Criteria
and procedures for CBTM performance evaluation do not yet exist; they
will be determined during the program.
Interested parties are invited to participate in these proceedings
by submitting written views, data, or comments. FRA does not anticipate
scheduling a public hearing in connection with these proceedings since
the facts do not appear to warrant a hearing. If any interested party
desires an opportunity for oral comment, they should notify FRA, in
writing, before
[[Page 46278]]
the end of the comment period and specify the basis for their request.
All communications concerning these proceedings should identify the
appropriate docket number (e.g., Waiver Petition Docket Number H-98-6)
and must be submitted in triplicate to the Docket Clerk, Office of
Chief Counsel, FRA, Nassif Building, 400 Seventh Street, S.W., Mail
Stop 10, Washington, D.C. 20590. Communications received within 45 days
of the date of this notice will be considered by FRA before final
action is taken. Comments received after that date will be considered
as far as practicable. All written communications concerning these
proceedings are available for examination during regular business hours
(9:00 a.m.--5:00 p.m.) at FRA's temporary docket room located at 1120
Vermont Avenue, N.W., Room 7051, Washington, D.C. 20005.
Issued in Washington, D.C. on August 24, 1998.
Grady C. Cothen, Jr.,
Deputy Associate Administrator for Safety Standards and Program
Development.
[FR Doc. 98-23376 Filed 8-28-98; 8:45 am]
BILLING CODE 4910-06-P
