Railroad Communications

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

[[Page 34545]]

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.

[[Page 34546]]

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

[[Page 34547]]

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

------------------------------------------------------------------------

\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