Proposed Joint Statement of Agency Policy Concerning Shared Use of the General Railroad System by Conventional Railroads and Light Rail Transit Systems

DEPARTMENT OF TRANSPORTATION

Federal Railroad Administration

[FRA Docket No. FRA-1999-5685, Notice No. 1]

Federal Transit Administration

RIN 2130-AB33

Proposed Joint Statement of Agency Policy Concerning Shared Use

of the General Railroad System by Conventional Railroads and Light Rail

Transit Systems

AGENCIES: Federal Railroad Administration (FRA), Federal Transit

Administration (FTA), DOT.

ACTION: Proposed policy statement.

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SUMMARY: The Federal Railroad Administration (FRA) and the Federal

Transit Administration (FTA) have been working together to develop a

policy concerning safety issues related to light rail transit

operations that take place, or are planned to take place, on the

general railroad system. This policy explains how the two agencies

intend to coordinate use of their respective safety authorities with

regard to such shared use operations. The policy also summarizes how

the process of obtaining waivers of FRA's safety regulations may work,

especially where the light rail and conventional rail operations occur

at different times of day. FRA will soon issue a separate proposed

statement of policy providing more details on its jurisdiction and a

more detailed explanation of issues that will be addressed in the

waiver process related to shared use of the general system.

The agencies are not required by law to provide notice and

opportunity for comment on a statement of policy. However, given the

number of shared use operations being planned around the nation and the

level of interest in how the safety of those operations will be

assured, the agencies concluded that they could benefit from receiving

comments before drafting their policy in final. The agencies do not

plan to hold a hearing, but will discuss the proposed statement with

interested groups.

DATES: Submit written comments on or before July 30, 1999.

ADDRESSES: Procedures for written comments: Submit one copy to the

Department of Transportation Central Docket Management Facility located

in room PL-401 at the Plaza level of the Nassif Building, 400 Seventh

Street, SW., Washington, DC 20590. All docket material on the proposed

statement will be available for inspection at this address and on the

Internet at http://doms.dot.gov. (Docket hours at the Nassif Building

are Monday-Friday, 10 a.m. to 5 p.m., excluding Federal holidays.)

Persons desiring notification that their comments have been received

should submit a stamped, self-addressed postcard with their comments.

The postcard will be returned to the addressee with a notation of the

date on which the comments were received.

FOR FURTHER INFORMATION CONTACT: Gregory B. McBride, Deputy Chief

Counsel, FTA, TCC-2, Room 9316, 400 Seventh Street, SW., Washington, DC

20590 (telephone: (202) 366-4063); and Daniel C. Smith, Assistant Chief

Counsel for Safety, FRA, RCC-10, 1120 Vermont Avenue, NW., Mail Stop

10, Washington, DC 20590 (telephone: (202) 493-6029).

Proposed Joint Statement of Agency Policy Concerning Shared Use of

the General Railroad System by Conventional Railroads and Light

Rail Transit Systems

In many areas of the United States, local communities are

considering, planning, or developing light rail, street-level transit

systems similar to those now in operation in Portland, Oregon;

Sacramento, California; Dallas, Texas; San Diego, California; and

Baltimore, Maryland. Patterned on the trolleys that operated along the

streets of hundreds of American cities and towns earlier in the

century, these newer light rail systems promote more livable

communities by serving those who live and work in urban areas without

adding additional congestion to the nation's crowded highways.

Like the existing systems in San Diego and Baltimore, some of the

planned light rail operations would, in addition to service provided

along community streets, take advantage of underutilized urban freight

rail corridors to provide service that, in the absence of the existing

right of way, would be prohibitively expensive. These potential

passenger services generally envision light rail operations during the

day and freight operations during the night. Some plans also envision

rail transit operations on a right-of-way shared with intercity

passenger or commuter operations.

The Federal Railroad Administration (FRA) has long regulated the

nation's railroads for safety purposes. FRA's railroad safety

jurisdiction extends to all types of railroads, including ``commuter or

other short-haul railroad passenger service in a metropolitan or

suburban area,'' but does not include ``rapid transit operations in an

urban area that are not connected to the general railroad system of

transportation.'' 49 U.S.C. 20102. In this statutory context, ``rapid

transit operations'' refers to rail systems that, while they may haul

many commuters, are devoted in substantial part to moving people from

point to point within an urban area. Such systems (e.g., the Washington

Metro and San Francisco's BART) may use heavy subway, elevated, or

light rail equipment and will be covered in this statement by the

general terms ``local rail transit'' or ``light rail transit.''

``Commuter'' service, by contrast, refers to systems that have as their

primary purpose transporting commuters to and from work within a

metropolitan area, but do not devote a substantial portion of their

service to moving passengers between stations within an urban area.

Examples include Metra in Chicago and the Long Island Railroad in New

York. FRA's jurisdiction covers all commuter railroad operations

without regard to their general system connections or the type of

equipment they use. This statement of policy does not apply to commuter

railroad operations.

Until recently, there was no Federal program for addressing the

safety of local rail transit systems that are not subject to FRA's

safety jurisdiction (i.e., those not connected to the general railroad

system). However, faced with the growing movement to develop new rail

transit systems, Congress addressed the safety of such systems in the

Intermodal Surface Transportation Efficiency Act of 1991, requiring

that the Federal Transit Administration (FTA) issue regulations

requiring that states having rail fixed guideway mass transportation

systems ``not subject to regulation by the Federal Railroad

Administration'' establish a state safety oversight program. 49 U.S.C.

5330. Those regulations, which appear at 49 CFR part 659, provide that

they apply where FRA does not regulate. Thus, with no overlap in

jurisdiction, Congress has now provided for the oversight of both

railroads subject to FRA's safety jurisdiction and rail transit systems

that are not connected to the general railroad system.

The primary issue addressed by this policy statement is the means

by which FRA and FTA propose to coordinate their safety programs with

regard to rail transit systems that share tracks with freight

railroads. Although compatible in terms of track gage, these two forms

of rail service are incompatible in terms of equipment. A collision

between a light rail transit vehicle with passengers aboard and heavy-

duty freight or passenger equipment would likely result in catastrophe.

This statement will also address how the two agencies

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will coordinate their programs with regard to rail transit systems that

operate within the same right-of-way as conventional equipment but

without actually sharing trackage.

FRA will soon separately issue a proposed statement of agency

policy concerning its safety jurisdiction over railroad passenger

operations. In that statement, the reader will find a thorough

discussion of the extent and exercise of FRA's jurisdiction and

guidance on which of FRA's safety rules are likely to apply in

particular operational situations. In general, FRA provides safety

oversight of all railroad operations except rapid transit operations

that have no significant connection to the general railroad system,

such as the Chicago Transit Authority (CTA) in Chicago, the Washington

Metro, and the subway systems in New York, Boston, and Philadelphia. As

noted, the safety rules of FRA and FTA are mutually exclusive. If FRA

regulates a rail system, FTA's rules on state safety oversight do not

apply. Conversely, if FRA does not regulate a system, FTA's rules do

apply, assuming that the system otherwise meets the definition of a

``rail fixed guideway system'' under 49 CFR 659.5. FRA's policy

statement reviewing in detail its jurisdiction will more clearly define

where FTA's rules apply.

This joint statement is intended to: (1) Explain the nature of the

most important safety issues related to shared use of the general

railroad system by conventional and rail transit equipment; (2)

summarize the application of FRA safety rules to such shared-use

operations; and (3) help transit authorities, railroads, and other

interested parties understand how the respective safety programs of the

two agencies will be coordinated.

1. Safety Issues Related to Shared Use of the General System

The expansion of rail passenger transportation promises significant

benefits to America's communities in terms of reduced highway

congestion, reduced pollution, lower commuting times, and increased

economic opportunities. However, the expansion of rail transit systems

operating over portions of conventional railroad trackage poses major

safety issues that must be addressed if such service is to be provided

within a suitably safe transportation environment.

Potential for a Collision

The most important safety issue related to shared use of the

general railroad system is the potential for a catastrophic collision

between conventional rail equipment and rail transit equipment of

lighter weight. Because of the significantly greater mass and

structural strength of conventional equipment, the two types of

equipment are simply not designed to be operated in a setting where

there is any appreciable risk of their colliding.

Shared Use of Highway-Rail Grade Crossings

For decades, the greatest cause of death associated with

railroading in America has been collisions between railroad vehicles

and highway vehicles at grade crossings. Existing and contemplated

shared-use light rail operations on the general system will typically

involve train movements over highway grade crossings. To the extent

train movements over grade crossings increase, the collision exposure

to the highway user, rail employees, and rail passengers increases. We

want to ensure that local rail transit operations that are conducted on

the general system are designed and operated to address these serious

risks and to prevent grade crossing collisions involving light rail

equipment.

A related issue is the prevalence of death and serious injury to

trespassers on railroad property. Trespasser fatalities have recently

outpaced grade crossing accidents as the leading cause of death on the

nation's railroads. To the extent that shared use of the general system

results in a substantial increase in the number of pedestrians crossing

by foot in the path of trains, the potential for additional deaths to

trespassers is very real and should be addressed in planning these

operations.

Shared Infrastructure

Light rail operations on or over the general railroad system will

affect and be affected by the track, bridges, signals, and other

structures on the line. The light rail and conventional systems may

also share a communications system. The responsibility for operating

and maintaining this shared infrastructure may vary. However, even if

the light rail operator has no direct responsibility for maintenance,

there will need to be sufficient coordination to alert the light rail

operator to related safety problems and to ensure the light rail

operator conveys relevant information (e.g., readily apparent track

defects or signal failures) to the party responsible for operation and

maintenance.

Employee Safety

The safety of employees who operate trains on the general system,

control movements over that system, or maintain its infrastructure is

protected in certain ways by the Federal railroad safety laws. Light

rail employees will be entitled to appropriate protections during

shared-use operations. In addition, the light rail operators will need

to observe rules designed to protect employees of other organizations

who may be working along the right-of-way.

2. Approaches to Various Forms of Shared Use

Operations on the General System

Local rail transit operations conducted over the lines of the

general system become part of that system and necessitate FRA safety

oversight of rail transit operations to the extent of such shared use.

The only two existing examples are the San Diego Trolley and the

Central Light Rail Line in Baltimore. This does not mean that all of

FRA's regulations will be applied to all aspects of these operations.

First, FRA has no intention of overseeing rail transit operations

conducted separate and apart from the general system. (As noted above,

FRA regulates commuter operations without regard to their general

system connections.) Second, FRA anticipates granting appropriate

waivers of its rules to permit shared use of general system lines by

light rail and conventional equipment where the applicant transit

systems and railroads commit to alternative measures and FRA finds that

those measures will ensure safety.

Where complete temporal separation between light rail and

conventional operations is achieved, the risk of collision between the

two types of equipment can be minimized or eliminated. Temporal

separation involves operating conventional and light rail equipment at

completely distinct periods of the day (e.g., where the light rail line

operates only between 6 a.m. and 10 p.m., and freight or other

conventional rail movements occur only between 11 p.m. and 5 a.m., and

where procedures and/or technologies are in place to ensure strict

observation of these limits). Under these circumstances, FRA

anticipates granting necessary waivers concerning rules related to

design of the passenger equipment, although waivers in other safety

areas not addressed by temporal separation may not be appropriate.

Operations Outside of the Shared-Use Area

Where local rail transit operations consist of segments that

involve shared use with conventional equipment adjoined with segments

that do not involve shared use (e.g., street railway

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segments), FRA does not currently intend to exercise its jurisdiction

over operations outside of the shared-use area (which, because of their

connection to the general system, are within FRA's jurisdiction).

Instead, FRA, with FTA's assistance, will coordinate with the state

oversight agency to ensure effective and non-duplicative monitoring of

the safety of the different segments of the operation. FRA, again with

FTA's assistance, will make every effort in its waiver process to give

due weight to elements of the operation's system safety plan that carry

over into the shared-use portion of the system.

Operations Within a Shared Right-of-Way

A light rail transit operation may share a right-of-way but no

trackage with a conventional railroad. An example is a light rail

system whose tracks run parallel to but between the tracks of a freight

line. Where such systems share highway-rail grade crossings with

conventional railroads, FRA expects both systems to observe its rules

on grade crossing signals that, for example, require prompt reports of

warning system malfunctions. In addition, FRA and FTA will coordinate

with rapid transit agencies and railroads wherever there are concerns

about sufficient intrusion detection and related safety measures

designed to avoid a collision between rapid transit trains and

conventional equipment.

Operations Over a Rail Crossing at Grade and Other Limited Connections

Where a rail transit system crosses a conventional railroad at

grade, but has no other connection to the general system, FRA's safety

rules cover the point of connection, and FRA and FTA will coordinate

with the transit system and railroad to ensure safety at the crossing.

FRA does not consider a switch that merely permits the transit system

to receive shipments for its own use a connection significant enough to

warrant application of FRA's rules.

3. FTA and FRA Safety Partnership

FTA and FRA have been working closely together for several years to

ensure proper coordination of their safety programs. In October 1998,

FRA and FTA entered into an agreement designed to enhance their efforts

in identifying and resolving safety issues in rail-related projects

funded by FTA. Under the agreement, the agencies agreed to take actions

that will ensure that FRA's rail safety expertise is brought to bear on

safety issues inherent in rail grant proposals early in the planning

and development process.

Coordination on Rail Safety Waiver Requests

Light rail transit operators who intend to share use of the general

railroad system with conventional equipment will either have to comply

with FRA's safety rules or obtain a waiver of appropriate rules. FRA

may grant a waiver ``if the waiver is in the public interest and

consistent with railroad safety.'' 49 U.S.C. 20103(d). FRA intends to

make its waiver process as smooth and comprehensive as possible. FTA

will assist FRA in that effort. As part of that process, FRA asks that

the light rail operator and all other affected railroads jointly file a

Petition for Approval of Shared Use. In its separate statement of

policy to be published in the near future, FRA provides guidance on

what factors the petition should address. The factors include:

A detailed description of both the light rail and the

conventional railroad's operations on the shared use trackage.

Plans for separation of the light rail and conventional

operations by time of day, including a description of what protective

systems will ensure that simultaneous operation of the two types of

equipment will not occur.

Alternative safety measures to be employed in place of

each rule for which waiver is sought.

Any system safety program plan developed for the

operation, including one prepared for a stand-alone rapid transit

segment under FTA's State Safety Oversight Program.

Note: FRA and FTA have grave concerns about whether, given their

structural incompatibility, light rail and conventional equipment

can ever be operated safely on the same trackage at the same time.

In the event that petitioners nevertheless seek approval of

simultaneous joint use, the petitioners will face a steep burden of

demonstrating that extraordinary safety measures will be taken to

adequately reduce the likelihood and/or severity of a collision

between conventional and light rail equipment to the point where the

safety risks associated with joint use would be acceptable. FRA

expects that such a petition will contain a considerable amount of

additional information, including:

Equipment specifications for any equipment that will

not meet FRA's passenger equipment safety standards, plus an

engineering analysis of the equipment's resistance to damage in

various types of collisions.

A quantitative risk assessment concerning the risk of

collision between the light rail and conventional equipment and

between the light rail equipment and highway vehicles.

Like all waiver petitions, a Petition for Approval of Shared Use

will be reviewed by FRA's Railroad Safety Board. FTA will appoint a

non-voting liaison to FRA's board, and that person will participate in

the board's consideration of all such petitions. This close cooperation

between the two agencies will ensure that FRA benefits from the

insights, particularly with regard to operational and financial issues,

that FTA can provide about light rail operations, as well as from FTA's

knowledge of and contacts with state safety oversight programs. This

working relationship will also ensure that FTA has a fuller

appreciation of the safety issues involved in each specific shared use

operation and a voice in shaping the safety requirements that will

apply to such operations.

In general, the greater the safety risks inherent in a proposed

operation the greater will be the mitigation measures required. It is

the intention of FTA and FRA to maintain the level of safety typical of

conventional rail passenger operations while accommodating the

character and needs of light rail transit operations.

FRA and FTA believe that they can give light rail operators a high

degree of confidence that FRA will provide the waivers they need to

operate on a time-separated basis in shared-use situations. To

facilitate the waiver process, FRA will include in its soon-to-be-

issued proposed statement of policy a detailed statement of the rules

light rail operators should expect to comply with and those rules from

which they can expect to receive waivers, provided that the planned

light rail operations will be wholly separated in time from

conventional rail operations. For discussion purposes only, we have

attached a chart summarizing FRA's early thinking on these issues. With

this information, light rail operators can plan and design their

projects in such a way that they can be confident, absent unusual facts

about a particular project presenting some atypical safety hazard, of

receiving the waivers needed to operate.

In its petition, the light rail operator may want to certify that

the subject matter addressed by the rule to be waived is addressed by

the system safety plan and that the light rail operation will be

monitored by the state safety oversight program. That is likely to

expedite FRA's processing of the petition. FRA will analyze information

submitted by the Petitioner to demonstrate that a safety matter is

addressed by the light rail operator's system safety plan. Where FRA

grants a waiver, the state agency will oversee the area addressed by

the waiver, but FRA will actively participate in partnership with FTA

and the state agency to address any safety problems. If the

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conditions under which the waiver was granted change substantially, or

unanticipated safety issues arise, FRA may modify or withdraw a waiver

in order to ensure safety.

Conclusion

Expanded use of existing railroad lines to provide increased

transportation opportunities for passengers in metropolitan areas is a

development that FTA and FRA strongly wish to encourage. Working

together, the two agencies intend to ensure that such development goes

forward smoothly and in a way that guarantees that the blending of

light rail and conventional rail operations continues their excellent

safety records.

Issued in Washington, DC, on May 18, 1999.

Jolene M. Molitoris,

Federal Railroad Administrator.

Gordon J. Linton,

Federal Transit Administrator.

Summary of FRA Waivers That May Be Appropriate for Time-Separated

Light Rail Operations

FRA may, after notice and an opportunity for a hearing, grant a

waiver of a federal safety rule ``if the waiver is in the public

interest and consistent with railroad safety.'' 49 U.S.C. 20103. This

document lists each of FRA's railroad safety rules and provides FRA's

early thinking on whether the operator of a light rail system that

shares trackage with a conventional railroad should expect to comply

with the rule on the shared track or may receive a waiver. This chart

assumes that the operations of the local rail transit agency on the

general railroad system are completely separated in time from

conventional railroad operations, in accordance with guidance issued by

FRA, and that the light rail operation poses no atypical safety

hazards. FRA's procedural rules on matters such as enforcement (49 CFR

parts 209 and 216), and its statutory authority to take emergency

action to address an imminent hazard of death or injury, would apply to

these operations in all cases.

Where waivers are granted, a light rail operator would be expected

to operate under a system safety plan developed in accordance with the

FTA state safety oversight program. The state safety oversight agency

would be responsible for the safety oversight of the light rail

operation, even on the general system, with regard to aspects of that

operation for which a waiver is granted. FRA will actively participate

in partnership with the state agency to address any safety problems. If

the conditions under which the waiver was granted change substantially,

or unanticipated safety issues arise, FRA may modify or withdraw a

waiver in order to ensure safety.

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Title 49 CFR part Subject of rule Likely treatment Comments

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Track, Structures, and Signals

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213............................ Track Safety Standards Comply (assuming light rail If the conventional RR

operator owns track or has owns the track, light

been assigned rail will have to observe

responsibility for it). speed limits for class of

track.

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233, 235, 236.................. Signal and train Comply (assuming light rail If conventional RR

control. operator or its contractor maintains signals, light

has responsibility for rail will have to abide

signal maintenance). by operational

limitations and report

signal failures.

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234............................ Grade Crossing Signals Comply (assuming light rail If conventional RR

operator or its contractor maintains devices, light

has responsibility for rail will have to comply

crossing devices). with sections concerning

activation failures and

false activations.

213, Appendix C................ Bridge safety policy.. Not a rule. Compliance

voluntary.

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Motive Power and Equipment

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210............................ Noise emission........ Waive...................... State safety oversight.

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215............................ Freight car safety Waive...................... State safety oversight.

standards.

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221............................ Rear end marking Waive...................... State safety oversight.

devices.

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223............................ Safety glazing Waive...................... State safety oversight.

standards.

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229............................ Locomotive safety Waive, except perhaps for State safety oversight.

standards. alerting lights, which are

important for grade

crossing safety.

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231*........................... Safety appliance Waive...................... State safety oversight;

standards. see note below on

statutory requirements.

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238............................ Passenger equipment Waive...................... State safety oversight.

standards.

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Operating Practices

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214............................ Bridge Worker......... Waive...................... OSHA standards.

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214............................ Roadway Worker Safety. Comply.....................

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217............................ Operating Rules....... Waive...................... State safety oversight.

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218............................ Operating Practices... Waive, except for State safety oversight.

prohibition on tampering

with safety devices

related to signal system.

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219............................ Alcohol and Drug...... Waive if FTA rule otherwise FTA rule may apply.

applies.

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220............................ Radio communications.. Waive, except to extent State safety oversight.

communications with

freight trains and roadway

workers are necessary.

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225............................ Accident reporting and Comply with regard to train Employee injuries would be

investigation. accidents and crossing reported under FTA or

accidents; waive as to OSHA rules.

injuries.

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228**.......................... Hours of service Waive (in concert with See note below on possible

recordkeeping. waiver of statute); waiver waiver of statutory

not likely for personnel requirements.

who dispatch conventional

RR or maintain signal

system on shared use track.

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239............................ Passenger train Waive...................... State safety oversight.

emergency

preparedness.

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240............................ Engineer certification Waive...................... State safety oversight.

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* Certain safety appliance requirements (e.g., automatic couplers) are statutory and can only be waived under

the conditions set forth in 49 U.S.C. 20306, which permits exemptions if application of the requirements would

``preclude the development or implementation of more efficient railroad transportation equipment or other

transportation innovations.'' If consistent with employee safety, FRA could probably rely on this provision to

address most light rail equipment that could not meet the standards.

** Currently, 49 U.S.C. 21108 permits FRA to waive substantive provisions of the hours of service laws based

upon a joint petition by the railroad and affected labor organizations, after notice and an opportunity for a

hearing. This is a ``pilot project'' provision, so waivers are limited to two years but may be extended for

additional two-year periods after notice and an opportunity for comment.

[FR Doc. 99-13038 Filed 5-24-99; 8:45 am]

BILLING CODE 4910-06-P