Petitions for Waivers of Compliance; Petition for Exemption for Technological Improvements

Federal RegisterOct 1, 1999

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DEPARTMENT OF TRANSPORTATION

Federal Railroad Administration

Petitions for Waivers of Compliance; Petition for Exemption for

Technological Improvements

In accordance with Title 49 Code of Federal Regulations (CFR)

Sections 211.9 and 211.41, and 49 U.S.C. 20306, notice is hereby given

that the Federal Railroad Administration (FRA) has received a request

for waiver of compliance with certain requirements of the Federal

railroad safety regulations and a request for exemption of certain

statutory provisions. The individual petition is described below,

including the party seeking relief, the regulatory and statutory

provisions involved, the nature of the relief being sought and the

petitioner's arguments in favor of relief.

Utah Transit Authority

FRA Waiver Petition No. FRA-1999-6253

Utah Transit Authority (UTA) seeks a permanent waiver of compliance

from certain CFR parts of Title 49, specifically: Part 219, Control of

Alcohol and Drug Use; part 221, Rear End Marking Device--Passenger,

Commuter and Freight Trains; part 223, Safety Gazing Standards--

Locomotives, Passenger Cars and Cabooses; part 225, Railroad Accidents/

Incidents--Report Classification, and Investigations; part 228, Hours

of Service of Railroad Employees; part 229, Railroad Locomotive Safety

Standards; part 231 Railroad Safety Appliance Standards; part 234,

Grade Crossing Signal System Safety; part 238, Passenger Equipment

Safety Standards; part 239, Passenger Train Emergency Preparedness;

part 240, Qualification and Certification of Locomotive Engineers; and

the statutory requirements 49 U.S.C. 20301 through 20305.

UTA seeks approval of shared track usage and waiver of certain FRA

regulations involving light rail passenger operations on the planned

light rail transit system known as ``TRAX.'' The TRAX System will

operate on an approximately 15 mile track between downtown Salt Lake

City and the City of Sandy, Utah to the south. FRA has jurisdiction

over a portion of the TRAX System because it will be connected to the

general railroad system of transportation; a portion of the TRAX System

will be on a rail line on which a short line freight railroad currently

operates, and will continue to operate after start-up of TRAX service.

In each section entitled ``Justification,'' FRA merely sets out

UTA's justifications which are included in its petition. In doing so,

UTA references the proposed Joint Policy Statement on Shared Used of

the General Railroad System issued by FRA and the Federal Transit

Administration (FTA) (64 FR 28238; May 25, 1999) (``Policy

Statement''). The proposed policy statement suggests that regulation of

light rail service on the general rail system, under conditions of

temporal separation from conventional rail movements, be handled

through application of complementary strategies. FRA regulations would

generally be employed to address hazards common to light rail and

conventional operations for which consistent handling is necessary,

while other hazards would be handled under FTA's program of State

Safety Oversight (49 CFR Part 659). See proposed Policy Statement for

details. Since FRA has not yet concluded its

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investigation of the planned TRAX system, the agency takes no position

at this time on the merits of UTA's stated justifications. As part of

FRA's review of the petition, the Federal Transit Administration will

appoint a non-voting liaison to FRA's Safety Board, and that person

will participate in the board's consideration of UTA's waiver petition.

Part 219 Control of Alcohol and Drug Use

Part 219 prescribes minimum Federal safety standards for the

control of alcohol and drug use by railroad workers for the purpose of

preventing accidents and casualties in railroad operations that result

from impairment of employees by alcohol or drugs.

Justification

UTA requests a waiver of all of the requirements of part 219 so

that all of the employees assigned to the TRAX System who would

otherwise be covered employees under this part, would become covered

employees subject to UTA's existing drug and alcohol program under the

FTA rules at 49 CFR part 653, Prevention of Prohibited Drug Use in

Transit Operations, and part 654, Prevention of Alcohol Misuse in

Transit Operations. UTA believes that this would provide UTA with

operational advantages while preserving an equivalent level of safety.

The FTA regulations apply to recipients of Federal mass transit

funds, except those ``specifically excluded'' because they are

recipients operating railroads regulated by FRA. 49 CFR 653.5 and

654.5. In such cases, a recipient is to follow FRA regulations in 49

CFR part 219 for its ``railroad operations.'' However, such a recipient

is still required to certify that it is in compliance with applicable

rules and to comply with parts 653 and 654 for its ``non-railroad

operations.''

UTA is a recipient of Federal mass transit funds, and therefore,

would be subject to the compliance certification provision of FTA's

regulations at parts 653 and 654 for any railroad operations otherwise

covered by FRA's regulations at 49 CFR part 219, and is currently

subject to all of the requirements of parts 653 and 654 for UTA's bus

operations. If granted a waiver from the requirements of part 219, the

subject light rail operations would automatically fall under the

regulatory jurisdiction of FTA. Thus, all of the employees assigned to

the LRT operation, who would otherwise be covered employees under this

part, would become covered employees under FTA's rules at parts 653 and

654.

Application of the FTA drug and alcohol rules, when implemented in

compliance with the FRA rule, would provide an equivalent level of

safety consistent with the policy underlying part 219. A basic review

of the respective FRA and FTA regulations reveals that they are quite

similar in purpose, structure and substance. Both regulations are

intended to enhance safety by prohibiting and eliminating misuse of

drugs and alcohol which might otherwise result in accidents and

injuries to employees and the traveling public. Both regulations

provide for procedural and recordkeeping requirements to safeguard the

integrity of the program and provide privacy and due process

protections for covered employees. Finally, both sets of regulations

prohibit impaired employees from performing safety sensitive functions

and require testing of essentially the same personnel under similar

circumstances (i.e., random, post-accident, reasonable suspicion, and

return-to-duty testing, and in the case of drugs, pre-employment

testing).

Although there are differences between the regulations, there are

no major policy differences with respect to the need to eliminate drug

and alcohol misuse or the primary importance of safety in

transportation operations. The most obvious difference involves the

application of penalties for non-compliance. Under FRA rules, a

regulated entity found to be in violation of the rule may be subject to

the assessment of civil penalties in accordance with a published

schedule. The FTA regulations do not contain such a civil penalty

structure. However, under the FTA regulations, compliance is a

condition for eligibility for receipt of Federal funds. Non-compliance

can result in suspension of eligibility for applicable Federal funding

altogether. Thus, the severity of the potential penalty serves as a

deterrent in the same way as the FRA civil penalty program.

Part 221 Section 221.13(d)--Marking Devices Display; Section

221.14(a)--Marking Devices

Sections 221.13(d) and 221.14(a) contain requirements that

passenger, commuter and freight trains be equipped with and display

rear end marking devices. The requirements are intended to reduce the

likelihood of rear-end collisions due to the inconspicuity of the rear-

end of a leading train.

Justification

UTA seeks a waiver from these requirements because the TRAX

vehicles, while having rear end lights, will not have the specific

marking devices set forth in the regulation. However, exemption from

the marking device requirement in this case will not compromise safety.

The TRAX light rail cars are designed to have two taillights

permanently mounted into the car body. These red lights are designed to

be visible for a distance of 500 feet from the rear-end of the train

and are located 45 inches above the top of rail. Because the rear

lights on the TRAX vehicles will make them conspicuous to any trailing

train, the TRAX vehicle lighting will provide an equivalent level of

safety to that provided by the FRA regulation.

Part 223 Section 223.9(c)--Glazing Requirements; Section 223.17--

Identification.

Section 223.9(c) requires that passenger cars be equipped with FRA-

certified glazing in all windows. This requirement is intended to

reduce the likelihood of injury to passengers and/or employees from

breakage and shattering of windows (including windshields). Section

223.17 requires each passenger car that is fully equipped with FRA

compliant glazing material to have a notice of compliance stenciled on

an interior wall of the car. This serves the purpose of providing

notice about the glazing material in the car.

Justification

UTA requests a waiver of this requirement because the TRAX vehicle

will conform instead to the windshield and window requirements of

Sec. 6.04 of Appendix A of California Public Utilities Commission

(CPUC) General Order 143-A. Under this standard, windshields and other

windows must be made of laminated safety glass or shatter-proof or

tempered glazing material. Glass meeting this standard is break-

resistant in normal usage, but if broken, will ``crumble'' into pebble-

like pieces, posing no significant hazard to passengers, employees, or

rescue personnel. The use of such safety glass windows is standard

throughout the rail transit industry for (among other applications) in-

street light rail operations, where it has proved both durable and

safe. In addition, the interior side of the window surfaces will have a

carbonate coating. While the primary purpose of the coating is to

render the windows resistant to graffiti, the coating also serves to

provide additional protection against spalling in the event the window

is broken. This extra protection adds to the safety of the windows.

Finally, the risk associated with vandalism (such as by rocks

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thrown against the windows) is addressed from an operational standpoint

in the security portions of the Safety Plan.

Section 223.9 Emergency Exit Window Markings.

Section 223.9(d) sets forth requirements for the marking of

emergency windows and the posting of emergency window operating

instructions. These requirements are intended to help passengers and

emergency responders distinguish emergency windows from other windows

and provide information on the operation of the emergency windows.

Justification

UTA requests a waiver from these requirements because the TRAX

vehicles are not equipped with emergency windows. Thus, identification

of some windows as ``emergency windows'' and the posting of special

operating instructions is not appropriate in this instance.

Section 223.15(c) Emergency Window Requirements

Section 223.15(c) requires each passenger train car to be equipped

with at least four emergency windows designed to permit rapid and easy

removal during an emergency. This requirement is intended to enhance

safety by providing emergency egress in addition to egress through

vehicle doorways.

Justification

UTA requests a waiver of this requirement because although the TRAX

vehicle will not literally meet this standard, it will meet or exceed

the safety objective of the requirement. As noted above, the TRAX

vehicles will not be manufactured with emergency windows. Rather, the

TRAX vehicle is designed so that the doorways provide the requisite

emergency exit capability. In fact, the TRAX vehicle doorways provide

greater access/egress capability than is found on conventional commuter

rail cars.

Each vehicle has four sets of double doors on each side of the

vehicle. Each set of double doors provides a 8-foot by 4-foot opening,

and the vehicle is designed such that the cars can completely empty in

less than one minute with all doors open. The doors are releasable

through an emergency release lever and may be opened without power

supply. The interior door release levers will be clearly marked and in

a location accessible to all passengers. These release features make it

very unlikely that a crash would render more than one set of doors in a

car, if any, inoperative, and enable quick and easy opening of the

doors by passengers. Even if one set of doors were inoperative after a

crash, the other sets of doors would still provide significant

opportunity for egress. The placement of two sets of doors on each side

of the vehicle will provide significant capacity for mobility in and

out of each side of the car should one side not be suitable for use in

exiting the train.

UTA believes that the doors will provide emergency egress capacity

equivalent to or better than FRA emergency exit window requirements.

With these features, there is little risk of passengers becoming

trapped or rescue personnel being unable to reach passengers.

Accordingly, a waiver of Sec. 223.15(c) is justified. In addition, the

TRAX Emergency Response Plan provides for passenger evacuation and

crowd control planning.

Part 225 Railroad Accidents/Incidents Reporting

Part 225, Reports Classification, and Investigations, prescribes

reporting requirements for accident/incidents meeting the materiality

thresholds in Sec. 225.19. The reporting requirements support FRA's

enforcement efforts and provide information to detect trends on an

industry-wide basis.

Justification

UTA requests a waiver of reporting and investigation requirements

for injuries because UTA will be following the injury reporting

requirements which will be established by UDOT, as required by UTA's

System Safety Program Plan (SSPP). In addition, UTA is responsible for

compliance with applicable Occupational Safety and Health

Administration workplace injury reporting requirements. Compliance with

FRA regulations for injuries on the Shared Trackage would require the

creation of a separate administrative structure for injury reporting,

which would place an unnecessary administrative burden on UTA without

enhancing safety.

Part 228 Records and Reporting

Sections 228.17(a) (2)-(10) of part 228 contain train movement

recordkeeping requirements to be maintained by persons performing

dispatcher functions. These requirements are intended to aid FRA in

enforcing the statutory hours of service requirements by providing a

detailed record of train movements and crew locations.

Justification

UTA requests a waiver of these requirements because they will

create an unnecessary paperwork burden for UTA, while providing little

of the benefit they do in the freight railroad operating environment.

The requirements of Secs. 228.17(a)(2)-(10) are designed for freight

railroad operations, where there usually are multiple dispatching

districts, varying train consists, routes and locomotive power units,

changing train schedules, and unscheduled trains. On freight railroads

dispatcher and train crew working hours may vary and reporting stations

may change. Usually work is not confined to a short segment of rail

line and overnight time away from home is common. In this environment

the FRA-required dispatcher records are useful for keeping track of

trains and train crews, which is essential to assuring compliance with

the hours of service requirements without disruption to service.

TRAX service, however, is very different. TRAX Controllers will

operate out of one facility, running the same consist on the same route

every operating day. TRAX service will operate on a scheduled basis on

a 15-mile line, and will make station stops. Controllers and vehicle

operators will work fixed schedules, with many of the same controllers

and vehicle operators working the same hours each week. TRAX records

maintained by other personnel will contain information on the

controllers and vehicle operators working on particular times on

particular days. Controllers and vehicle operators will not need to be

away from their home terminals as part of their work duty. Although

TRAX controllers will control the movement of freight trains once the

trains are admitted to the Shared Trackage, the controllers are not

responsible for dispatching freight trains or tracking crew movements

generally. Thus, in the TRAX operating environment, the standard

records maintained by UTA on train and train crew movements and

operator attendance will provide sufficient information to determine

service hours worked.

Part 229 Railroad Locomotive Safety Standards

Sections 229.46-229.59 set forth standards related to operation and

maintenance of railroad locomotive air brake systems. These

requirements are intended to ensure that locomotive brake components

are and remain in good working order to permit the proper function of

the brake system and to

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reduce the likelihood of accidents due to failures of locomotive brakes

and/or brake system components.

Justification

Standard railroad locomotives employ air brake systems and

Secs. 229.46-229.59 are designed to regulate such systems. The TRAX

vehicles, however, use electrically activated hydraulic brakes,

supplemented by dynamic brakes and magnetic track brakes. Because the

TRAX vehicles do not have air brakes, Secs. 229.46-229.59 are not

applicable to the TRAX vehicle brake system. UTA assures FRA, however,

that safety will not be compromised. UDOT regulations and UTA's Safety

Plan for the operation and maintenance of the TRAX System will require

that the inspection, testing, maintenance and operation of the brake

equipment on the TRAX vehicle rise to an equivalent level of safety as

that achieved through compliance with Secs. 229.46-229.59 on

conventional commuter rail equipment.

UTA requests that FRA confirm that Secs. 229.46-229.59 are not

applicable to the TRAX System. Alternatively, should FRA determine that

these sections do apply, UTA requests a waiver of these sections since

the differences between air brake and electrically activated hydraulic

brake systems render application of the requirements inappropriate and

because UDOT regulations and the UTA Safety Plan will provide an

equivalent level of safety.

Section 229.61 Draft System

Section 229.61 requires that couplers be free of excessive slack,

breaks and cracks in certain critical component areas. Section 229.61

also requires a device to be provided to prevent drawbar and

articulated connection pins from falling out in the case of breakage.

The purpose of these requirements is to ensure that the coupler is in

good working order to perform as required.

Justification

UTA requests a waiver from the requirements in Sec. 229.61 because

the TRAX vehicles do not utilize a draft system for coupling. Rather,

the TRAX vehicle has a Scharfenberg Coupler, which is an automatic way

of connecting the light rail vehicles both physically and electrically.

As the two couplers come into contact with each other, the indexed

male/female coupler faces its mate providing a ridged interface. As the

coupler faces come together the electrical head cover swings up and

allows the pin connectors to engage, allowing train line communication.

The coupler is an energy absorbing connecting device in both buff and

draft. The coupler is capable of absorbing 175 kN at a velocity of 3

mph. The buff and draft loads are transmitted to the car underframe via

the coupler shank and rubber cushion draw gear. When the two couplers

are connected, the coupler locks form a parallelogram where the draft

forces are counterbalancing each other, thus making unintentional

uncoupling impossible. The coupler attaches to the vehicle underframe

via four cap bolts torqued to 295 ft. lbs. See Exhibit J. The Safety

Plan will provide for operation and maintenance of vehicle couplers in

good working order.

Section 229.65 Spring Rigging

Section 229.65 sets forth requirements for the safety of springs

and shock absorbers. The purpose of these requirements is to ensure

that these components are in good working order and that safety hazards

will be minimized if the components do break.

Justification

UTA requests a waiver of the requirements of Sec. 229.65 because

the TRAX vehicle has a different type of suspension system than that

envisioned by the regulation. The suspension system of the TRAX vehicle

consists of a primary elastometric element (Chevron spring type) and a

secondary coil spring. The maximum amount of vehicle drop in the event

of spring breakage is three inches. In the event of a vehicle

derailment, the powered and non-powered bogies are held to the car

frame using bogie retainer rods.

In accordance with the Safety Plan, UTA will maintain the TRAX

vehicles' suspension system to ensure that the suspension system is

free of material defects and operates in good working order.

Section 229.71 Clearance above Top of Rail

Section 229.71 requires that no part or appliance of a locomotive,

with limited exceptions, be less than 2 1/2 inches above the top of

rail. The purpose of this requirement is to ensure that inappropriate

parts of the locomotive do not make contact with the tracks or

obstructions on the tracks, thereby decreasing the risk of derailment.

Justification

UTA requests a waiver from this requirement because the track

brakes on the TRAX vehicle are located between the wheels of the truck

just one inch above the rail. The track brakes, which are essentially

large magnets, must be positioned there to operate properly. However,

the presence of the track brakes close to the track does not present a

safety hazard. Because of the placement of the brakes between the

wheels, any obstruction on the track would be struck by the wheels

before striking the brakes.

Section 229.77(b) Current Collectors

Section 229.77(b) requires that each pantograph operating on an

overhead trolley wire have a device for locking and grounding it in the

lowest position, which can be applied and released only from a position

where the operator has a clear view of the pantograph and roof and

without mounting the roof. The purpose of this requirement is to reduce

the risk of electrical shock injury due to defective or ungrounded

pantographs.

Justification

UTA requests a waiver from this requirement because in the TRAX

vehicle the operator will not be able to see the pantograph from the

cab. However, if the pantograph is defective, the train will be unable

to move and the operator will know there is a problem with the

pantograph. On the TRAX vehicles, the pantograph is raised and lowered

electrically from inside the controlling cab. In the event that

manually raising or lowering the pantograph is necessary, it is done

from inside the vehicle with a specialized tool. Thus, the operator

remains separated from risks associated with contact with the

pantograph.

Section 229.125 Headlights and Auxiliary Lights

Sections 229.125(a), (b), (d), and (f) contain specifications for

the placement and brightness of locomotive headlights and auxiliary

lights. The purpose of these requirements is to reduce the risk of

collisions attributable to inconspicuity of the train, particularly in

low light level situations.

Justification

UTA requests a waiver from this requirement because the exterior

lighting of the TRAX vehicle is designed in conformance with Secs. 5.01

and 5.02 of Appendix A of CPUC General Order 143-A. See Exhibit I.

These lights on the TRAX vehicles will provide an equivalent level of

conspicuity to the vehicles, thereby meeting FRA's regulatory

objective.

In accordance with CPUC General Order 143-A, the TRAX vehicles will

be equipped with two headlights that are capable of revealing a person

or motor vehicle in clear weather at a distance of 600 feet and which

will be adjusted so as not to interfere with the vision of

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motor vehicle drivers. The TRAX vehicles also will be equipped with a

third light, centrally positioned near the top of the vehicle, creating

a triangle configuration with the headlights. This triangular lighting

configuration will render the TRAX vehicle easily distinguishable to

motor vehicles and freight trains.

In addition, the TRAX vehicle will have two red lights which will

emit a light plainly visible in clear weather from a distance of not

less than 500 feet to the rear of the train. The TRAX vehicle will also

have two red stoplights mounted on the end with the taillights. These

stoplights will be capable of producing approximately 150 percent of

the intensity of the taillights and will be illuminated whenever any

brake other than the parking brake is applied. These lights will make

the TRAX vehicle clearly visible to any other train on the tracks, as

well as to motor vehicle traffic at grade crossings.

Section 229.135 Event Recorders

Section 229.135 requires that, with certain exceptions, any train

which is operated faster than 30 mph must be equipped with an in-train

event recorder in the lead locomotive. Event recorders keep automatic

records of various type of train activities, such as speed, brake

applications, signals passed, etc., that can be used both to aid in the

reconstruction of accidents and to monitor safety compliance by train

operators.

Justification

UTA requests a waiver from this requirement because the TRAX

vehicles will not be equipped with event recorders. However, the Train

Control Units (TCU) within each vehicle are capable of capturing all of

the information required by the regulation, except for throttle

position. Although the TCU is not a continuous recorder, it is

activated any time a fault is seen and the information captured is

saved indefinitely (it cannot be overwritten like it can be on a

traditional event recorder). Consequently, in the event of an accident,

the TCU will capture virtually all the same information required by the

regulation, making this information available to UTA and state and

federal investigators for accident reconstruction and safety oversight

purposes.

Part 231 Passenger Cars Without End Platforms

Section 231.14 specifies the requisite location, number,

dimensions, and manner of application of a variety of railroad car

safety appliances (e.g., hand brakes, ladders, handholds, steps),

directly implementing a number of statutory requirements found in 49

U.S.C. 20301 through 20305.

The statute contains specific standards for automatic couplers,

sill steps, hand brakes, and secure ladders and running boards. Where

ladders are required, the statute mandates compliant handholds or grab

irons for the roof of the vehicle at the top of each ladder. Compliant

grab irons or handholds also are required for the ends and sides of the

vehicles, in addition to standard height drawers. In addition, the

statute requires trains to be equipped with a sufficient number of

vehicles with power or train brakes so that the engineer may control

the train's speed without the use of a common hand brake. At least 50

percent of the vehicles in the train must be equipped with power or

train brakes, and the engineer must use the power or train brakes on

those vehicles and all other vehicles equipped with such brakes that

are associated with the equipped vehicles in the train.

Aside from these statutory-based requirements, the regulations

provide additional and parallel specifications for hand brakes, sill

steps, side handholds, end handholds, end handrails, side-door steps

and uncoupling levers. More specifically, each passenger vehicle must

be equipped with an efficient hand brake that operates in conjunction

with the power brake on the train. The hand brake must be located so

that it can be safely operated while the passenger vehicle is in

motion. Passenger cars must have four sill steps and side-door steps

and prescribed tread length, dimensions, material, location, and

attachment devices for sill steps and side-door steps. In addition,

there are requirements for the number, composite material, dimensions,

location, and other characteristics for side and end handholds and end

handrails. Finally, this section requires the presence of uncoupling

attachments that can be operated by a person standing on the ground.

These very detailed regulations are intended to ensure that

sufficient safety appliances are available and that they will function

safely and securely as intended.

Justification

As noted above, some of the requirements in Sec. 231.14 are

required by statute and, therefore, are not subject to waiver under

FRA's regulatory waiver provisions. FRA does, however, have the

statutory authority to provide exemptions from these statutory

requirements. 49 U.S.C. 20306. Consequently, UTA requests exemption

from and/or waiver of these requirements, as appropriate, because the

TRAX light rail vehicles will be equipped with their own array of

safety devices resulting in equivalent safety. These are discussed

below in greater detail.

The TRAX light rail vehicles are low boarding vehicles. The risk of

falling while climbing aboard the vehicle is minimal, and therefore

most of the listed appliances are not necessary for safety. The TRAX

light rail vehicles do, however, have equivalent versions of some of

the safety appliances that are tailored to TRAX operations. For

example, to ensure passenger and crew safety during the embarking/

disembarking process and during operation of the vehicles, the TRAX

light rail vehicles are equipped with grab handles and bars. In

addition, each vehicle is equipped with an appliance running the length

of the front of the vehicle to provide protection against foreign

objects being caught under the car body while the vehicle is in motion.

Also, the TRAX light rail vehicles are equipped with automatic

couplers, rendering uncoupling levers unnecessary.

The TRAX light rail vehicles will have brakes that meet the

standards set forth in CPUC General Order 143-A, Exhibit I, and will be

inspected, tested, and maintained as required by Section 5 of the UTA

Safety Plan, Exhibit G. Therefore, the TRAX light rail vehicle brake

system will be equivalent to a standard air brake system, and thus

provide an equivalent level of safety.

UTA is aware that it may obtain exemption from the statutory safety

appliance requirements mentioned above only if application of such

requirements would ``preclude the development or implementation of more

efficient railroad transportation equipment or other transportation

innovations.'' 49 U.S.C. 20306. The exemption for technological

improvements was originally enacted to further the implementation of a

specific type of freight car, but the legislative history shows that

Congress intended the exemption to be used elsewhere so that ``other

types of railroad equipment might similarly benefit.'' S. Rep. 96-614,

at 8, (1980), reprinted in 1980 U.S.C.C.A.N. 1156, 1164.

FRA has recognized the potential public benefits of temporally

separated transit use on segments of the general railroad system. Light

rail transit systems ``promote more livable communities by serving

those who live and work in urban areas without adding congestion to the

nation's overcrowded

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highways.'' FRA Policy Statement at 28238. They ``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.'' There have been many technological advances in types of

equipment used for passenger rail operations, such as the use of light

rail transit vehicles that will be used for the TRAX light rail system.

Light rail transit equipment is energy efficient for passenger rail

operations because it is lighter than conventional passenger equipment.

Most light rail vehicles are electric, which reduces air pollution.

Light rail vehicles are able to quickly accelerate or decelerate, which

makes them more suitable than other equipment types in systems with

closely-configured stations. Denying UTA's request for an exemption

from certain safety appliance requirements, would preclude the

implementation of light rail transit for shared use/temporal separation

operations. Moreover, compliance with the statutory requirements is not

necessary for safe operations.

With regard to the regulatory requirements of Sec. 231.14, the TRAX

light rail vehicles will be equipped with safety appliances that are

more appropriate for light rail transit vehicles, thus achieving an

equivalent or superior level of safety in the TRAX operating

environment.

Section 234.105(c)(3) Activation Failure

Section 234.105 sets forth procedures to be followed in the event

of a failure of the activating mechanism of a highway-rail grade

crossing warning system. Section 234.105(c) provides for alternative

means of actively warning highway users of approaching trains during

periods of warning system activation failure. These requirements are

intended to prevent collisions between motor vehicles and trains at

grade crossings due to failure of the grade crossing warning system by

providing for alternate means of controlling traffic at such crossings.

Justification

UTA requests a waiver from this requirement because this procedure

is not compatible with TRAX operations. In cases of grade crossing

warning system activation failures, UTA will deploy flaggers or request

the deployment of uniformed law enforcement officers to provide traffic

control services, in accordance with the requirements of this section.

However, there may be times at which no flagger or uniformed law

enforcement officer is available. In such instances, UTA will not be

able to follow the procedure in Sec. 234.105(c)(3) to move the train

through the crossing because the TRAX vehicles will be operated by one

person crews, and that crewmember cannot leave the train to flag the

crossing. Instead, UTA proposes to bring the train to a full stop at

the crossing, sound an appropriate audible warning device on the

vehicle, then proceed through the crossing at restricted speed as

conditions permit (in any case less than 15 mph). The combination of

the proposed procedure along with the fact that almost all of the

crossings will have non-mountable clearly marked medians, will provide

a level of safety equivalent to that provided by the FRA rule, while

causing less disruption to TRAX service.

Section 238.113 Emergency Window Exits

Section 238.235 requires passenger cars to have a minimum of four

emergency exit windows of specified size and operational

characteristics. This requirement is intended to provide for

sufficient, easily accessible avenues of egress from passenger cars in

the case of emergency.

Justification

UTA requests a waiver of this requirement on the same basis with,

and with the same justification as, the waiver requested for

Sec. 223.15(c).

Section 238.115(b) Emergency Lighting and Back-up Power

Section 238.123(b) requires passenger cars to provide battery

powered emergency lighting meeting certain specified standards. The

purpose of this requirement is to ensure that in an emergency

situation, sufficient lighting will remain available to aid passengers,

crew members and, rescue personnel to access and leave the train

safely.

Justification

UTA seeks a waiver from some of the requirements of Sec. 238.115(b)

because the TRAX vehicle uses an emergency lighting system typical of

light rail vehicles in service throughout North America.

The emergency lighting on the TRAX vehicle will operate in all

equipment within 45 degrees of vertical and will operate for a period

of at least four hours, in excess of the FRA standard. The emergency

lights, placed over every other door, will provide sufficient light to

facilitate easy egress from and access to the low interior floor. The

emergency lighting and back-up power in the operator's cab will be

sufficient to permit safe operation of the control, radio, and public

address system.

TRAX vehicles will operate in an urban/suburban region; the route

is at-grade with many easy points of access. The farthest distance

between the track and a street access point is 1,000 feet. Emergency

responders will be able to reach any portion of the system reasonably

quickly.

The TRAX emergency lighting and back-up power systems will provide

necessary and adequate functioning in the TRAX environment. This

request is consistent with FRA's position on the appropriate treatment

of this part as stated in the Policy Statement. Policy Statement at

28242. Accordingly, a waiver of Sec. 238.115(b) is justified.

Section 238.203 Static End Strength

Section 238.203 provides for the overall compressive strength of

rail passenger cars. This section is intended to prevent sudden,

brittle-type failure of the main structure of a passenger car, thereby

providing protection of occupants in the case of a crash.

Justification

UTA requests a waiver of these requirements because the TRAX

vehicles are constructed to comply with Sections 6.02--6.03 of Appendix

A of CPUC General Order 143-A. Specifically, each TRAX vehicle will be

equipped with collision or cab-end corner posts, and the connection of

the corner posts to the supporting structures (and the supporting

structure itself) must be able to develop the full bending capacity of

the collision or corner posts. Further, the vehicle will be designed

and constructed such that all major structural components meet or

exceed the following for both an unloaded and a fully loaded LRV body:

under the action of an end compression load applied to twice the

unladen car body weight applied longitudinally at the end sills, there

shall be no permanent strain in any structural member and there shall

be no stress in any such member exceeding the yield strength of yield

point of the material.

The TRAX vehicle is manufactured using a low alloy high tensile

steel frame. This framework consists of two end sections attached to a

single articulation joint. Each end section is made up of an end

underframe which contains the anti-climber, body bolster, corner posts

and the anti-telescoping structural safety design feature. The SD 100

design permits end structure loading to be transferred from the anti-

climber through the corner posts up to the roof structure. This

transfer of structural loading to the roof structure

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helps to protect the passenger compartment by preventing the floor

structure from receiving the full load. The car body side sheets also

add to the structural integrity of the SD 100 car body. The TRAX

vehicle has a specified compression load at coupler anchorage level of

445 kN (100,000 lbs). The tested compression loading, using an empty

car at the level of the anti-climber, was 687.21 kN (154,500 lbs). This

is in line with the design compression loads commonly found on light

rail transit vehicles in service in North America.

UTA believes that the design and construction of the TRAX vehicles

will provide an equivalent level of safety, particularly in the TRAX

operating environment. As noted previously, because of the temporal

separation of the freight and passenger operations over the TRAX line,

the risk of collisions between freight and passenger trains is

virtually eliminated. Consequently, the need for the TRAX vehicles to

have sufficient structural strength to survive a collision with a

freight train is minimized. The CPUC standard for light rail vehicles

will ensure that the vehicles will have sufficient structural capacity

to survive collision with each other or other objects (such as motor

vehicles) with limited risk of injury to occupants.

Section 238.205(b) Anti-climbing Mechanism

Section 238.205(b) requires locomotives, including MU locomotives

(as defined in Sec. 238.5), to have forward and rear end anti-climbing

mechanisms capable of resisting an upward or downward vertical force of

200,000 pounds without failure. These requirements are intended to

prevent override or telescoping of one passenger train unit into

another in the event of high compressive forces caused by a derailment

or collision.

Justification

UTA requests a waiver from these requirements because the TRAX

vehicle will have an anti-climber mechanism on each end of the vehicle

designed and constructed with projecting steel corrugations that will

interlock with a similar device on another LRV, as required under

Section 6.01 of Appendix A of CPUC General Order 143-A.

UTA believes that the design and construction of the TRAX vehicle

anti-climbers will provide an equivalent level of safety, particularly

in the TRAX operating environment. As noted previously, because of the

temporal separation of the freight and passenger operations over the

TRAX line, the risk of collisions between freight and passenger trains

is significantly reduced. Consequently, a requirement that the TRAX

vehicles have anti-climbers designed to sustain a collision with a

freight train is unnecessarily burdensome. The CPUC standard for light

rail vehicles will ensure that the anticlimbers function as intended to

lessen the severity of collision between light rail vehicles.

Section 238.207 Link Between Coupling Mechanism and Car Body

Section 238.207 sets forth strength requirements for the link

between the car coupling mechanism and the car body. The purpose of

this requirement is to avoid a premature failure of the draft system so

that the anticlimbing mechanism will have an opportunity to engage.

Justification

UTA requests a waiver from the requirements of Sec. 238.207 because

the TRAX vehicle does not utilize a draft system for coupling. Rather,