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

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.

Santa Clara County Transit District

[FRA Waiver Petition No. FRA-1999-6254]

The Santa Clara County Transit District, also known as the Santa

Clara Valley Transportation Authority (``VTA'') seeks a permanent

waiver of compliance from certain CFR parts of Title 49, specifically:

part 214, Railroad Workplace Safety; part 217, Railroad Operating

Rules; part 219, Control of Alcohol and Drug Use; part 220, Railroad

Communications; 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 236, Rules, Standards, and Instructions

Governing the Installation, Inspection, Maintenance, and Repair of

Signal and Train Control Systems, Devices, and Appliances; 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.

Secs. 20301 through 20305.

Initial service began on the VTA light rail system in 1987, and by

1991 the 21-mile system was operational. With 33 stations and free

parking at 11 park-and-ride lots, the light rail system currently

provides service in California to the residential area of South San

Jose, the industrial area of Santa Clara, the San Jose Civic Center,

the North First Street industrial area and downtown San Jose.

VTA's Tasman West Extension, scheduled to open on December 17,

1999, is a 7.6-mile extension of VTA's light rail system. Adding 11 new

stations between Old Ironsides Station in Santa Clara and downtown

Mountain View, the Tasman West Extension will extend VTA's light rail

system further into Silicon Valley and provide transit accessibility to

major high technology employers.

The Tasman West Extension includes approximately 1.6 miles of track

that

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VTA acquired from the Southern Pacific Transportation Company (``SP'')

in 1994, known as the ``Moffett Drill Track.'' This short segment of

track (hereinafter referred to as the ``Drill Track'') constitutes a

middle section of the Tasman West Extension. It also will be used on an

occasional basis by the Union Pacific Railroad (UPRR), the successor by

merger with SP, for freight deliveries to the National Aeronautics and

Space Administration (``NASA'') and other federal agencies that may be

located in the Ames Research Center at the Moffett Federal Airfield;

Moffett Federal Airfield is located at one end of the Drill Track.

VTA seeks approval of shared use and waiver of regulations from the

Federal Railroad Administration (``FRA'') for light rail passenger

operations on the Drill Track. FRA has jurisdiction over this portion

of the VTA because it will be connected to the general railroad system

of transportation.

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

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

VTA 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 investigation of the

planned VTA operation, the agency takes no position at this time on the

merits of VTA's stated justifications. As part of FRA's review of the

petition, the FTA will appoint a non-voting liaison to FRA's Safety

Board, and that person will participate in the board's consideration of

VTA's waiver petition.

Part 214 Roadway Worker Protection

Subpart C of part 214 sets forth requirements for the protection of

roadway workers along railroad rights-of-way. These requirements are

intended to help prevent accidents and injuries to railroad employees

engaged in roadway maintenance activities.

Justification

VTA requests a waiver of the subpart C requirements during its

period of operations over the Drill Track because VTA will be following

its standard operating procedures and safety rules, as required by

Sec. 13.01 of California Public Utilities Commission (CPUC) General

Order 143-A, Sec. 3 of CPUC General Order 164-A, Sec. 5 of the VTA

Safety Plan and the Rulebook. Specifically, Sec. 7 of the VTA Rulebook,

entitled ``Protection of Employees on Right of Way,'' sets forth the

safety equipment, blue flag, and operating practice requirements

designed to ensure the safety of VTA employees working along the right

of way.

Under those rules, employees working along the right of way must

wear visible safety vests. After dark, work crews also must have and

use lanterns to alert trains to their presence. If emergency or repair

work is done to vehicles on the main track, such vehicles must be

tagged with blue flags or blue lights to alert workers. In addition to

the required safety equipment, employees on the right of way are often

working in a Work Zone or Reduced Speed Zone, established by the

Operation Control Center (OCC), which gives the workers either the

exclusive right to be on the track or requires trains moving through

such zones to do so at reduced speed. When a train approaches a work

zone, the operator is required to sound an audible warning of its

approach. The work crew is then required to respond to the warning by

either clearing the track and permitting the train to proceed, or by

giving the train a stop signal until the crew can clear and permit the

train to proceed. All work crews are required to call into OCC every 30

minutes to apprize OCC of their status and movements (if any). This

allows OCC to notify trains of any changes in work crew locations. When

performing work of 20 minutes or less, and when done without pneumatic

tools, employees may be protected by ``simple protection.'' In these

circumstances, employees must report to OCC upon entering and exiting

the right of way. OCC relays that information to trains in the area. If

work extends beyond 20 minutes, permission to remain on the right-of-

way must be renewed with OCC. The Rule 7 protections are similar to the

FRA requirements, but tailored to the VTA operating environment.

Currently in practice over the rest of the VTA light rail system, the

rules have been effective at preventing injuries to employees working

in the right of way.

Part 217 Railroad Operating Rules

Part 217 requires each railroad to provide training to employees on

the operating rules and perform periodic operational tests to monitor

compliance with the operating rules. Under this part, each railroad

must also file copies of its operating rules with FRA. These

requirements are intended to ensure the safety of railroad operations

through employee knowledge of and compliance with operating rules.

Justification

VTA requests a waiver from all of the requirements of this part

because VTA operating rule training and compliance monitoring will be

carried on as required by Sec. 13 of General Order 143-A. Under General

Order 143-A, VTA is required to submit its operating rules to the CPUC,

conduct initial and biennial training to employees on the operating

rules, and conduct operational testing on a periodic basis. Section 5

of the VTA Safety Plan, and SOPs 1.5 and 1.9, contain additional

operator training and testing requirements. These requirements will

ensure that the VTA employees know and comply with VTA operating rules.

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

treatment of this part as stated in the Policy Statement (see Policy

Statement at 28422).

Part 219 Control of Alcohol and Drug Use

Part 219, Control of Alcohol and Drug Use, 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

VTA requests a waiver of all of the requirements of part 219

because all of the employees assigned to the VTA light rail system who

would otherwise be covered employees under this part, are already

covered employees subject to VTA'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. Subjecting certain employees to FRA regulations

would create an administrative burden for VTA, both in terms of cost

and recordkeeping, and in determining which employees were subject to

which regulations on a given day.

The FTA regulations apply to recipients of Federal mass transit

funds except those ``specifically excluded''

[[Page 58901]]

because those recipient operating railroads regulated by the FRA. 49

CFR Secs. 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 comply with parts 653 and 654 for

its ``non-railroad operations.''

VTA 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 VTA's bus

and current light rail 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 be subject to FTA's rules at

parts 653 and 654.

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

compliance with the FTA rule, would provide a level of safety

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

respective FRA and FTA regulations reveals that the regulations 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 the 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.

Application of the FTA regulations will provide a level of safety

similar to that provided by the FRA regulations. This request is

consistent with the FRA's position on the appropriate treatment of this

part, as stated in the Policy Statement (see Policy Statement at

28422).

Part 220 Radio and Wireless Communication Procedures

Part 220 sets forth minimum requirements governing the use of

radios and other wireless communications equipment in connection with

railroad operations. These requirements are intended to enhance

operational safety by facilitating communications among railroad

employees and offices through the availability of radios and the use of

standardized communications protocols.

Justification

VTA requests a waiver from all of the requirements of this part

because radio communications on VTA light rail operations are conducted

according to the requirements of Sec. 4 of the Rulebook, ``Radio

Procedures'' and SOPs 2.1, ``Standard Two-Way Radio Procedures'' and

2.5 ``Radio Failure.'' Under the Rules and SOPs, light rail vehicles

are equipped with radios and all personnel requiring two-way

communications are provided with radios. The Rules and SOPs specify

communication protocols addressing identification of speakers, proper

use of radios, emergency communications, and procedures for

communication in the event of radio failure. SOP 6.2 provides that all

radio transmissions are governed and monitored by the Federal

Communications Commission. In addition, compliance with these Rules and

SOPs is monitored, as required in Sec. 7 of the Safety Plan and

Sections 3 and 4 of CPUC General Order 164-A. The VTA Rules and SOPs

provide for an equivalent level of safety as the FRA rules. This

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

of this part, as stated in the Policy Statement (see Policy Statement

at 28422).

Part 221 Rear End Marking Device--Passenger, Commuter and Freight

Trains

Part 221 contains requirements that passenger, commuter, and

freight trains be equipped with and display rear end marking devices.

Part 221 also sets forth requirements related to the inspection of such

devices and the movement of vehicles with defective 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

VTA seeks a waiver from all of the requirements of part 221 because

the VTA light rail vehicles are designed in conformance with the

requirements of Sec. 5 of CPUC General Order 143-A. The VTA light rail

cars have two red taillights that are designed to be visible for a

distance of 500 feet from the rear-end of the train and that are

located 45 inches above the top of rail. Because the rear lights on the

VTA vehicles will make them conspicuous to any trailing train, the VTA

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. These requirements are 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

VTA requests a waiver of these requirements because the VTA light

rail vehicle will conform instead to the windshield and window

requirements of Sec. 6.04 of CPUC General Order 143-A. Under Sec. 6.04,

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

[[Page 58902]]

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

thrown against the windows) is addressed from an operational standpoint

in the security portions of the Safety Plan. There is no reason to

believe that the VTA light rail vehicle windows will pose any safety

hazard in conventional railroad corridor operations. This request is

consistent with the FRA's position on the appropriate treatment of this

part, as stated in the Policy Statement (see Policy Statement at

28421).

Part 225 Railroad Accidents/Incidents: Reports Classification, and

Investigations

Part 225 prescribes reporting requirements for accidents and

injuries meeting specified materiality thresholds. Part 225 also

provides for recordkeeping and record retention policies. These

requirements support FRA's enforcement efforts and provide information

to detect trends on an industry-wide basis.

Justification

VTA requests a waiver of the reporting and investigation

requirements for injuries because VTA will be following the injury

reporting requirements prescribed in Sections 5 and 6 of CPUC General

Order 164-A and Sec. 4.10 of the VTA Safety Plan. In addition, VTA is

responsible for compliance with applicable Occupational Safety and

Health Administration workplace injury reporting requirements.

Compliance with FRA regulations just for injuries on the Drill Track

segment would require the creation of a separate administrative

structure for injury reporting, which would place an unnecessary

administrative burden on VTA without enhancing safety (see Policy

Statement at 28422).

Part 228 Records and Reporting

Subsections 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

VTA requests a waiver of these requirements because they will

create an unnecessary paperwork burden for VTA, 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 are often: 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.

VTA service, however, is vastly different. VTA light rail

dispatchers operate out of a single Operations Control Center,

directing the movement of regularly scheduled trains, with regularly

scheduled station stops over a fixed route on a day-in, day-out basis.

Dispatchers and vehicle operators work fixed schedules, with many of

the same dispatchers and vehicle operators working the same hours each

week. Moreover, dispatcher and vehicle operator responsibilities do not

require them to be away from home during non-duty hours. Thus, in the

VTA operating environment, the standard records maintained by VTA on

train and train crew movements and operator attendance will provide

sufficient information to determine service hours worked.

Part 229 Railroad Locomotive Safety Standards

Part 229 sets forth standards related to operation and maintenance

of railroad locomotives. These requirements are intended to ensure that

locomotives and locomotive components are and remain in good working

order to permit the proper function of the locomotive and to reduce the

likelihood of accidents due to failures of locomotive system

components.

Justification

VTA requests a waiver of the requirements of part 229 because the

VTA light rail vehicles are operated and maintained in accordance with

the requirements of Sections 1.08 and 14 of CPUC General Order 143-A,

Sec. 5 of the VTA Safety Plan and Sec. 3 of the Rulebook and SOPs 5.1-

5.6, 6.1-6.11, 8.7, 8.10 and 8.12. Under these requirements, all light

rail cars and component systems must be maintained in proper working

condition, inspected and tested on a periodic basis, and operated in a

safe manner.

VTA understands that FRA is particularly concerned that locomotives

have alerting lights in a triangular pattern at the front end of each

vehicle (as required by Sec. 229.125). While the VTA light rail

vehicles do not have lights that create a triangular pattern, VTA

believes that the front-end lighting on the cars will provide a

sufficiently distinctive profile that motor vehicle traffic and

pedestrians will be alerted to the presence of an oncoming VTA train.

The VTA cars, in accordance with Sec. 5.01 of CPUC General Order 143-A,

will have two headlights capable of revealing a person or motor vehicle

in clear weather at a distance of 350 feet. They also will have yellow

marker lights in the top corners of the cars. These high-mounted yellow

lights are distinctive to the light rail vehicle and render the VTA

trains clearly identifiable to motorists and pedestrians.

The features of the VTA light rail vehicles, combined with the

CPUC, Safety Plan, Rulebook, and SOP inspection, testing, maintenance

and operating requirements, will ensure that the VTA vehicles are

maintained and operated in safe working order. This request is

consistent with the FRA's position on the appropriate treatment of this

part, as stated in the Policy Statement (see Policy Statement at

28421).

Sec. 231.14 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. Secs. 20301-05.

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

[[Page 58903]]

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. Sec. 20306. Consequently, VTA requests

exemption from and/or waiver of these requirements, as appropriate,

because the VTA 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 VTA light rail vehicles have only three steps for entry. The

risk of falling while climbing aboard the train is minimal, and

therefore most of the listed appliances are not necessary for safety.

The VTA light rail vehicles do, however, have equivalent versions of

some of the safety appliances that are tailored to VTA operations

(Sec. 3 of CPUC General Order 143-A). For example, to ensure passenger

and crew safety during the embarking/disembarking process and during

operation of the vehicles, the VTA 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 VTA light rail vehicles are

equipped with automatic couplers, rendering uncoupling levers

unnecessary.

The VTA light rail vehicles will have brakes as required by Sec. 4

of CPUC General Order 143-A and will be inspected, tested, and

maintained as required by Secs. 4 and 14 of the General Order, Sec. 5

of the VTA Safety Plan and SOPs 5.1 and 5.3. Therefore, the VTA light

rail vehicle brake system will be equivalent to a standard air brake

system, and thus provide an equivalent level of safety.

VTA 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. Sec. 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 highways'' (see 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'' (Id. at 28238). 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 VTA 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 VTA'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 VTA

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 VTA operating

environment. This request is consistent with the FRA's position on the

appropriate treatment of this part, as stated in the Policy Statement

(see Policy Statement at 28421).

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

VTA requests a waiver from this requirement because this procedure

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

warning system activation failures, VTA 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, VTA will not be

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

through the crossing because the VTA light rail vehicles will be

operated by one person crews, and that crew member cannot leave the

train to flag the crossing. Instead, VTA 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

[[Page 58904]]

restricted speed as conditions permit (in any case less than 15 mph).

The proposed procedure will provide a level of safety equivalent to

that provided by the FRA rule, while causing less disruption to VTA

light rail service.

Part 236 Track Circuit Requirements

Section 236.51 requires broken rail protection such that track

circuits generally must be de-energized or in their most restrictive

state when a rail is broken. This requirement is intended to reduce the

likelihood of an accident caused by broken rails by restricting train

movement over such rails.

Justification

VTA requests a waiver of this requirement because audio frequency

overlay (``AFO'') track circuits are in use over the Drill Track. AFO

track circuits were chosen because they eliminate the need for

insulated joints and impedance bonds at the insulated joints, making

them more cost effective than conventional track circuits. In addition,

it was considered preferable to avoid insulated joints because they

provide weak spots in the track. Although AFO circuits are not as

sensitive to broken rail conditions as conventional power frequency

track circuits, VTA believes that safety will not be compromised by

their use.

AFO track circuits do provide some broken rail protection; some

broken rail situations (where the rail is physically separated) are

detected by AFO track circuits, which then show an occupancy to

prohibit the entry of trains into the affected block.

While AFO circuits may not detect cracks, VTA maintenance practices

make it unlikely that a crack not detected by the AFO track circuits

would result in an accident. VTA conducts formal visual inspection of

its tracks on a weekly basis. In addition, because of the local and

urbanized nature of the system, it is unlikely that erosion, earth

movement or some other occurrence which would affect the track would go

unnoticed and unremedied between weekly inspections.

Part 238 Passenger Equipment Standards

These standards deal with structural requirements for passenger

rail vehicles and vehicle equipment, along with inspection and

maintenance standards for such equipment. These standards are intended

to enhance the safety of passenger rail operations in the case of

accidents by ensuring that passenger rail vehicles have certain

crashworthiness and emergency exit features.

Justification

VTA requests a waiver from the requirements of part 238 because the

VTA light rail vehicles have been manufactured to comply with the

requirements of CPUC General Order 143-A. VTA believes that these

standards will provide a sufficient level of safety in the VTA

operating environment.

Sections 3, 6 and 10 of the General Order contain standards for

light rail vehicle equipment, brakes, lighting, emergency exits,

windows, structural components (i.e., anti-climbers, collision posts

and end sills), and traction power systems. These sections cover both

equipment design and performance requirements. More specifically, the

Order sets forth requirements that light rail vehicles be equipped with

certain pieces of safety equipment (such as deadman controls, audible

warning devices, emergency brakes, etc.), along with performance

specifications for brake systems and construction requirements for

vehicles (CPUC General Order 143-A). These requirements are intended to

lower the risk of injury to occupants, both through structural capacity

of the vehicles to protect the occupant compartment and through safety

precautions against secondary hazards resulting from initial collisions

(i.e., fire, lack of egress, etc.). Compliance with the more stringent

FRA requirements is not necessary because VTA's light rail operations

will be completely separated from UPRR's infrequent freight operations,

eliminating the risk that VTA light rail vehicles will enter into

collisions with heavier freight trains.

The VTA vehicles will be operated, inspected, tested and

maintained, as required by Sec. 5 of the VTA Safety Plan, Sec. 3 of the

Rulebook and SOPs 5.1-5.6, 6.1-6.11, 8.7, 8.10 and 8.12. Under these

requirements all light rail vehicles and component systems must be

maintained in proper working order, inspected and tested on a periodic

basis, and must be operated in a safe manner. These provisions also

include instructions for marking and moving defective equipment.

Compliance with these Rules and SOPs is monitored, as required by

Sec. 7 of the Safety Plan and Secs. 3 and 4 of General Order 164-A.

The CPUC and VTA requirements will provide for a level of safety at

least equivalent to FRA requirements. This request is consistent with

the FRA's position on the appropriate treatment of this part, as stated

in the Policy Statement (see Policy Statement at 28422).

Part 239 Emergency Preparedness

Part 239 contains standards for the preparation, adoption, and

implementation of emergency preparedness plans by railroads connected

with the operation of passenger trains. It is intended that by

providing sufficient emergency egress capability and information to

passengers, and by having emergency preparedness plans calling for

coordination with local emergency response officials, the risk of death

or injury to passengers, employees, and others in the case of accidents

or other incidents, will be lessened.

Justification

VTA requests a waiver from the part 239 requirements because VTA

will be following CPUC and VTA emergency preparedness requirements. VTA

believes that compliance with these emergency preparedness requirements

will provide a level of safety equivalent to the FRA standards.

Sections 5.05 and 6.05 of CPUC General Order 143-A contain

emergency lighting and emergency exit requirements, respectively. In

addition, the VTA vehicles are each equipped with four (4) emergency

window exits and fire extinguishers.

Section 3.1 of CPUC General Order 164-A requires VTA to adopt an

emergency response plan and procedures which must provide for emergency

situation training and coordination with external emergency response

agencies. Sections 4.3, 4.12, 5.2, 5.5, 5.7 and 5.8 of the Safety Plan

set forth the responsibility of the various VTA divisions and personnel

for emergency planning and response activities. Section 2.6 of the

Security Portion of the Safety Plan also addresses emergency response

issues. SOPs 9.1-9.20 prescribe detailed operating procedures in the

event of emergency, including coordination with police and fire

departments, and passenger evacuation procedures. There are specific

SOPs for a variety of emergency situations from derailments and

collisions to natural disasters to civil disorders or terrorist

activities.

These emergency preparedness standards will provide a level of

safety equivalent to the FRA requirements. Compliance with FRA

regulations just for emergencies on the Drill Track would require the

creation of a separate administrative structure for emergency planning

and response, which would place an unnecessary administrative burden on

VTA without enhancing safety. This request is consistent with FRA's

position on the appropriate

[[Page 58905]]

treatment of this part, as stated in the Policy Statement (see Policy

Statement at 28422).

Part 240 Qualification and Certification of Locomotive Engineers

Part 240 contains regulations relating to the qualification and

certification of locomotive engineers. The locomotive engineer

shoulders significant responsibility for the safety of him/herself and

others in the railroad operating environment. Through the regulation's

training, eligibility, testing, and monitoring standards, FRA seeks to

ensure that only sufficiently qualified individuals are entrusted with

those unique responsibilities.

Justification

VTA requests a waiver from these requirements because VTA will be

following CPUC and VTA operator training and qualification standards.

VTA believes that compliance with the CPUC/VTA operator qualification

and training requirements will provide at least an equivalent level of

safety. SOPs 1.5 and 1.9 set forth specific training and certification

requirements for VTA light rail operators, in accordance with the

requirements of Sections 12.02, 13 and 14.03 of CPUC General Order 143-

A and Sec. 5.2 of the Safety Plan. Moreover, compliance with FRA

regulations for operators whose routes take them over the Drill Track

would require the creation of a separate administrative structure for

locomotive engineer training and qualification, which would place an

unnecessary administrative burden on VTA without enhancing safety. This

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

of this part, as stated in the Policy Statement (see Policy Statement

at 28422).

Interested parties are invited to participate in this proceeding by

submitting written views, data, or comments. FRA does not anticipate

scheduling a public hearing in connection with either the request for a

waiver of certain regulatory provisions or the request for an exemption

of certain statutory provisions. If any interested party desires an

opportunity for oral comment, he or she should notify FRA, in writing,

before the end of the comment period and specify the basis for his or

her request.

All communications concerning these proceedings should identify the

appropriate docket number (e.g., Waiver Petition Docket Number FRA

1999-6254) and must be submitted to the DOT Docket Management Facility,

Room PL-401 (Plaza level) 400 Seventh Street, S.W., Washington, D.C.

20590. Communications received within 45 days of the date of this

notice will be considered by FRA before final action is taken. Comments

received after that date will be considered as far as practicable. All

written communications concerning this proceeding are available for

examination during regular business hours (9:00 a.m.-5:00 p.m.) at the

above facility. All documents in the public docket are also available

for inspection and copying on the Internet at the docket facility's Web

site at http://dms.dot.gov.

Issued in Washington, D.C. on October 26, 1999.

Michael Logue,

Deputy Associate Administrator for Safety Compliance and Program

Implementation.

[FR Doc. 99-28467 Filed 10-29-99; 8:45 am]

BILLING CODE 4910-06-P