Petition for Waiver of Compliance

DEPARTMENT OF TRANSPORTATION

Federal Railroad Administration

Petition for Waiver of Compliance

In accordance with 49 Code of Federal Regulations (CFR), Sections

211.9 and 211.41 notice is hereby given that the Federal Railroad

Administration (FRA) has received a request for a waiver of compliance

from certain requirements of Federal railroad safety regulations. The

individual petition is described below, including the party seeking

relief, the regulatory provisions involved, the nature of the relief

being requested and the petitioner's arguments in favor of relief.

Alaska Railroad Corporation (Waiver Petition Docket Number FRA-

1998-4901)

Alaska Railroad Corporation(ARRC), seeks a waiver of compliance

from certain sections of Title 49 CFR Parts 216, Special Notice and

Emergency Order Procedures: Railroad Track, Locomotive and Equipment;

217, Railroad Operating Rules; 218, Railroad Operating Practices; 220,

Radio Standards and Procedures; 229, Railroad Locomotive Safety

Standards; 233, Signal Systems Reporting Requirements; 235,

Instructions Governing Applications for Approval of a 2 Discontinuance

or Material Modification of a Signal System or Relief from the

Requirements Of Part 236; 236, Rules, Standards, and Instructions

Governing the Installation, Inspection, Maintenance, and Repair of

Signal and Train Control Systems,

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Devices, and Appliances; and 240, Qualification and Certification Of

Locomotive Engineers, under Part 211.51, Tests, to allow them to

develop, implement, and test technology designed to prevent train

collisions and overspeed violations and to protect track maintenance

personnel from trains. The program will enable ARRC to demonstrate and

validate the technology, referred to as Precision Train Control (PTC),

before it is implemented on a larger scale.

PTC is a communications-based system designed to precisely manage

the movements of trains in real time. PTC will generate a movement plan

for all trains and then provide each train's engineer information

necessary to keep the train on plan. PTC will monitor each train's

position, velocity and acceleration in real time in respect to the

movement plan and will prompt the engineer to take action before a

violation occurs associated with limits of authority, track bulletins,

track speed, speed restrictions, and working limits of track

maintenance personnel. PTC will require the installation of a computer-

aided dispatching (CAD) system from which the PTC system will be

controlled. The PTC system will consist of three segments that work

together to provide enforcement against train movement violations: the

central office segment; the locomotive segment; and the communications

segment. The central office segment will consist of the CAD, a server

and movement planner that will develop and issue enforceable movement

authorities and speed limits for each PTC-equipped train. This

information is sent through the communications segment to the

locomotive segment located onboard the controlling locomotive of each

train. The locomotive segment enforces a train's movement and speed

limits by monitoring and reporting the train's location and speed and

applying the brakes to stop the train if necessary to prevent a

violation.

The PTC program will be implemented system wide on the ARRC in the

State of Alaska. All main track on all subdivisions on the ARRC will be

included in the project. Total trackage will be 534.3 miles.

The following are the waiver requests and their justifications:

Sec. 216.13 Special notice for repairs--locomotive. Waiver is

requested for PTC-equipped locomotives to the extent that non-operation

of PTC equipment installed onboard (whether through malfunction or

deactivation) shall not be construed as an unsafe condition requiring

special notice for repairs. Waiver is also sought for non-PTC-equipped

locomotives operating in the PTC test territory to the extent that the

absence of PTC equipment onboard shall not be construed as an unsafe

condition requiring special notice for repairs.

Justification: With or without PTC equipment operating onboard the

controlling locomotive, a train remains subject to existing operating

rules. PTC tests require flexibility in installing, removing, turning

on, and turning off the onboard equipment. The PTC tests will involve

only a small subset of locomotives that will be PTC-equipped for

testing.

Sec. 217.9 Program of operational tests and inspections; record

keeping. Waiver is requested exempting operation of PTC equipment and

procedures from the requirements for operational tests and inspections

and associated record keeping.

Justification: During the PTC test phase, procedures for using PTC

equipment and functions will be refined and modified. Until such

procedures are defined, they cannot be addressed in the General Code of

Operating Rules (GCOR). In any case, PTC is expected to have minimal

impact on the operating rules.

Sec. 217.11 Program of instruction on operating rules; record

keeping; electronic record keeping. Waiver is requested exempting

operation of PTC equipment and procedures from the requirements for

instruction and associated record keeping.

Justification: During the PTC test phase, procedures for using PTC

equipment and functions will be refined and modified. Until such

procedures are defined, they cannot be addressed in the GCOR. In any

case, PTC is expected to have minimal impact on the operating rules.

Part 218 [Subpart D] Prohibition Against Tampering With Safety

Devices. Waiver is requested exempting onboard PTC equipment from the

requirements of Sec. 218.51, 218.53, 218.55, 218.57, 218.59, and 128.61

to the extent that PTC equipment onboard a locomotive shall not be

considered a ``safety device'' according to the provisions of this

subpart at any time during the test phase.

Justification: PTC tests require flexibility in installing,

removing, turning on, and turning off the onboard equipment. The ARRC

also needs the flexibility to permanently disable or remove PTC

equipment in the event that a production system is not implemented.

Part 220 Radio Standards and Procedures. Clarification is

requested establishing that digital radio communications are exempt

from all requirements applicable to radio communications under Part

220.

Justification: Imposing the requirements of Part 220 would negate

the efficiencies of digital data communications and adversely affect

the PTC concept of operations. Digital radio communications are

expected to enhance safety by eliminating the sources of human error

which Part 220 is designed to mitigate.

Sec. 220.21 Railroad operating rules; radio communications; record

keeping. Clarification is requested to establish that during PTC

testing, operating rules with respect to radio communications shall not

be construed or required to address procedures governing digital data

communications.

Justification: The GCOR radio rules were written to enhance the

safety of voice radio communications. Whether new rules are needed to

accommodate digital communications is an open issue which will be

decided during the PTC test phase.

Sec. 220.23 Publication of radio information. Clarification is

requested to establish that digital radio base stations and wayside

interface units are exempt from the requirements for publication of

radio information including locations, channels, and periods of

operation.

Justification: The safety rationale of these requirements does not

apply to digital radio communications used in PTC where communication

management functions occur transparently to the user.

Sec. 220.61 Transmission of train orders by radio. Clarification

is requested establishing that both PTC digitally transmitted

enforceable authorities and text authorities including track warrants,

track permits and track bulletins are exempt from the requirements

governing the voice transmission of train orders, especially: voice

exchange prior to transmission of a train order; limitations regarding

when and to which crew member a train order may be sent; copying a

train order in writing; repeating a train order back to the dispatcher;

and requiring the conductor and engineer to have written copies of a

train order before it is acted upon.

Justification: The safety rational of these requirements does not

apply to digital transmission of either PTC enforceable authorities or

displayed text authorities. PTC enforceable authorities are transparent

to the train crew and are clearly outside the provisions of this

section. Digitally transmitted track warrants, track permits and track

bulletins are expected to enhance safety by eliminating the sources of

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communication error which the requirements are designed to mitigate.

Sec. 229.7 Prohibited acts. Waiver is requested to the extent that

PTC equipment onboard a locomotive shall not be considered

``appurtenances'' rendering the locomotive subject to the constraints

of this section.

Justification: PTC test require flexibility in installing,

removing, turning on, and turning off the onboard equipment. ARRC

requires the flexibility to temporarily or permanently disable onboard

PTC equipment. Whether or not PTC equipment onboard a locomotive is

functioning, the train remains subject to the provisions of the rules

governing the current methods of operation.

Sec. 229.135 Event recorders. Waiver is requested to the extent

that PTC equipment onboard a locomotive shall not be considered an

``event recorder'' subject to the provisions of this section.

Justification: PTC equipment by design will operate intermittently

during the test phase. The data accumulated by the onboard PTC

equipment will be used to develop and refine PTC functions. Such data

can be expected to contain anomalies that do not reflect true operating

conditions, but by analysis will contribute to achieving necessary

objectives in the PTC design.

Sec. 233.9 Reports. Waiver is requested exempting PTC operations

in the test phase from the reporting requirement of this section.

Justification: ARRC recognizes that a PTC production system is

subject to the provisions of this section, however, imposition of the

requirements during the test phase would be an unnecessary paperwork

burden.

Sec. 235.5 Changes requiring filing of application. Waiver is

requested exempting PTC from the requirements of this section during

the test phase.

Justification: PTC tests require flexibility in installing,

removing, modifying, turning on, and turning off the PTC equipment.

ARRC also requires the flexibility to permanently disable or remove PTC

equipment in the event that a production system is not implemented.

Sec. 236.4 Interference with normal functioning of device. Waiver

is requested to the extent that PTC equipment shall be excluded from

this requirement during the test phase.

Justification: During the PTC test phase, the ``normal

functioning'' of PTC will be identified, refined and defined. PTC tests

require flexibility in installing, removing, turning on, and turning

off the PTC equipment. With or without PTC equipment operating onboard

the controlling locomotive, the train remains subject to the provisions

of the rules governing the existing methods of operation.

Sec. 236.5 Design of control circuits on closed circuit principle.

Waiver is requested excepting PTC equipment from the closed circuit

design requirement.

Justification: PTC is composed of solid state components that are

software driven. Neither the hardware or software can technically be

designed to meet the provisions of this section.

Sec. 236.11 Adjustment, repair, or replacement of component.

Waiver is requested exempting PTC components onboard a locomotive from

the requirements of this section.

Justification: PTC test require flexibility in installing,

removing, modifying, turning on and turning off PTC equipment. Failure

of a PTC component will not jeopardize the safety of train operations.

With or without PTC equipment operating onboard the controlling

locomotive, the train remains subject to the provisions of the rules

governing the existing methods of operation.

Sec. 236.15 Timetable instructions. Waiver is requested exempting

PTC territory from the timetable designation requirement of this

section during the PTC test phase.

Justification: The PTC test phase will consist of tests and

demonstrations, identifying the test territory in the timetable would

be both premature and an unnecessary paperwork burden.

Sec. 236.23 Aspects and indications. Waiver is requested to the

extent that the PTC display onboard an equipped locomotive shall not be

construed to represent or correspond to signal aspects or indications

subject to the requirements of this section.

Justification: The ARRC is a non signaled railroad. The PTC design

excludes any visual display of signal aspects or indications. PTC

enforceable authorities, which may or may not derive from signal

indications, are not displayed onboard. Only text authorities, such as

track warrants, track permits and track bulletins, are displayed to the

train crew. Information on the PTC display will in no way represent

authority conveyed through wayside signals.

Sec. 236.76 Tagging of wires and interference of wires or tags

with signal apparatus. Waiver is requested exempting PTC equipment from

the wire tagging requirement.

Justification: PTC hardware consists of computers, computer

peripherals, and communication devices. While the inapplicability of

this section to circuit boards, connectors, and cables would appear

obvious, waiver is sought for clarification.

Sec. 236.101 Purpose of inspection and tests; removal from service

of relay or device failing to meet test requirements. Waiver is

requested exempting PTC equipment from the requirement for removal of

failed equipment from service.

Justification: PTC tests require flexibility in installing,

removing, turning on, and turning off the onboard equipment. With or

without PTC equipment operating onboard, a train remains subject to the

provisions of the rules governing the existing methods of operation.

Sec. 236.107 Ground tests. Waiver is requested exempting PTC

equipment from the requirement for ground tests during the test phase.

Justification: PTC hardware consists of computers, computer

peripherals, and communication devices. Ground tests would serve no

purpose in ensuring safety and could be damaging to the equipment.

Sec. 236.109 Time releases, timing relays and timing devices.

Waiver is requested exempting PTC equipment from the testing

requirement of this section during the test phase.

Justification: The timing devices in PTC equipment are software-

driven, have no moving or visible parts, and are far more reliable than

the devices for which this regulation was promulgated to address.

Sec. 236.110 Results of tests. Waiver is requested exempting PTC

tests from the record keeping requirements of this section.

Justification: During the PTC test phase, the types of tests needed

to ensure appropriate levels of maintenance will be defined.

Sec. 236.501 Forestalling device and speed control. Waiver is

requested exempting PTC from the requirement for medium-speed

restriction.

Justification: PTC is not connected to a signal system and will not

enforce speed restrictions indicated by signal aspects. PTC will

enforce speed restrictions reflected in the track database or issued

through the CAD system.

Sec. 236.504 Operation interconnected with automatic block-signal

system. Waiver is requested exempting PTC from the requirement of

interconnection with an automatic block-signal system.

Justification: The ARRC is a non-signaled railroad and PTC will

have no connection to a signal system; however, PTC will operate to

perform its intended function in the event of failure of the engineer

to obey a restrictive condition displayed in the cab.

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Sec. 236.511 Cab signals controlled in accordance with block

conditions stopping distance in advance. Waiver is requested exempting

the PTC onboard display from the cab-signal requirements in this

section.

Justification: PTC is not an automatic cab signal system and will

have no connection to a signal system.

Sec. 236.514 Interconnection of cab signal system with roadway

signal system. Waiver is requested exempting PTC from the requirement

of interconnection with a roadway signal system.

Justification: There are no roadway signal systems installed on the

ARRC, therefore PTC will have no connection with a signal system.

Sec. 236.515 Visibility of cab signals. Waiver is requested

exempting the PTC display from the visibility requirements of this

section during the test phase.

Justification: PTC is not an automatic cab signal system and the

design excludes any visual representation of signal aspects or

indications. However, the visibility requirements will be met in the

PTC production system.

Sec. 236.534 Entrance to equipped territory; requirements. Waiver

is requested exempting the PTC from the requirements of this section

during the test phase.

Justification: PTC tests require flexibility in installing,

removing, turning on, and turning off PTC equipment.

Sec. 236.551 Power supply voltage; requirement. Waiver is

requested exempting the onboard PTC power supply from the voltage

requirement of this section.

Justification: PTC onboard equipment will function with more then a

50% variation in voltage.

Sec. 236.552 Insulation resistance; requirement. Waiver is

requested exempting PTC equipment from the insulation resistance

requirement of this section.

Justification: PTC onboard equipment consists of computers,

computer peripherals, and communications equipment. Insulation

resistance tests could be damaging to such components.

Sec. 236.553 Seal, where required. Waiver is requested exempting

PTC equipment from the seal requirement of this section.

Justification: The PTC system will allow for manual disablement of

onboard PTC functions and equipment both remotely from the dispatching

office and through an onboard manual function. Use of the onboard

cutout function will be electronically monitored and reported to the

dispatcher as an alarm.

Sec. 236.566 Locomotive of each train operating in train stop,

train control or cab signal territory; equipped. Waiver is requested to

the extent that the equipped requirements in the section shall not

apply to PTC during the test phase.

Justification: A small subset of locomotives operating in the test

territory will be PTC-equipped; the majority of trains will not be

equipped. PTC tests require flexibility in installing, removing,

turning on and turning off the onboard equipment. In any case, all PTC

tests will be conducted under the provisions of the rules governing the

existing methods of operation.

Sec. 236.567 Restrictions imposed when device fails and/or is cut

out en route. Waiver is requested exempting PTC tests from the

restrictions associated with device failure or cutout.

Justification: PTC tests require flexibility in installing,

removing, turning on and turning off the on-board equipment. All PTC

tests will be conducted under the provisions of the rules governing the

existing methods of operation and a failure or deactivation of the PTC

equipment will not jeopardize safety of train operations.

Sec. 236.586 Daily or after trip test. Waiver is requested

exempting PTC from the requirements of this section during the test

phase.

Justification: During the PTC test phase, the requirements for a

daily or after-trip test, if necessary, will be defined. An objective

is to perform this test without human intervention.

Sec. 236.587 Departure test. Waiver is requested exempting PTC

from the test requirements of this section during the test phase.

Justification: During the PTC test phase, the requirements for a

departure test will be defined. An objective is to perform this test

without human intervention.

Sec. 236.588 Periodic test. Waiver is requested exempting PTC from

the requirements of this section during the test phase.

Justification: During the PTC test phase, the requirements for

periodic testing will be defined.

Sec. 236.703 Aspect. Clarification is requested exempting the PTC

display from this definition.

Justification: PTC is not an automatic cab signal system and its

design does not include any visual representation of signal aspects or

indications.

Sec. 236.805 Signal, cab. Clarification is requested exempting the

PTC display from this definition.

Justification: PTC is not an automatic cab signal system and its

design does not include any visual representation of signal aspects or

indications.

Sec. 240.127 Criteria for examining skill performance. Waiver is

requested exempting PTC from the testing requirements of this section

during the test phase.

Justification: Criteria and procedures for PTC performance

evaluation do not yet exist; they will be identified and defined during

the PTC test phase.

Sec. 240.129 Criteria for monitoring operational performance of

certified engineers. Waiver is requested exempting PTC from the

performance monitoring procedures during the test phase.

Justification: Criteria and procedures for PTC performance

evaluation do not yet exist; they will be identified and defined during

the test phase.

Interested parties are invited to participate in these proceedings

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

scheduling a public hearing in connection with these proceedings since

the facts do not appear to warrant a hearing. If any interested party

desires an opportunity for oral comment, they should notify FRA, in

writing, before the end of the comment period and specify the basis for

their request.

All communications concerning this proceeding should identify the

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

1998-4901) and must be submitted in triplicate to the Docket Clerk,

Office of Chief Counsel, Federal Railroad Administration, Nassif

Building, 400 Seventh Street, SW, Washington, DC 20590.

Communications received within 45 days of publication of this

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

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

written communications concerning these proceedings are available for

examination during regular business hours (9 a.m.-5 p.m.) on the 7th

floor, 1120 Vermont Avenue, NW, Washington, DC 20590.

Issued in Washington, DC, on February 10, 1999.

Grady C. Cothen, Jr.,

Deputy Associate Administrator for Safety Standards and Program

Development.

[FR Doc. 99-3844 Filed 2-16-99; 8:45 am]

BILLING CODE 4910-06-P