[Federal Register: January 29, 2003 (Volume 68, Number 19)]
[Notices]
[Page 4536-4540]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr29ja03-115]
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DEPARTMENT OF TRANSPORTATION
Federal Railroad Administration
Petition for Waiver of Compliance
In accordance with Title 49 Code of Federal Regulations (CFR),
parts 211.9 and 211.41 notice is hereby given that the Federal Railroad
Administration (FRA) has received a request for waiver of compliance
from certain requirements of Federal railroad safety regulations. The
individual petition is described below, including the parties seeking
relief, the regulatory provisions involved, the nature of the relief
being requested and the petitioner's arguments in favor of relief.
Burlington Northern and Santa Fe Railway Company
Docket Number FRA-2003-14216
The Burlington Northern and Santa Fe Railway Company (BNSF) seeks a
waiver of compliance from certain sections of 49 CFR parts 216, Special
Notice and Emergency Order Procedures: Railroad Track, Locomotive and
Equipment; 217, Railroad Operating Rules; 218, Railroad Operating
Practices; 229, Railroad Locomotive Safety Standards; 233, Signal
Systems Reporting Requirements; 235, Instructions Governing
Applications for Approval of a 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, Devices, and Appliances; and 240, Qualification and
Certification Of Locomotive Engineers, under Sec. 211.51, Tests, to
allow them to develop, implement, and test technology designed to
prevent train authority violations, overspeed violations and accidents
caused by passing restricted signals and open switches. The program
would enable BNSF to demonstrate and validate the technology, referred
to as Train Sentinel, before it is implemented on a larger scale.
Petitioner's Justification
The petitioner provided the following justification for relief:
Train Sentinel is a non-vital safety overlay that works in
conjunction with existing methods of operation and signal and control
systems to protect against the consequences of human error. This
approach provides a ``safety net'' for train operations while retaining
the existing systems as a primary means of control. Because these
systems continue in operation, a failure or deactivation of the Train
Sentinel System has the effect only of suspending the safety
enhancements associated with the Train Sentinel System, without
compromising the underlying safety provisions of existing systems and
operating rules.
The Train Sentinel System safety enhancements are achieved through
a communication-based system that enforces movement authority and speed
restrictions for Train Sentinel equipped trains. Four segments work
together to provide the enforcement: The location segment, the
locomotive segment, the dispatcher system segment and the
communications segment. The dispatcher segment delivers the enforceable
authority and temporary speed limits for each train under Train
Sentinel control. This information is delivered through the
communications segment to the locomotive segment. Procedures are
implemented to ensure the data received is complete and correct.
Failsafe design dictates that an undelivered message will stop the
train at the end of its active authority. The locomotive segment
confirms the locomotive's location and enforces a train's movement and
speed limits by monitoring the train's location and speed and applying
the brakes to stop the train if necessary to prevent a violation.
The Train Sentinel System will be tested and demonstrated on the
BNSF's Wichita Falls subdivision in the State of Texas between Fort
Worth, milepost 0 and Valley Junction, milepost 118.4. In addition, the
system will be tested and demonstrated on the Brookfield subdivision in
the State of Illinois between Galesburg, milepost 168 and West
Bushnell, milepost 192.4. Finally, the system will be tested and
demonstrated on the Beardstown subdivision in the State of Illinois and
the Commonwealth of Kentucky between Bushnell, Illinois, milepost 159.6
and Paducah, Kentucky, milepost 239.0. The combined distance of the
test territory is 439.3 miles. The present
[[Page 4537]]
method of operation on the BNSF is by Track Warrant Control and
Centralized Traffic Control. These methods of operation will not be
affected during the Train Sentinel test period.
Train Sentinel testing may require temporary changes of a benign
nature in operating practices, but only on Train Sentinel equipped
trains and only when a test is in progress. Such changes in operating
practices will include Train Sentinel initialization procedures,
digital transmission and on-board display of text authorities and
restrictions, on-board display of signal aspect, on-board display of
monitored switches, enforcement limits of authority and speed limits/
restrictions through automatic brake applications, and procedures for
recovery following an enforcement action.
The waiver is requested for a testing period commencing March 1,
2003, and extending to the conclusion of the test phase. The testing
period is not expected to exceed one year and will terminate March 1,
2004 unless BNSF notifies FRA of an earlier termination date.
The following are the specific waiver requests and their
justifications. References are to Chapter II, Subtitle B, Title 49 of
the Code of Federal Regulations.
Section 216.13 Special Notice for Repairs--Locomotive
Waiver is requested for Train Sentinel locomotives to the extent
that non-operation of Train Sentinel equipment installed on board,
whether through malfunction or deactivation shall not be construed as
an unsafe condition requiring special notice for repairs. Waiver is
sought for non-equipped-Train Sentinel-equipped locomotives operating
in the Train Sentinel pilot territory to the extent that the absence of
Train Sentinel equipment on-board shall not be construed as an unsafe
condition requiring special notice for repairs.
Justification: With or without Train Sentinel equipment operating
on board the controlling locomotive, a train remains subject to
existing signal and control systems and to railroad operating rules.
(Train Sentinel is an overlaid system, enhancing current safety without
affecting the operation of existing systems.) Train Sentinel tests
require flexibility in installing, removing, turning on, and turning
off the on-board equipment. The Train Sentinel tests will involve only
a small subset of locomotives operating in the pilot territory.
Section 217.9 Program of Operational Tests and Inspections;
Recordkeeping
Waiver is requested exempting operation of Train Sentinel equipment
and procedures from the requirements for operational tests,
inspections, and associated recordkeeping.
Justification: The Train Sentinel pilot is a test program during
which procedures for using Train Sentinel equipment and functions will
be refined and modified. Until such procedures are defined, they cannot
be addressed in the code of operating rules, timetables, and timetable
special instructions to which this section applies.
Section 217.11 Program of Instruction on Operating Rules;
Recordkeeping; and Electronic Recordkeeping
Waiver is requested exempting operation of Train Sentinel equipment
and procedures from the requirements for instruction and associated
record keeping.
Justification: The Train Sentinel pilot is a test program during
which procedures for using Train Sentinel equipment and functions will
be refined and modified. Until such procedures are defined, they cannot
be addressed in the code of operating rules.
Part 218 Subpart D: Prohibition Against Tampering With Safety Devices
Waiver is requested exempting on-board Train Sentinel equipment
from the requirements of Sec. Sec. 218.51, 218.53, 218.55, 218.57,
218.59, and 218.61 to the extent that Train Sentinel equipment on board
a locomotive shall not be considered a ``safety device'' subject to the
provisions of this subpart at any time during the pilot program.
Justification: The Train Sentinel pilot is a test program. Train
Sentinel tests require flexibility in installing, removing, turning on,
and turning off the on-board equipment. BNSF requires the flexibility
to permanently disable or remove Train Sentinel equipment in the event
that a production system is not implemented.
Section 229.135 Event Recorders
Waiver is requested to the extent that Train Sentinel equipment on-
board a locomotive shall not be considered an ``event recorder''
subject to the provisions of this section.
Justification: Train Sentinel equipment by design will operate
intermittently during the pilot program. Train Sentinel tests require
flexibility in installing, removing, turning on, and turning off the
on-board equipment. BNSF requires the flexibility to temporarily or
permanently disable on-board Train Sentinel equipment.
Section 233.9 Reports
Waiver is requested exempting Train Sentinel operations in the
pilot program from the reporting requirements of this section.
Justification: While a Train Sentinel production system may belong
to the category of ``other similar appliances, methods, and systems''
specified in 233.1, this requirement would impose an unnecessary
paperwork burden for a test program.
Section 235.5 Changes Requiring Filing of Application
Waiver is requested exempting the Train Sentinel pilot program from
the filing requirements of this section.
Justification: The Train Sentinel pilot is a test program. Train
Sentinel tests require flexibility in installing, removing, turning on,
and turning off the on-board equipment. BNSF requires the flexibility
to permanently disable or remove on-board Train Sentinel equipment in
the event the Train Sentinel system is not implemented.
Section 236.4 Interference With Normal Functioning of Device
Waiver is requested to the extent that Train Sentinel equipment
shall be excluded from this requirement during the pilot program.
Justification: The Train Sentinel pilot is a test program through
which the normal functioning of Train Sentinel will be defined and
redefined. Train Sentinel tests require flexibility in installing,
removing, turning on, and turning off the on-board equipment. With or
without Train Sentinel; equipment on-board the controlling locomotive,
the train remains subject to the provisions of the existing signal and
control systems and to the BNSF operating rules.
Section 236.5 Design of Control Circuits on Closed Circuit Principle
Waiver is requested exempting Train Sentinel equipment from the
closed circuit design requirement.
Justification: Train Sentinel is composed of solid-state components
that are software driven. Neither the hardware nor software can be
designed technically to meet the provisions of this section.
Section 236.11 Adjustment, Repair, or Replacement of Component
Waiver is requested exempting Train Sentinel components on-board a
locomotive from the requirements of this section.
Justification: Train Sentinel tests require flexibility in
installing, removing, modifying, turning on and
[[Page 4538]]
turning off equipment. Failure of a component during the test phase
will not jeopardize the safety of train operations. With or without
Train Sentinel equipment operating on-board the controlling locomotive,
the train remains subject to the provisions of the rules governing the
existing method of operation.
Section 236.15 Timetable Instructions
Waiver is requested exempting the Train Sentinel pilot territory
from the timetable designation requirement of this section.
Justification: Since the pilot program will consist of tests and
demonstrations, identifying the test territory in the timetable as
``Train Sentinel'' (or some similar label) would be both premature and
an unnecessary paperwork burden.
Section 236.23 Aspects and Indications
Waiver is requested to the extent that the Train Sentinel display
on-board 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 Train Sentinel design excludes any visual
display of signal aspects or indications. Train Sentinel enforceable
authorities which may or may not derive from signal indications are on-
board. Text authorities such as name of signal or track bulletins are
displayed to the train crew. Information on the Train Sentinel display
will correspond with authority conveyed through wayside signals.
Section 236.76 Tagging of Wires and Interference of Wires or Tags With
Signal Apparatus
Waiver is requested exempting Train Sentinel equipment from the
wire-tagging requirement.
Justification: Train Sentinel 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.
Section 236.101 Purpose of Inspection and Tests; Removal From Service
of Relay or Device Failing To Meet Test Requirements
Waiver is requested exempting Train Sentinel equipment from the
requirement for removal of failed equipment from service.
Justification: Train Sentinel requires flexibility in installing,
removing, turning on, and turning off the equipment. With or without
Train Sentinel equipment operating on-board, a train remains subject to
the provisions of the rules governing the existing methods of
operation.
Section 236.107 Ground Tests
Waiver is requested exempting Train Sentinel equipment from the
requirement for ground testing during the test phase.
Justification: Train Sentinel 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.
Section 236.109 Time Releases, Timing Relays and Timing Devices
Waiver is requested exempting Train Sentinel equipment from the
testing requirement of this section during the test phase.
Justification: The timing devices in Train Sentinel equipment are
software-driven, have no moving parts, and are far more reliable than
the devices for which this regulation was promulgated to address.
Section 236.110 Results of Tests
Waiver is requested exempting Train Sentinel tests from the record
keeping requirements of this section.
Justification: The Train Sentinel pilot is a test program during
which the types of tests needed to ensure appropriate levels of
maintenance will be defined.
Section 236.501 Forestalling Device and Speed Control
Waiver is requested exempting Train Sentinel from the requirement
for medium-speed restriction.
Justification: Train Sentinel will not be connected to a signal
system, but will receive input from the signal system and operate to
perform its intended function in the event of failure of the engineer
to obey a restrictive condition displayed in the cab. Train Sentinel
will enforce speed restrictions reflected in the track database or
issued through the dispatcher system.
Section 236.504 Operation Interconnected With Automatic Block-Signal
System
Waiver is requested exempting Train Sentinel from the requirement
of interconnection with an automatic block-signal system.
Justification: The Train Sentinel system will have no connection to
the signal system; however Train Sentinel will receive input from the
signal system and operate to perform its intended function in the event
of failure of the engineer to obey a restrictive condition displayed in
the cab.
Section 236.511 Cab Signals Controlled in Accordance With Block
Conditions Stopping Distance in Advance
Waiver is requested exempting the Train Sentinel onboard display
from the cab-signal requirements in this section.
Justification: Train Sentinel is not an automatic cab signal system
and will have no connection to a signal system but will receive input
from the signal system and display the signal name that forms the basis
for limits of authority that will be depicted on the display.
Section 236.514 Interconnection of Cab Signal System With Roadway
Signal System
Waiver is requested exempting Train Sentinel from the requirement
of interconnection with a roadway signal system.
Justification: The Train Sentinel system is not a cab signal system
and will have no connection with the signal system. However, Train
Sentinel will receive input from the signal system and display the
signal name that forms the basis for limits of authority.
Section 236.515 Visibility of Cab Signals
Waiver is requested exempting the Train Sentinel display from the
visibility requirement of this section during the test phase.
Justification: Train Sentinel is not a cab signal system. However,
Train Sentinel receives input from the signal system and displays the
signal name governing the movement. The visibility requirements of this
rule will be met in the Train Sentinel production system.
Section 236.534 Entrance to Equipped Territory; Requirements
Waiver is requested exempting Train Sentinel from the requirements
of this section during the test phase.
Justification: Train Sentinel tests require flexibility in
installing, removing, turning on, and turning off Train Sentinel
equipment.
Section 236.552 Insulation Resistance; Requirement
Waiver is requested exempting Train Sentinel equipment from the
insulation resistance requirement of this section.
Justification: Train Sentinel equipment consists of computers,
computer peripherals, and communications equipment. Insulation
resistance tests could be damaging to such components.
[[Page 4539]]
Section 236.553 Seal, Where Required
Waiver is requested exempting Train Sentinel from the seal
requirement of this section.
Justification: Train Sentinel tests require flexibility in
installing, removing, turning on, and turning off Train Sentinel
equipment.
Section 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 equipment requirements
in this section shall not apply to Train Sentinel during the test
phase.
Justification: A small subset of locomotives operating in the test
territory will be Train Sentinel equipped; the majority of trains will
not be equipped. Train Sentinel tests require flexibility in
installing, removing, turning on and turning off the on-board
equipment. In any case, all Train Sentinel tests will be conducted
under the provisions of the rules governing the existing methods of
operation.
Section 236.567 Restrictions Imposed When Device Fails and/or Is Cut
Out Enroute
Waiver is requested exempting Train Sentinel tests from the
restrictions associated with device failure or cutout.
Justification: Train Sentinel tests require flexibility in
installing, removing, turning on and turning off the onboard equipment.
All Train Sentinel tests will be conducted under the provisions of the
rules governing the existing methods of operation. A failure or
deactivation of Train Sentinel equipment will not jeopardize safety of
train operations.
Section 236.586 Daily or After Trip Test
Waiver is requested exempting the Train Sentinel from the
requirements of this section during the test phase.
Justification: During the Train Sentinel 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.
Section 236.587 Departure Test
Waiver is requested exempting the Train Sentinel from the
requirements of this section during the test phase.
Justification: During the Train Sentinel test phase, the
requirements for a departure test will be defined. An objective is to
perform this test without human intervention.
Section 236.588 Periodic Test
Waiver is requested exempting Train Sentinel from the requirements
of this section during the test phase.
Justification: During the Train Sentinel test phase, the
requirements for a departure test will be defined.
Section 236.703 Aspect
Clarification is requested exempting the Train Sentinel display
from this definition.
Justification: Train Sentinel is not an automatic cab signal
system.
Section 236.805 Signal, Cab
Clarification is requested exempting the Train Sentinel display
from this definition.
Justification: Train Sentinel is not an automatic cab signal
system.
Section 240.127 Criteria for Examining Skill Performance
Waiver is requested exempting Train Sentinel from the testing
requirements of this section during the test phase.
Justification: Criteria and procedures for Train Sentinel
performance evaluation do not yet exist; they will be identified and
defined during the Train Sentinel test phase.
Section 240.129 Criteria for Monitoring Operational Performance of
Certified Engineers
Waiver is requested exempting Train Sentinel from the performance
monitoring procedures during the Train Sentinel test phase.
Justification: Criteria and procedures for Train Sentinel
performance evaluation do not yet exist; they will be identified and
defined during the Train Sentinel test phase.
It is acknowledged for clarification that Train Sentinel, when
fully operative during the test phase, will comply with the following
regulations:
Section 236.8 Operating Characteristics of Electromagnetic, Electronic,
or Electrical Apparatus
Train Sentinel computing equipment will comply with this
regulation.
Section 236.501 Forestalling Device and Speed Control
Train Sentinel is designed to enforce maximum authorized speeds,
speed restrictions, slow speed and absolute stop. Train Sentinel will
comply with Sec. 236.501 except for paragraph (b)(2).
Section 236.502 Automatic Brake Application, Initiation by Restrictive
Block Conditions Stopping Distance in Advance
Train Sentinel is designed to initiate an automatic brake
application stopping distance in advance of the end of limits of
authority, or the beginning of each speed restriction in the route.
Section 236.503 Automatic Brake Application; Initiation When
Predetermined Rate of Speed Exceeded
Train Sentinel will comply with this regulation.
Section 236.505 Proper Operative Relation Between Parts Along Roadway
and Parts on Locomotive
Train Sentinel will function as intended under all conditions of
speed, weather, oscillation and shock. Train Sentinel will comply with
this regulation.
Section 236.506 Release of Brakes After Automatic Application
After a Train Sentinel initiated brake application, brakes cannot
be released until the train is stopped.
Section 236.507 Brake Application; Full Service
Train Sentinel will comply with this regulation.
Section 236.508 Interference With Application of Brakes by Means of
Brake Valve
Train Sentinel equipment will not interfere with or impair the
efficiency of the automatic or independent brake valves.
Section 236.509 Two or More Locomotives Coupled
Train Sentinel will be made operative only on the controlling
locomotive; however, Train Sentinel tests that do not affect train
operations may occur on the trailing locomotives.
Section 236.513 Audible Indicator
The audible indicator for Train Sentinel will have a distinctive
sound and be clearly audible under all operating conditions.
Section 236.516 Power Supply
Train Sentinel equipment will have its own isolated power supply.
Section 236.565 Provision Made for Preventing Operation of Pneumatic
Brake-Applying Apparatus by Double-Heading Cock; Requirement
Operation of the double-heading cock (cutoff pilot valve) will not
cut out Train Sentinel before the automatic brake is cut out.
Section 236.590 Pneumatic Apparatus
Pneumatic apparatus will be inspected and cleaned as required.
[[Page 4540]]
Part 236 Subpart G Definitions
Train Sentinel will comply with the definitions as applicable,
except Sec. Sec. 236.703 and 236.805.
Proceedings
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. Any interested party who
desires an opportunity for oral comment should notify FRA in writing
before the end of the comment period, specifying the basis for the
request.
All communications concerning these proceedings should identify the
appropriate docket number (e.g., Waiver Petition Docket Number FRA-
2002-12113) and must be submitted to the Docket Clerk, DOT Central
Docket Management Facility, Room PL-401 (Plaza Level), 400 Seventh
Street, SW.,Washington, DC 20590-0001. Communications received within
30 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
these proceedings are available for examination during regular business
hours (9 a.m.-5 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 January 23, 2003.
Grady C. Cothen, Jr.,
Deputy Associate Administrator for Safety Standards and Program
Development.
[FR Doc. 03-2054 Filed 1-28-03; 8:45 am]
BILLING CODE 4910-06-P