FRA/FTA Joint Policy and Shared Use

ByJohn J Mardente, Program Manager

Passenger Rail Division, Federal Railroad Administration (FRA)

Washington, DC HQ

1

FTA’s Role in Rail Transit Safety

• Intermodal Surface transportation Efficiency Act of 1991 (ISTEA) - US Congress required FTA to establish a program providing for the state conducted oversight of the safety and security of rail systems not regulated by FRA.

• 49 CFR Part 659 was created in 1995.• Regulatory requirements for State Safety Oversight

Agency (SSOA) of Rail Fixed Guideway System (RFGS) safety .

• In 1995, only 5 states maintained provisions for SSOA of rail transit agencies. Today, 26 SSOA’s oversee 44 RFGS.

2

FTA’s Rail Fixed Guideway System Definition

• According to FTA, the definition of a Rail Fixed GuidewaySystem (RFGS):" as determined by FTA, any light, heavy, or rapid rail system, monorail, inclined plane, funicular, trolley, or automated guideway that 1. Isn't regulated by the FRA2. Is included in the FTA's calculation of fixed guideway route miles or receives funding under FTA's formula program for urbanized areas (49 USC 5336)3. Has submitted documentation to FTA indicating its intent to be included in FTA's calculation of fixed guideway route miles to receive funding under FTA's formula program for urbanized areas (USC 5336)"

3

New Starts and the SSOA• A New Starts Project means any rail project (RFGS, commuter, etc) funded

under FTA’s 49 U.S.C. 5309 discretionary construction program.

• The New Starts project sponsor with no existing oversight program, must designate an SSOA with sufficient authority to implement Part 659’s minimum requirements.

– Timing: Coincide with the execution of any grant agreement for a New Starts project or occur before the application for funding under FTA’s formula program.

– Notification: Within 60 days of designation of the SSOA, the project sponsor must submit to FTA the required documentation.

• The New Starts project sponsor with an existing SSOA, must update their program submissions and certification to FTA prior to the initiation of revenue service on a extension or modification funded through the New Starts program.

4

Requirements for SSOA

• Prior to the initiation of a New Starts project’s revenue service, the newly designated SSOA must make its initial submission to FTA.

– Develop and implement Program Standard for Rail System Safety and Security. (9)

– Rail Transit Agency must develop a System Safety Program Plan (SSPP)

– Rail Transit Agency must develop a System Security Plan

– 21 subelements

• The SSOA is required to review, approve and monitor the implementation of an SSPP and Security Plan that complies with the SSOA’s Program Standard at each rail transit system.

5

OneDOTWhen does FRA get involved in a rail project?

• Non-New Start funded rail project possibly connected to the general railroad system (CMTA, New Mexico, AGVL)

• For those RFGS New Start projects possibly connected to the General Railroad System or New Starts rail projects that have commuter rail-type characteristics, additional safety oversight activities may be required by FRA before allowing the New Starts project to initiate revenue service.

• FTA notifies FRA of all pending New Starts because important decisions impacting rail safety should be made early in the planning and grant development process. FRA will forward any recommendations it has to FTA, which will forward them to the project sponsor.

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Critical First Steps for Any New Start

• FTA coordinates with FRA (HQ-staff of FTA and FRA attend Quarterly coordination Meetings)

• Ideally, early on in the planning process, the project sponsor should request a jurisdictional determination.

• Upon request, FRA’s Rail Road Chief Counsel (RCC) will determine if the new rail project is a RFGS not under FRA’s jurisdiction, a Commuter Rail system under FRA’s jurisdiction, or a RFGS with limited connections to the General Railroad System.

• Joint Statement of Agency Policy

– Explains generally how the two agencies intend to coordinate use of their respective safety authorities with regard to shared-track operations of RFGS connected to the General Railroad System.

7

Useful Definitions

• System Safety: The application of operating, technical, and management techniques and principles to the safety aspects of a system throughout its life cycle to reduce hazards to the lowest practical level through the most effective use of available resources.

• Temporal Separation: Operating conventional freight/commuter and transit rail equipment at distinct periods of the day and establishing procedures to ensure strict observation of the defined operating windows.

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FRA’s Authority

• Federal Railroad Safety Act of 1970 (“Safety Act”)

• Under the Federal railroad safety laws, FRA has jurisdiction over all railroads except “rapid transit operations in an urban area that are not connected to the general railroad system of transportation.” 49 U.S.C. 20102. FRA exercises jurisdiction over all railroad passenger operations, regardless of the equipment they use.

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FRA’s Authority

• Read 49 CFR Part 209 Jurisdiction

• CFR Part 211 Agency Policy for Shared Use Waivers

• Docket 1999-5685 Statement of Agency Policy, etc

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FRA Office of Safety composition

• 8 Regions, plus a HQ office in Washington, DC

• Disciplines: OP, S&TC, Track, MPE, Grade Crossing, Rail Integrity, Bridge, PTC, FRA Passenger Rail Division

• Passenger Rail Division: Daniel Knote, Robert Adduci, Robert Scarola, John Mardente, Shahram Mehrvarzi, Devin Rouse

• APTA audits

• FRA/FTA Joint Policy/Shared Use for RFGS with limited connections to the General Railroad System

• New-Start Outreach Program for Commuter-rail

• High-Speed Rail (HSR) Program

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Federal Railroad Administration

• 2000-present: General System and Rail Transit Common Corridor Safety Program- John Mardente, Passenger Rail Division

• Shared use of corridors by light rail with conventional trains holds great promise for increasing passenger transportation efficiency in metropolitan areas

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2010: General System and Rail Transit Common Corridor Safety Program

• July 10 2000, policy statements:

• Joint FRA/FTA statement explains how agencies will coordinate their safety authority.

• FRA statement explains legal basis of FRA safety jurisdiction and agency policy on exercising it in shared use context, and gives guidance.

• FRA’s statement does not amend any safety rules or impose any regulatory burdens not already imposed by those rules.

• Portions of transit operations outside shared use are under FTA/SSO safety oversight only.

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Different ways Rail Fixed Guideway Systems can coincide with the General Railroad System

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Railroad/Transit

Shared Use

Shared TrackLimited

Connections

Common

Corridor

Common Highway Rail Grade Crossing Devices

Rail to rail crossings

Common train control

FRA does not want these to comingle(49 title CFR Part 238-800ksi compressive, etc)

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2010: General System and Rail Transit Common Corridor Safety Program

• FRA will be more willing to waive many of its rules where temporal separation will be in effect and petitioner demonstrates that its system safety program and state safety oversight program addresses relevant safety issues

• Waivers from specific parts of the Federal railroad regulations rely on alternate safety programs (e.g., Federal Transit Administration state oversight program)

• Policy allows for each Petitioner’s transit system to be treated individually, with relief granted from 49 CFR Regulations as applicable

• SYSTEMS Approach to Waiver investigation

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Waiver Likely Treatment

17

213

214

214

233, 235, 236

234

Title 49 CFR part Subject of Rule

Track safety standards

213 Appendix C

Likely Treatment

Bridge worker safety

Roadway worker safety

Signal and train control

Grade crossing signals

Bridge safety policy

Comply (assuming transit owns track)

Track, Structure, and Signals

Waive (OSHA)

Comply

Not a rule (voluntary compliance)

Comply (assuming transit owns track)

Comply (assuming transit owns track)

Waiver Likely Treatment

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210

221

223

229

231

Title 49 CFR part Subject of Rule

Noise emission

215

Likely Treatment

Rear end marker

Safety glazing

Locomotive safety

Safety appliance

Freight car safety

Waive

Motive Power and Equipment

Waive

Waive

Waive

Waive

Waive

238 Passenger equipment Waive

Waiver Likely Treatment

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217

219

220

225

228

Title 49 CFR part Subject of Rule

Operating rules

218

Likely Treatment

Alcohol and drug

Railroad communication

Accident reporting

Hours of service

Operating practices

Waive

Operating Practices

Waive if FTA 655 applies

Waive except (2)

Waive except (1)

Waive comply (3)

Waive but not likely for (4)

239 Passenger preparedness Waive

240 Engineer certification Waive

1. For prohibition on tampering with safety devices related to signal system, and blue signal on shared track 2. To extent communications with freight trains and roadway workers are necessary3. With regard to train accidents and crossing accidents; waive as to injuries; FRA accident investigation

authority not subject to waiver4. In Shared Corridor with limited shared highway-rail grade crossings, does not apply to Transit employees

as it is burdensome (reference CATS Waiver-CATS STC employees maintained their own half of the ROW at highway rail grade crossings)

Some Waivers Granted…

20* limited connection

DART

Salt Lake City

Santa Clara Valley (VTA)

NJ Transit (Trenton - Camden)

San Diego Trolley SDTI

MTA, Baltimore

Lackawanna County(Scranton, PA)

NJ Transit(Newark)

Tacoma *

Tampa*

North County Transit, Oceanside

Sacramento (SRTD) *

Port of Los Angeles (POLA)

San Francisco *

CATS

St Louis Metro

Memphis MATA*

Active Waivers

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Location Transit Auth. Railroad Type Docket No.

1 Salt Lake City, UT Utah Transit Auth. Utah Railway Shared track 1999-6253

2 Trenton, NJ to Camden, NJ

New Jersey Transit Conrail Shared Assets Shared track 1999-6135

3 Santa Clara, CA [1] Valley Transit Auth.

Union Pacific Shared track (Tasman West)/ Vasona Shared Corridor

1999-6254

4 Scranton, PA Lackawanna County

Delaware- Lackawanna Railroad

Shared track 2000-7275

5 Baltimore, MD Maryland MTA Norfolk Southern Shared track (NS abandoned-now a limited diamond Connection

2000-7054, 7286

6 San Diego, CA San Diego Trolley San Diego & Imperial Valley Railroad

Shared track 2000-7137, 7274

7 Newark, NJ-Newark Subway

New Jersey Transit Norfolk Southern Limited connection

2000-7335

[1] – Freight does not currently operate over this segment.

Active Waivers

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Location Transit Auth. Railroad Type Docket No.

8 Los Angeles, CA Port of Los Angeles (POLA)

Pacific Harbor Lines Shared track 2001-10237

9 Tacoma, WA [1] Sound Transit Burlington Northern Santa Fe

Limited connection

2000-8266

10 Tampa, FL HART CSX Limited connection

2002-13398

11 Oceanside, CA North County Transit

Burlington Northern Santa Fe

Shared track 2002-11809

12 Sacramento, CA Sacramento Regional Transit

Union Pacific Limited connection

2003-14565

13 San Francisco, CA Muni Union Pacific Limited Connection

2003-15988

14 Saint Louis, MO METRO Union Pacific Limited connection

2007-27207

15 Memphis, TN MATA CN/Amtrak Limited connection

2008-0063

[1] – Subsequent to waiver grant, limited connection removed due to reroute of freight traffic.

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FRA Region 7 Chief Inspector Michael Lange and S&TC Inspector

Garry Readman experts inspecting and crafting recommendations for

recent 5-year Waiver Petition by SDTI (Docket 2000-7137)

.

MATA on West track

CN East track

MATA Trolley operating south through CN railroad crossing at grade.

CNMATA

MATA operating south between Pyramid Access Road and Adams Avenue.

Sou

th

View of CN railroad grade crossing.

South

MATA

CN

27

27th Annual Engineers’ Meeting

Shared Yard Operation with Coaster (Docket 2000-7137)

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Trolley limited connection at grade rail crossing between CSXT and HART’s TECO

(FRA-2002-13398)

29

New Jersey Transit River Line (FRA-1999-6135) shares track/corridor with Conrail

30

New Jersey Transit River Line (FRA-1999-6135) shares track/corridor with Conrail

31

UTA TRAX-shares track, temporally separated from nightly freight period (FRA-1999-6253)

Questions?

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John MardenteFRA Office of Safety

Passenger Rail DivisionWashington DC

2024931335john.mardente@dot.gov

www.regulations.gov