Electronically Controlled Pneumatic Brake Systems, 61512-61557 [E8-22549]

Agencies

• Federal Railroad Administration
• DEPARTMENT OF TRANSPORTATION

[Federal Register Volume 73, Number 201 (Thursday, October 16, 2008)]
[Rules and Regulations]
[Pages 61512-61557]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: E8-22549]



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Part IV





Department of Transportation





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Federal Railroad Administration



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49 CFR Part 232



Electronically Controlled Pneumatic Brake Systems; Final Rule

Federal Register / Vol. 73, No. 201 / Thursday, October 16, 2008 / 
Rules and Regulations

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DEPARTMENT OF TRANSPORTATION

Federal Railroad Administration

49 CFR Part 232

[Docket No. FRA-2006-26175, Notice No. 4]
RIN 2130-AB84


Electronically Controlled Pneumatic Brake Systems

AGENCY: Federal Railroad Administration (FRA), Department of 
Transportation (DOT).

ACTION: Final rule.

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SUMMARY: FRA is issuing revisions to the regulations governing freight 
power brakes and equipment by adding a new subpart addressing 
electronically controlled pneumatic (ECP) brake systems. The revisions 
are designed to provide for and encourage the safe implementation and 
use of ECP brake system technologies. These revisions contains specific 
requirements relating to design, interoperability, training, 
inspection, testing, handling defective equipment, and periodic 
maintenance related to ECP brake systems. The final rule also 
identifies provisions of the existing regulations and statutes where 
FRA is proposing to provide flexibility to facilitate the voluntary 
adoption of this advanced brake system technology.

DATES: This final rule is effective December 15, 2008. Petitions for 
reconsideration must be received on or before December 15, 2008. 
Petitions received after that date will be considered to the extent 
possible without incurring additional expenses or delays. The 
incorporation by reference of certain publications listed in the rule 
is approved by the Director of the Federal Register as of December 15, 
2008.

ADDRESSES: Petitions for reconsideration: Any petitions for 
reconsideration related to Docket No. FRA-2006-26175, may be submitted 
by any of the following methods:
     Web site: The Federal eRulemaking Portal, https://
www.regulations.gov. Follow the Web site's online instructions for 
submitting comments.
     Fax: 202-493-2251.
     Mail: Docket Management Facility, U.S. Department of 
Transportation, 1200 New Jersey Avenue, SE., W12-140, Washington, DC 
20590.
     Hand Delivery: Room W12-140 on the Ground level of the 
West Building, 1200 New Jersey Avenue, SE., Washington, DC between 9 
a.m. and 5 p.m. Monday through Friday, except Federal holidays.
    Instructions: All submissions must include the agency name and 
docket number or Regulatory Identification Number (RIN) for this 
rulemaking. Note that all petitions received will be posted without 
change to https://www.regulations.gov including any personal 
information. Please see the Privacy Act heading in the Supplementary 
Information section of this document for Privacy Act information 
related to any submitted petitions, comments, or materials.
    Docket: For access to the docket to read background documents or 
comments received, go to https://www.regulations.gov or to Room W12-140 
on the Ground level of the West Building, 1200 New Jersey Avenue, SE., 
Washington, DC between 9 a.m. and 5 p.m. Monday through Friday, except 
Federal holidays.

FOR FURTHER INFORMATION CONTACT: James Wilson, Office of Safety 
Assurance and Compliance, Motive Power and Equipment Division, RRS-14, 
Mail Stop 25, Federal Railroad Administration, 1200 New Jersey Avenue, 
SE., Washington, DC 20590 (telephone 202-493-6259); or Jason 
Schlosberg, Trial Attorney, Office of Chief Counsel, Mail Stop 10, 
Federal Railroad Administration, 1200 New Jersey Avenue, SE., 
Washington, DC 20590 (telephone 202-493-6032).

SUPPLEMENTARY INFORMATION:

I. Background

    Since the inception of automatic air brakes by George Westinghouse 
in the 1870s, brake signal propagation has been limited by the nature 
of air and the speed of sound. Other adjustments have sought to 
alleviate this deficiency, but have left the basic system unaltered. As 
early as 1990, the Association of American Railroads (AAR) began 
investigating more advanced braking concepts for freight railroads, 
including ECP brake systems, which promise to radically improve brake 
propagation by using electrical transmissions of the braking signal 
through the train while still using air pressure in the brake cylinder 
to apply the force of the brake shoe against the wheel. During the past 
15 years, ECP brake technology has progressed rapidly and has been 
field tested and used on trains operating in revenue service by various 
railroads.
    FRA has been an active and consistent advocate of ECP brake system 
implementation. In 1997, FRA participated in an AAR initiative to 
develop ECP brake standards and in 1999, FRA funded, through 
Transportation Technology Center, Inc., a Failure Modes, Effects, and 
Criticality Analysis (FMECA) of ECP brake systems based on the AAR 
standards. FRA also took part in programs to develop and enhance 
advanced components for ECP brake systems.
    To further assess the benefits and costs of ECP brakes for the U.S. 
rail freight industry, FRA contracted Booz Allen Hamilton (BAH) in 2005 
to conduct a study. BAH engaged an expert panel consisting of principle 
stakeholders in ECP brake technology conversion to participate in the 
study. The expert panel made various conclusions relating to 
technological standards, safety, and efficiency. In addition, the final 
BAH report provided a comprehensive analysis and comparison of ECP and 
conventional air brake systems. On August 17, 2006, FRA announced in a 
press release its intention to issue a notice of proposed rulemaking to 
revise the federal brake safety standards to encourage railroads to 
invest in and deploy ECP brake technology. In the press release, FRA 
encouraged railroads to submit ECP brake implementation plans before 
the proposed rule changes were completed.
    In a petition dated November 15, 2006, and filed November 21, 2006, 
two railroads--the BNSF Railway Company (BNSF) and the Norfolk Southern 
Corporation (NS)--jointly requested that FRA waive various sections in 
parts 229 and 232 as it relates to those railroads' operation of ECP 
brake pilot trains. See Docket No. FRA-2006-26435. FRA held a public 
fact-finding hearing on this matter on January 16, 2007, featuring 
testimony from representatives of the petitioners, air brake 
manufacturers, and labor unions and granted a conditional waiver on 
March 21, 2007. See id.
    On September 4, 2007, FRA published a Notice of Proposed Rulemaking 
(NPRM) containing proposed revisions to the power brake regulation. See 
72 FR 50820. In the NPRM, FRA proposed revisions to the regulations 
governing freight power brakes and equipment by adding a new subpart 
addressing ECP brake systems. The proposed revisions were designed to 
provide for and encourage the safe implementation and use of ECP brake 
system technologies. The proposed revisions contained specific 
requirements relating to design, interoperability, training, 
inspection, testing, handling defective equipment, and periodic 
maintenance related to ECP brake systems. The proposed rule also 
identified provisions of the existing regulations and statutes where 
FRA believed flexibility to facilitate the introduction of this 
advanced brake system technology was necessary.
    Following publication of the NPRM in the Federal Register, FRA held 
a public

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hearing in Washington, DC on October 4, 2007, and a public hearing in 
conjunction with a public technical roundtable in the Chicago, IL area 
on October 19, 2007. The purpose of the hearings was to receive oral 
comments regarding the specific provisions contained in the proposed 
rule and to receive evidence and to develop findings to determine 
whether FRA should invoke its discretionary authority under 49 U.S.C. 
20306 to provide a limited exemption from Sec.  20303 for freight 
trains and freight cars operating with ECP brake systems. Section 20303 
requires operators to transport rail vehicles with defective or 
insecure equipment ``from the place at which the defect or insecurity 
was first discovered to the nearest available place at which the 
repairs can be made'' to avoid incurring civil penalties related to 
such movement.
    The hearings were attended by numerous railroads, organizations 
representing railroads, labor organizations, and brake manufacturers. 
Although the comment period officially closed November 5, 2007, FRA 
continued to receive comments on the NPRM into January 2008. FRA 
received substantial oral and written testimony at the hearings and 
written comments to the NPRM from the following organizations, 
railroads, and brake manufacturers, listed in alphabetical order:
     American Association for Justice (AAJ).
     Association of American Railroads (AAR).
     Brotherhood of Locomotive Engineers and Trainmen (BLET).
     Brotherhood Railway Carmen Division, Transportation-
Communications International Union (BRC).
     General Electric Transportation and General Rail Services 
(collectively, GE).
     New York Airbrake (NYAB).
     Norfolk Southern Corporation (NS).
     Transport Workers Union of America, AFL-CIO (TWU).
     Union Pacific Railroad Company (UP).
     United Transportation Union (UTU).
     Wabtec Railway Electronics (Wabtec).
    UTU supports and incorporates by reference the comments submitted 
by BLET, TCU, TWU, and its other labor representatives.
    FRA carefully considered all the information, data and proposals 
submitted in relation to Docket No. FRA-2006-26175 when developing this 
final rule. In addition to the preceding information, FRA's knowledge 
and experience with enforcing the existing power brake regulations were 
also relied upon when developing this final rule. FRA will address and 
summarize all comments in the section-by-section analysis below and 
elsewhere as appropriate or necessary.
    Based on the oral and written comments submitted at the hearing and 
in the docket to this proceeding, FRA makes the following findings: (1) 
Safety is not compromised by allowing a train operating with ECP brakes 
and having a minimal number of ineffective or inoperative defective 
brakes to travel to its destination, not to exceed 3,500 miles, without 
any additional intermediate brake inspections; (2) the safety hazards 
caused by placing cars equipped with ECP brakes into a train with an 
incompatible brake system are no different than the hazards caused by 
placing a car equipped with conventional brakes with ineffective or 
inoperative brakes into a train operated with conventional brakes; (3) 
safety is not compromised by allowing a train operated with ECP brakes 
with at least 85 percent effective and operative brakes to haul a car 
with defective non-brake safety appliances to the nearest or nearest 
forward repair location; and (4) requiring strict compliance with the 
movement for repair provision contained in 49 U.S.C. 20303 would 
constitute a significant disincentive to the implementation and use of 
ECP brake technologies. Based on these findings, FRA has elected to 
utilize its discretionary authority provided under 49 U.S.C. 20306 to 
provide a limited exemption for freight trains and freight cars 
operating with ECP brake systems from the requirements contained in 49 
U.S.C. 20303.
    Subsequent to the close of the comment period in this proceeding, 
AAR modified two of its existing ECP brake standards, S-4200 and S-
4210, and continued to develop standards regarding hardware and 
software configuration management issues for ECP brake systems. AAR 
sought comments from its members concerning a proposed standard S-4270 
addressing the configuration management issues. As FRA is interested in 
incorporating by reference the most current standards into the final 
rule, FRA reopened the comment period on April 18, 2008, for an 
additional fifteen (15) days for the limited purpose of receiving 
comments on revised standards S-4200 and S-4210 and newly developed 
draft S-4270. FRA continues to believe that reopening the comment 
period was the most efficient method of ensuring that the most current 
industry standards were included in this final rule.
    The NPRM and this subsequent notice indicated that FRA intended to 
include S-4270 in the final rule if it was finalized by AAR with 
sufficient time for inclusion and if its final version remained 
substantially similar to the draft standard reference in the notice 
reopening the comment periods. Ultimately, AAR adopted S-4270 without 
any changes.

II. Conventional Brake Operations

    While the basic operational concept of the automatic air brake 
system, originally conceived by George Westinghouse in the 1870s, 
remains the same, it has seen continuous improvement in practice. An 
air compressor in the locomotive charges a main reservoir to about 140 
pounds per square inch (psi). With controls located in the locomotive, 
the locomotive engineer uses the main reservoir to charge the brake 
pipe--a 1\1/4\ inch diameter pipe--that runs the length of the train 
and is connected between cars with hoses. The brake pipe's compressed 
air--used as the communication medium to signal brake operations and 
the power source for braking action--then charges each car's two-
compartment reservoir to a pressure of 90 psi. Braking occurs through a 
reduction of air pressure in the brake pipe, which signals the valves 
on each car to direct compressed air from the reservoir on each car to 
its respective brake cylinder for an application of brakes. When air 
pressure is supplied to the brake cylinder--which is connected to a 
series of rods and levers that apply and release the brakes--the 
resulting force presses the brake shoes against the wheel, retarding 
the car's speed.
    While brake applications were initially directed by George 
Westinghouse's triple valve, modern applications use a control valve, 
which directs air from the brake pipe into the air reservoir when air 
pressure is rising in the brake pipe in order to charge the auxiliary 
and emergency reservoir and be ready for a brake application. To 
perform a brake application, the locomotive automatic brake valve 
reduces air pressure in the brake pipe by exhausting air, causing the 
car's control valve to direct air from the auxiliary reservoir into the 
brake cylinder. The increase in air pressure to the brake cylinder is 
approximately 2\1/2\ times the drop in brake pipe pressure. A 26 psi 
reduction in brake pipe pressure is equal to a full service brake 
application on a fully charged brake pipe, and should result in a brake 
cylinder pressure adequate to achieve a full service braking effort 
(brake force). While the control valve is directing air

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into the brake cylinder, or holding air in the brake cylinder, it is 
unable to recharge the auxiliary reservoir on each car. The engineer 
can apply the brakes in increments, of a few psi at a time, go directly 
to a full service application, or initiate an emergency application of 
the brakes.
    Unlike a brake application, the incremental release of brakes on a 
typical freight train operating in direct release cannot be 
accomplished. Brakes can only be fully released, called a direct 
release, and only with the brakes released can the auxiliary reservoirs 
then begin to recharge. Brake applications are possible, but are more 
complicated, from undercharged brake pipe and air reservoirs. 
Recharging takes more time for a longer train, because the air has to 
be sent down the length of the train's brake pipe--which can be up to a 
mile and a half. In addition, on extremely long trains, it is often 
difficult to fully charge the brake pipe due to small air leaks 
throughout the brake pipe and cold weather.
    Brake pipe pressure can be measured by an end-of-train (EOT) 
device, which is pneumatically connected to the rear of a train 
equipped with conventional pneumatic brakes and sends signals (EOT 
Beacon) via radio indicating the brake pipe pressure to the lead 
locomotive. Current Federal regulations specify the design and 
performance standards for both one-way and two-way EOT devices. See 
Part 232, subpart E. Both EOT device designs comprise of a rear unit 
pneumatically connected to the rear of the train's last car that 
transmits an EOT Beacon to a an EOT Head End Unit--a device located in 
the cab of the lead locomotive displaying the brake pipe pressure of 
the rear car to the locomotive engineer. The two-way EOT device also 
has the capability to transmit an electronic signal from the locomotive 
to the rear end unit to initiate an emergency brake application by 
venting brake pipe pressure to atmosphere at the rear end unit.
    An emergency brake application can be initiated in several ways. 
The locomotive engineer can initiate the application by moving the 
brake handle to the emergency position, which depletes brake pipe 
pressure to zero at a faster rate than the service application by 
exhausting brake pipe air pressure at the locomotive. Emergency brake 
applications can also be initiated by opening the conductor's valve, 
located in the cab of the locomotive, or by a break-in-two, where the 
train separates between cars and the brake pipe hoses separate, thereby 
venting brake pipe pressure to zero. While performing an emergency 
brake application from the locomotive, a locomotive engineer can also 
use the two-way EOT device to initiate an emergency brake application 
at the rear of the train. This permits the emergency application to be 
simultaneously initiated from both the front and rear of the trains and 
ensures that the brakes on the cars at the rear of the train apply in 
the event a brake pipe blockage occurs.

III. ECP Brake Operations

    As early as 1990, AAR began investigating a more advanced braking 
concept for freight railroads, the ECP brake system. The ECP brake 
system radically improves the operation of the automatic air brake by 
using electrical transmissions to signal the application and release of 
brakes on each car in a train while still using compressed air to 
supply the air reservoirs on each car, which will be used to pressurize 
the brake cylinders to apply the force of the brake shoes against the 
wheels. ECP brakes also greatly simplify the brake system by 
eliminating multiple pneumatic valves used by conventional brakes and 
replacing them with printed circuit boards, each with a microprocessor, 
one electrically activated application valve, and one electrically 
activated release valve, with feedback on brake cylinder pressure for 
uniform control.
    ECP brake technology requires equipping locomotives and cars with 
special valves and electronic equipment that are unique to the 
operation of ECP brakes. While this system still requires a brake pipe 
to supply compressed air from the locomotive to each car's reservoir in 
a train, there are currently two known methods to send the electronic 
signal for ECP brake operations from the locomotive to each car in the 
train. These methods include using a hard wire electrical cable running 
the length of the train or a radio-based technology requiring a 
transmitter and a receiver installed on the cars and locomotives. At 
this time, it appears that the railroad industry has chosen to use a 
cable-based system for ECP brake operation.
    ECP brake systems still employ the automatic air brake system's 
basic concept where the locomotive supplies compressed air to each 
car's reservoir via the conventional brake pipe. Each car's brake valve 
reacts to a signal to apply the brakes by directing compressed air from 
the car's reservoir to the brake cylinder or to release the brakes by 
releasing air from the brake cylinder. The similarities between the 
conventional pneumatic and ECP brake systems end here. Instead of 
utilizing reductions and increases of the brake pipe pressure to convey 
application and release signals to each car in the train, ECP brake 
technology uses electronic signals, resulting in an almost 
instantaneous application and release of brakes on each car in the 
entire train. Since the brake pipe pressure no longer serves as the 
communication medium in ECP braked trains, the brake pipe is constantly 
being supplied or charged with compressed air from the locomotive 
regardless of whether the brakes are applied or released. In addition, 
ECP brake-equipped trains offer graduated release, where a partial 
brake release command provides a partial, proportional brake release.
    The basic ECP brake system is controlled from the Head End Unit 
(HEU) and each car is equipped with a Car Control Device (CCD), an 
electronic control device that replaces the function of the 
conventional pneumatic control valve. The CCD acknowledges and 
interprets the electronic signals from the HEU and controls the car's 
service and emergency braking functions. The CCD controls charging the 
car's air reservoir and also has diagnostic capabilities to send a 
warning signal to the locomotive in the event any component fails to 
appropriately respond to a braking command. Each CCD has a unique 
electronic address located in the Car ID Module, which is keyed to a 
car's reporting mark and number.
    Each car connects to the locomotive via special connectors and 
junction boxes. More specifically, an ECP brake-equipped train's train 
line cable--a two-conductor electric cable (8 A-WG and a 
shield)--connects the locomotive and cars and carries train line power 
to operate all CCDs and the ECP brake system's end-of-train (ECP-EOT) 
device and communicates network signals via the power voltage. A Power 
Supply Controller (PSC)--mounted within the locomotive and providing 
230 VDC of electricity--interfaces with the train line cable's 
communication network, provides power to all connected CCDs and ECP-EOT 
devices, and controls the train line power supply as commanded by the 
HEU. Under the AAR standards, a single power supply shall be capable of 
supplying power to an ECP brake-equipped train consisting of at least 
160 CCDs and an ECP-EOT device.
    Under the existing regulations, the conventional pneumatic brake 
system's EOT device can lose communication for 16 minutes and 30 
seconds before the locomotive engineer is alerted. See 49 CFR 
232.407(g). After the message is displayed, the engineer must restrict 
the speed of the train to 30 mph or stop the train if a defined heavy 
grade is involved. Per the regulations, railroads

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must calibrate each conventional two-way EOT device every 365 days and 
incur additional maintenance and cost expenses while replacing its 
batteries.
    By contrast, an ECP-EOT device uniquely monitors both brake pipe 
pressure and operating voltages and sends an EOT Beacon every second 
from its rear unit to its HEU on the controlling locomotive. The HEU 
will initiate a full service brake application should brake pipe 
pressure fall below 50 psi or initiate an emergency brake application 
should a communication loss occur for five consecutive seconds or if 
there is a break in the train line electrical cable. An ECP-EOT device 
does not require calibration and its battery, only a back-up for the 
computer, is charged by the train line cable and is much lighter in 
weight than the conventional EOT device battery. Physically the last 
network node in the train, the ECP-EOT device also contains an 
electronic train line cable circuit--a 50 ohm resistor in series with 
0.47 micro-farad capacitor--and must be connected to the network and 
transmit status messages to the HEU before the train line cable can be 
initially powered.
    ECP brake systems have the great advantage of real-time monitoring 
of the brake system's health. In normal operation, the HEU transmits a 
message/status down the train line cable to each car. If an individual 
car's brakes do not respond properly to the HEU's brake command, or if 
air pressures are not within the specified limits for operation, a 
message indicating the problem and the applicable car number is sent 
back to the HEU, which in turn notifies the locomotive engineer of the 
problem. The ECP brake system can identify various faults, including, 
but not limited to: low brake pipe pressure; low reservoir pressure; 
low train line cable voltage; low battery charge; incorrect brake 
cylinder pressure; and offline or inoperative CCDs.
    Emergency or full service brake applications automatically occur 
when the ECP brake system's software detects certain faults. For 
instance, if the HEU detects that the percentage of operative brakes 
falls below 85 percent, a full service brake application will 
automatically occur. In addition, the brakes will automatically apply 
when the following occurs: (1) Two CCD's or the ECP-EOT report a 
``Critical Loss'' within 5 seconds; (2) the train line cable indicates 
low voltage with less than 90 percent operative brakes; (3) the ECP-EOT 
reports a low battery charge; (4) the train moves during set-up; (5) 
the train line cable becomes disconnected; or (6) the train exceeds 20 
mph in Switch Mode. Under the AAR standards, the ECP brake system shall 
also have a pneumatic back-up system on each car for an emergency brake 
application in the event of a vented brake pipe or a train separation. 
These features preserve and exceed the fail safe features of 
conventional pneumatic brake systems.

IV. Interoperability

    Due to control methodology differences, ECP brake systems are not 
functionally compatible with conventional pneumatic air brake systems. 
For instance, while conventional pneumatic air brake systems command a 
brake application by reducing the air pressure in the brake pipe, ECP 
brake systems command a brake application through a digital 
communications link transmitted on the electrical train line cable.
    Manufacturers have developed application strategies to address 
issues relating to car and locomotive fleet interchangeability. In 
particular, they have proposed three major schemes of ECP brake design: 
stand-alone systems using only ECP brakes; overlay (dual mode) systems 
capable of operating in either conventional or ECP brake mode; and 
emulation systems, also capable of operating in either conventional or 
ECP brake mode.
    Since cars with stand-alone ECP brake systems do not include a 
fully pneumatic brake control valve, they are incompatible with 
conventionally braked cars and must be operated in train sets depending 
solely upon ECP brakes. Cars using stand-alone ECP brake systems cannot 
intermix in the same train with cars using conventional pneumatic 
brakes unless (1) the train uses ECP brakes and those cars using 
conventional pneumatic brakes are transported as cars with inoperative 
brakes or (2) the train uses conventional pneumatic brakes and the cars 
using ECP brakes are transported as cars with inoperative brakes. While 
the stand-alone ECP brake system is the least expensive alternative of 
the three design types, its incompatibility with conventional pneumatic 
brake systems requires train segregation, potentially posing 
significant operational problems until the entire car fleet is 
converted to ECP brakes.
    Overlay configurations--cars equipped with both ECP CCDs and 
conventional pneumatic control valve portions--allow cars to operate 
with either ECP or conventional pneumatic brakes. To operate in ECP 
brake mode, compatible ECP equipment must be installed on the 
locomotive as well as on the freight car. While an overlay system's 
dual mode capability provides significant flexibility, railroad 
operators must purchase, install, and maintain equipment to support 
both types of brake systems for as long as dual mode capability is 
required.
    Emulation configurations use a CCD capable of operating in either 
ECP or conventional mode without requiring conventional pneumatic 
controls. One manufacturer has provided an emulation ECP brake valve 
that monitors both the digital communications cable and the brake pipe 
for a brake command. If an electrical signal is present, the ECP brake 
valve operates in ECP brake mode. If the electrical brake command 
signal is not present, then the valve will monitor the changes in the 
brake pipe pressure like a conventional pneumatic control valve and the 
CCD will use a software program to emulate the function and response of 
a conventional pneumatic valve. An emulation ECP brake system can be 
operated in any train with any mix of emulation ECP and conventional 
brake systems. In a mixed train, the emulation ECP brake system will 
monitor the brake pipe for pressure changes and set up brake cylinder 
pressure like a conventional pneumatic valve.
    In the NPRM, FRA did not propose any rules uniquely regulating 
trains or cars equipped with emulation ECP brake systems, but sought 
comments on whether or how it should regulate such systems differently 
than what was proposed. According to NYAB and Wabtec (collectively, the 
brake manufacturers), the current AAR standards do not require a 
pneumatic emulation mode, and this function should not be subject to 
FRA regulation. In the event future releases of the S-4200 
specifications add pneumatic emulation as a requirement, the brake 
manufacturers suggest that the need for FRA regulation can be addressed 
at that time. FRA concurs and the final rule does not include 
regulations uniquely affecting emulation ECP brake systems.
    Manufacturers have also addressed ECP brake compatibility with 
locomotives equipped with conventional pneumatic brakes, which must be 
equipped with an HEU unit to operate the brakes on cars equipped with 
ECP brakes. For instance, one manufacturer has developed a portable 
unit that will allow a locomotive lacking an ECP brake HEU to operate a 
train equipped with ECP brakes by converting the air pressure changes 
in the brake pipe to digital command signals that are transmitted to 
the freight cars through the electrical train line cable. The 
locomotive engineer operates the brakes with the conventional automatic 
brake valve in the control cab. The brakes,

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however, will respond instantaneously and provide all of the benefits 
of an ECP brake system. While FRA recognizes that the technology for 
such a portable unit is in development and may provide a possible 
solution to the technological transition, it is not addressed or 
authorized by this final rule and the incorporated AAR standards.

V. Advantages of ECP Brakes Over Conventional Pneumatic Brakes

    ECP brake technology overcomes many of the physical limitations 
inherent in conventional pneumatic brake technology. Field testing of 
AAR compliant ECP brake systems over the past decade has not revealed 
any indication of a catastrophic event that could be caused by an ECP 
brake system malfunctioning. With a high level of confidence, the ECP 
brake stake holders support the implementation of ECP brake systems on 
the Nation's railroads. FRA concludes that the advantages of ECP brake 
technology will significantly improve the safety and the performance of 
train operations. Examples of such benefits include better train 
handling through simultaneous brake applications, continuous brake pipe 
charging, and graduated brake operation. Derailments are expected to 
decline significantly. ECP brake benefits also include electronic train 
management, improved performance, and real time diagnostics of the 
train's brake system.

A. Simultaneous Brake Application

    The conventional pneumatic brake system uses compressed air as the 
source for braking power and as the medium for communicating brake 
application and release commands and communicates the brake commands by 
changing brake pipe pressure through the use of the locomotive's 
automatic brake valve. These commands begin at the front of the train 
and propagate to the rear of the train at the speed of the air pressure 
moving from car to car. This slow propagation of the brake command 
contributes to uneven braking, excessive in-train and run-in forces, 
train handling challenges, longer stopping distances, safety risks of 
prematurely depleting air brake reservoirs, and a corresponding low 
brake rate until all cars in the train receive and fully respond to the 
brake command. FRA recognizes that the slow application and release of 
brakes in a train, causes excessive in-train forces, which have the 
potential to cause derailments when they occur in curves, cross-overs, 
or when heavier cars are placed at the rear of the train or after empty 
cars. When the brakes on the rear of the train release much more slowly 
than the brakes on the front of the train, the potential for a 
``string-line'' derailment--where the train stretches out until one or 
more wheels are lifted off the inside rail of a curve--increases.
    The ECP brake system reduces these problems by enabling cars to 
brake simultaneously at the command of an electronic signal. The 
electronic signal's speed ensures an instantaneous, simultaneous, and 
even activation of each car's brake valves, significantly reducing 
braking distances--40 to 60 percent for the longest trains--and 
minimizing the consequences of collisions or derailments by reducing 
the collision speed and slowing the non-derailed portion of the train.

B. Continuous Brake Pipe Charging

    Propagating a brake command signal through the reduction or 
increase of air pressure in the brake pipe represents a significant 
limitation of conventional pneumatic brakes. The same brake pipe air 
used to propagate brake commands also charges reservoirs on each 
freight car. As a result, the brake pipe must be fully charged to 
restore full braking capacity to depleted reservoirs. Partially 
depleted air from the brake pipe, which occurs during the initial stage 
of braking, prohibits repeat applications of brakes until the brake 
pipe can be recharged. A brake pipe can only be recharged once the 
brakes have been fully released. This characteristic of conventional 
pneumatic brakes contributes to the risk of run-away trains caused by 
prematurely depleted brake pipe pressure, particularly on steep grades.
    The ECP brake system reduces this risk by continuously charging the 
brake pipe. Since ECP brakes do not use the brake pipe as a brake 
command medium, the brake pipe is constantly being charged, allowing 
the locomotive engineer to operate the brake system more aggressively. 
With ECP brake systems, it is unnecessary to apply hand brakes on steep 
grades to recharge the brake pipe after the train stops on the grade.

C. Graduated Brake Application and Release

    The conventional pneumatic brake system's inability to operate 
freight trains in graduated release has long hampered train operations 
and has increased fuel consumption. The conventional pneumatic brake 
system can only operate in direct release, preventing locomotive 
engineers from reducing the braking effort without completely releasing 
and resetting the brakes. In other words, after a direct release brake 
application with a conventional pneumatic brake system, braking effort 
can be increased but not decreased without fully releasing the brakes. 
In many cases, direct release leads to unnecessary train stops or 
insufficient initial brake applications. ECP brake systems overcome 
this deficiency by operating in graduated release, which enables the 
operator to reduce braking effort to a lower level after making a brake 
application without fully releasing the brakes. As a result, the 
operator can accurately adjust the braking level as each situation 
requires, eliminating the stops required to recharge and reset the 
brakes after excessive brake applications and prior to negotiating 
hills and valleys.

D. Train Management

    The use of a train line cable allows real-time self-diagnostic 
functions to be incorporated in the brake system. The initial check of 
brake system conditions on each car and continuous monitoring of each 
car's braking functions provides immediate communication to the 
locomotive engineer of certain brake failures. The continuous 
monitoring of each car's braking functions and real-time diagnostics of 
the train's brake system is a significant advantage to the locomotive 
engineer for the operation of the train. These technical benefits also 
justify elimination of some of the currently required physical 
inspections of the train's brake system and support regulatory change 
to operate cars with non-functioning brakes out of the initial 
terminal. When the ECP brake system diagnostics detect a serious 
problem, including when the brake pipe pressure falls below 50 psi, the 
ECP brake system will automatically command a penalty brake 
application. ECP brake systems also eliminate the conventional 
pneumatic brake system's inability to apply all brakes in the train 
when there is a blockage in the brake pipe, which is handled through 
the use of a two-way EOT telemetry device not required by all trains. 
This failure will not affect brake applications in ECP brake systems, 
because each car is provided a braking command through a train line 
cable, not solely through the reduction of brake pipe pressure, which 
would not be propagated through the consist if the brake pipe is 
blocked. Therefore, ECP brake systems incorporate features that make 
them inherently safer than conventional pneumatic brakes. Using sensor-
based technology to maintain a continuous feedback loop on train 
condition for the crew and any centralized monitoring, the electrical 
communication cable network can also serve as a platform for the 
gradual

[[Page 61517]]

addition of other train performance monitoring and management controls, 
including distributed power locomotive control, hand brake on/off 
detection system, automatic activation and release of hand brakes, hot 
bearing detection, and truck oscillation and vibration. These and other 
train management features will increase the reliability and overall 
safety of train operations.

E. Improved Performance

    Ultimately, ECP brake technology also provides improved 
performance, which will contribute to safer train operations and 
significant cost savings over time. Since trains operated with ECP 
brakes can operate in graduated release, instead of direct release, 
fuel will not be wasted while pulling trains against a heavy brake 
application. Further, because all of the cars' ECP brakes release 
simultaneously, fuel will not be wasted on initial start-ups and power-
ups after a brake release.
    Operations utilizing ECP brake systems also promise increased 
average train speeds and decreased trip times. ECP brake systems allow 
the locomotive engineer to modulate the brake applications in 
territories with descending grades, thus increasing overall trip 
average speeds and reaching destinations sooner. While the slow release 
of the rear cars' brakes on conventional pneumatic braked trains cause 
drag, the brakes on ECP brake-equipped trains release simultaneously, 
improving start-up and acceleration times. Further, due to their 
shorter stopping distances, trains equipped solely with ECP brake 
systems may potentially permit higher train speeds within existing 
signal spacing, which will increase average system velocity, or permit 
use of shorter ``blocks'' between signals, facilitating greater system 
capacity.
    The instantaneous application and release of ECP brakes will result 
in more uniform braking, thus improving wheel wear and increasing brake 
shoe life. In a conventional pneumatically braked train, the brake pipe 
gradient and slower response time causes the first third of the train's 
cars to provide the majority of the braking action, thus applying 
additional pressure and heat on those cars' wheels. Since ECP brake 
systems provide instantaneous braking on all cars, such pressure will 
be more uniformly distributed along the train, thus eliminating the 
uneven braking force on the wheels of those leading cars. The ECP brake 
system also self-monitors each car's brake cylinder pressure and 
maintains the prescribed pressure, thus reducing the potential for 
creating shelling and flat spots on wheels.
    Due to minimized wheel defects, and their accompanying vibrations, 
freight cars and brake components will enjoy increased life. Further, 
instantaneous braking will also prevent draft gear assemblies from 
receiving the constant pressure caused by trains equipped with 
conventional pneumatic brake systems and will reduce lading damage by 
eliminating slack action and in-train forces caused by uneven braking. 
ECP brake systems will also reduce the number of brake parts and rubber 
diaphragms required by conventional pneumatic brake systems.

VI. Standards, Approval, and Testing

    During the past 18 years, FRA has monitored the progression of ECP 
brake technology and has observed field testing on various revenue 
trains, both freight and passenger. In 1997, FRA participated in an AAR 
initiative to develop ECP brake standards and in 1999, FRA funded, 
through the Transportation Technology Center, Inc., a FMECA of the ECP 
brake system based on AAR's Standards and Recommended Practices, S-4200 
Series. FRA also participated in programs to develop and enhance 
advanced components for ECP brake systems. After all of these efforts, 
FRA has determined that the AAR S-4200 Series of standards are 
appropriate substantively and legally for incorporation by reference in 
this rule and that the AAR Air Brake Systems Committee is an 
appropriate vehicle to rely upon in the implementation of ECP brake 
technology for this rule. FRA acknowledges that ECP brakes are an 
attractive, viable, and enabling technology with the potential to 
substantially improve the operational efficiency of trains and that by 
complying with AAR Standard S-4200, ECP braked trains offer significant 
safety and efficiency benefits in freight train handling, car 
maintenance, fuel savings, network capacity, self-monitoring, and fail-
safe operation.
    AAR administers the existing industry ECP brake standards through 
its Air Brake Systems Committee--consisting of representatives from the 
major railroads, brake manufacturers, and FRA--which requires 
demonstrated proof of compatibility, safety, and reliability of air 
brake systems to receive AAR approval. FRA is satisfied that the 
existing AAR S-4200 Series specifications, AAR approval procedures, and 
continuing oversight by the AAR Air Brake Systems Committee will best 
ensure the safety and reliability of ECP brake systems. An ECP brake 
monitoring system complying with AAR Standard S-4200 Series increases 
safety by communicating information on the location and quantity of 
defective equipment and by providing for the safe movement of equipment 
over longer distances and periods of time.

A. AAR Standards and Approval Process

    In order to assure the safety and the interoperability of ECP brake 
system designs, AAR developed the S-4200 Series of standards. The first 
five standards (S-4200, S-4210, S-4220, S-4230, and S-4250)--issued in 
1999 and updated in 2002, 2004, 2006, and 2007--specify the functional, 
operational, and interface requirements for cable-based ECP brake 
systems. AAR issued two additional standards in January 2007, 
specifying ECP brake equipment approval procedures (S-4240) and 
interoperability testing requirements (S-4260). In April 2008, AAR 
issued a standard for hardware and software configuration management 
plans (S-4270). At this time, AAR has not completed specifications for 
radio-based ECP brakes, which it considers technically immature and 
unsuitable. The purposes of the standards are to ensure that AAR-
approved electronic brake systems are interoperable between different 
manufacturers and meet high standards of safety and reliability. The 
analysis of the S-4200 Series of standards indicates that the 
performance specifications for the cable-based ECP brake concept are 
complete.
    The AAR Manual of Standards and Recommended Practices (MSRP) 
contain the following standards for cable-based ECP brake systems:
     S-4200, ECP Cable-Based Brake Systems--Performance 
requirements;
     S-4210, ECP Cable-Based Brake System Cable, Connectors, 
and Junctions Boxes--Performance Specifications;
     S-4220, ECP Cable-Based Brake DC Power Supply--Performance 
Specification;
     S-4230, Intratrain Communication Specification for Cable-
Based Freight Train Control System;
     S-4240, ECP Brake Equipment--Approval Procedure;
     S-4250, Performance Requirements for ITC Controlled Cable-
Based Distributed Power Systems;
     S-4260, ECP Brake and Wire Distributed Power 
Interoperability Test Procedures; and
     S-4270, ECP Brake System Configuration Management.
    Standard S-4200 ensures that the functionality and performance of 
freight ECP brake systems are uniform and

[[Page 61518]]

consistent among equipment from different manufacturers, that cars 
equipped with AAR-approved ECP brake systems from different 
manufacturers are interoperable, and that AAR-approved electronic brake 
systems meet a high standard of safety and reliability. This standard 
defines ECP brake system elements, specifies their functionality in 
different implementation schemes--such as stand-alone, overlays, and 
emulators--and sets the requirements for all system functions. It 
covers all primary functions of ECP brakes, including graduated brake 
application and releases, continuous reservoir charging, adjustment of 
braking level to car load, continuous fault detection, equipment status 
monitoring, and pneumatic backup. It also specifies requirements for 
all modes of train operation and provides an extensive description of 
fault response and recovery functions for all possible faults of the 
system components. The standard also establishes environmental 
requirements for the designed systems, in-service testing, and rigorous 
approval procedures for the certification process of new ECP brake 
equipment.
    Other standards in the AAR S-4200 Series contain requirements for 
critical ECP brake system components and communication protocols. 
Standard S-4210 contains the performance specifications and 
qualification test procedures for ECP brake system cables, connectors, 
and end-of-car junction boxes. The required testing verifies that the 
designed components have high reliability, will withstand harsh 
environmental conditions, and will have at least an 8-year operating 
life.
    Standard S-4220 contains performance specifications for the DC 
power supply system through the hard-wired train line cable for ECP 
brake controllers and other electronic freight car components. Since a 
DC power supply conductor will also send communication control commands 
between a locomotive and its attached cars, the standard requires 
reliable separation and absence of interference between the DC power 
supply and the communication circuits.
    Standard S-4230 contains the requirements related to intra-train 
communication systems on freight equipment used in revenue interchange 
service. The standard facilitates interoperability between freight cars 
and locomotives without limiting the proprietary design approaches used 
by individual suppliers. The communication protocol was developed for 
control of ECP brakes and multiple remote units, including distributed 
power locomotives, and for safety reporting of various car and 
locomotive components.
    Standard S-4250 contains the methodology and communication flow 
requirements for controlling the operation of multiple locomotives in a 
freight consist through the intra-train communication network that is 
shared with ECP brake system. The locomotive control through the intra-
train communication line is an alternative method of locomotive 
control, which was not available before the introduction of ECP brake 
system technology. The controlled locomotives can either trail a lead 
locomotive or be distributed (i.e., separated by cars) in a train. The 
standard establishes protocols for different types of locomotive 
controls through the intra-train line cable, depending on the location 
of the consist's multiple locomotives. While the current means of 
controlling ``distributed power'' is performed through radio control--
which is susceptible to a loss of communication and is not ``fail 
safe'' in operation--locomotives operated with ECP brake systems can be 
relied upon to function as commanded in real time and automatically 
apply the brakes in the event of a communication loss.
    Standard S-4260 contains the test procedures that must be completed 
by ECP brake manufacturers to establish interoperability baselines 
among ECP brake and wire distributed power (WDP) systems in compliance 
with the S-4200 standards series. The test procedures validate the 
functional interoperability of ECP brake and WDP systems developed by 
different manufacturers.
    Standard S-4270 defines the procedures for managing the software 
and hardware configuration for AAR-approved ECP brake systems.
    The AAR approval process and the work of the Air Brake Systems 
Committee has been the primary method of ensuring the safety and 
reliability of railroad brake systems and components for decades. 
Through its participation on the Air Brake Systems Committee, FRA can 
monitor any safety or reliability issues that may develop with ECP 
brake systems. In the event of a serious safety issue with a supplier's 
ECP brake system, FRA can appropriately respond by invoking its 
authority to intervene with additional rulemaking or an emergency 
order. FRA does not expect to use this authority, because the AAR Air 
Brake Systems Committee already has the authority to rescind AAR 
approval for brake systems that do not perform safely or reliably.
    Standard S-4240 contains the acceptance procedure for seeking AAR 
approval of ECP brake equipment. The standard requires a manufacturer 
to apply for approval by submitting certain information under 
Administrative Standard S-060. Following review and approval of the 
initial application data and test plan by the AAR Air Brake Systems 
Committee, a manufacturer maintains the burden of establishing 
compliance with Standards S-4200, S-4210, S-4220, S-4230, S-4250, S-
4260, and S-4270 to obtain conditional approval.
    For laboratory testing, an AAR representative will select 150 CCDs 
from a lot of 200 and will select HEUs, train power supplying units 
(TPSs), and ECP-EOTs from lots of four each. The testing will be 
performed on a 150-car test rack configured in accordance with AAR 
specifications. The manufacturer will provide for AAR evaluation of the 
test results, which shall include a requirements traceability and 
compliance matrix for each AAR standard and all necessary test reports, 
and then conduct interoperability laboratory testing between new ECP 
brake equipment and AAR-approved ECP brake equipment in accordance with 
standard S-4260.
    Upon satisfactory completion of the aforementioned laboratory 
tests, AAR will consider conditional approval for field testing of ECP 
brake equipment. If conditional approval is granted, 150 ECP brake CCDs 
shall be selected from a production lot of 200 test-approved CCDs, and 
100 of those selected, plus at least two ECP brake-equipped locomotives 
and one ECP-EOT device, must be placed in railroad service for 24 
months. Under conditional approval, at least 1,000 cars must be 
allotted for use. Within those 24 months, all in-service tests must be 
conducted. After those 24 months, the Air Brake Systems Committee 
continues to monitor the product for reliability and safety concerns. 
If a problem with any brake component is discovered, the Committee will 
discuss the issue and may either demand further tests or withdraw AAR 
approval.
    Full AAR approval shall be provided after 4 years if during that 
time a manufacturer furnishes AAR at specified intervals various 
service reports, which must include accurate ECP brake equipment 
malfunction records. FRA agrees with AAR's assessment that 4 years are 
needed to collect a history of reliable data with minimum failures. In 
addition, the manufacturer must provide to AAR a semiannual report 
containing any repair material for the test ECP brake equipment. Under 
the standard, AAR reserves the right to withdraw

[[Page 61519]]

conditional test approval if it determines that safety is impaired, 
reliability degrades, or incompatibility of ECP brake operation 
develops, and may require any additional testing or performance 
evaluations it deems necessary. Standard S-4240 also contains specific 
procedures that must be followed when a manufacturer intends to change 
certain ECP brake equipment physical characteristics, software, or 
electronics.
    FRA supports this effort as a timely measure for AAR to strengthen 
the regulatory package for ECP brake systems. Overall, FRA considers 
AAR approval a valuable step to ensure the reliability and safety of 
ECP brake systems and a minimum requirement for initial application of 
ECP brake systems on the Nation's railroads. However, FRA fully intends 
to monitor the application and safety of ECP and may, at its 
discretion, require additional safety analysis to be performed to 
confirm the safety of ECP brake systems installed and operating in 
revenue service. FRA reserves the right to witness the AAR approval 
testing of the product.

B. FMECA

    AAR Standard S-4200 Series was developed to support the design of a 
safer, more reliable ECP braking system when compared with conventional 
air brakes. Once the standard was created, the railroad industry 
identified the need to perform a safety and reliability assessment of 
an ECP brake system built in accordance with this standard. Since 
actual S-4200 Series compliant ECP brake systems did not yet exist, the 
industry decided to conduct a FMECA for a hypothetical ECP brake system 
that satisfied all the requirements of the standard. At FRA's 
insistence, the FMECA on AAR Standard S-4200 was performed in 1999 by 
DEL Engineering with participation of AAR, FRA and a number of experts 
with significant experience in the development and application of ECP 
brake systems.
    The FMECA team began the analysis by identifying all major ECP 
brake system components and their intended functions. The analysis 
examined each component and function and identified associated failure 
modes and effects. The failure modes were analyzed to determine 
severity, frequency of occurrence, and effectiveness of detection. The 
FMECA team created a numeric ranking criterion and determined and 
prioritized the level of risk posed by each failure mode. High-risk 
failure modes were identified and appropriate mitigation strategies 
were developed to decrease the risk.
    The FMECA team analyzed the failure modes of all ECP brake 
components, including: CCDs with the battery; HEUs on the head 
locomotive; ECP-EOT devices; train line cables, communication and power 
supplies; power supply controllers; head end line terminators; car ID 
modules; locomotive ID modules; and operative brakes. The analysis 
included different types of ECP brake systems, including stand alone, 
overlay (dual mode), and emulator and all system functional 
requirements and operating modes, including Initialization, Switch, 
Run, and Cut-out. The FMECA failure log contained about 1,500 failure 
modes. For each high-risk failure mode, the FMECA team identified 
action items and offered recommendations on how to mitigate the 
consequences of component failures or system functional failures. The 
team primarily examined single-point failures but also identified and 
evaluated some cases of combined failures that had significant safety 
consequences.
    The FMECA results confirmed that the ECP brake concept offers the 
potential for improved performance, reliability, and safety over that 
of conventional pneumatic brake systems. The FMECA concluded that no 
failure mode of an AAR-compliant ECP brake system exists that can cause 
a catastrophic accident due to single-point failure of the system 
itself. The AAR standards, as written, eliminate or mitigate critical 
outcomes of single-point failure of ECP brake systems.
    The FMECA team encouraged manufacturers to pursue ECP brake 
technology, because the potential safety and efficiency benefits will 
far outweigh any disadvantages. If designed and maintained properly, 
ECP brakes will be substantially safer and more reliable than the 
conventional pneumatic brake system they are intended to replace. AAR 
and the brake manufacturers indicated that they were completely 
satisfied that ECP brake systems are significantly safer than 
conventional pneumatic systems. They accepted the results of the FMECA 
and concluded that no modifications were necessary to the AAR standards 
related to ECP brake systems.

VII. Market Maturity and Implementation

    The U.S. market for ECP brake systems is mature enough to begin 
implementation of ECP brake technology. The equipment manufacturers 
have made a significant investment in the technology and have completed 
the preliminary design work and field testing of ECP brakes. For 
instance, they have provided technical solutions for different ECP 
brake implementation strategies, enabling non-ECP and ECP brake-
equipped cars to run in combined trains and, in some cases, allowing 
ECP brake-equipped freight cars to run in ECP brake mode using 
locomotives with conventional pneumatic brake systems. In addition, 
they are ready to supply fully operational stand-alone ECP brake 
systems, overlays, and emulators for the U.S. market, easing the 
industry's migration process. A commitment by the railroad industry to 
change over to ECP brakes is necessary to inspire additional 
technological initiatives by the manufacturers.
    ECP brake systems from the main U.S. manufacturers--all in 
different stages of AAR approval and testing in revenue service--have 
been built with the intention of complying with the AAR S-4200 Series 
of standards, proven safe through field testing, designed using fail-
safe principles, and accommodated the industry's need for different 
implementation schemes. The AAR S-4200 Series standards are intended to 
assure the necessary level of safety, reliability, interoperability, 
and ultimately the applicability of this equipment in the U.S. market. 
The equipment of existing ECP brake manufacturers incorporates the 
conventional pneumatic emergency brake system as a backup in case of 
failure of the ECP brake control. In most cases, ECP brake systems will 
support enhanced safety even if the electronics fail, because 
continuous recharging of the brake pipe will ensure availability of an 
emergency application. Therefore, the ECP brake system reduces the risk 
caused by depleted air in the case of an emergency. There is no 
instance or record of a malfunctioning ECP brake system that resulted 
in a catastrophic or critical event.
    To assess the benefits and costs of ECP brakes for the U.S. rail 
freight industry, FRA contracted with BAH in 2005 to conduct a study. 
An ECP brake expert panel of principal stakeholders in the conversion 
of the U.S. freight car fleet to ECP brake technology, including 
suppliers, railroads, private car owners, AAR, and FRA was assembled to 
participate in the study. The expert panel supported the conclusion 
that the AAR standards are sufficient for the ECP brake system designer 
to achieve a system safety level adequate for a safety-critical system. 
In particular, an AAR-compliant system, while providing a significant 
increase in safety and efficiency, does not introduce extra risks 
associated with single-point failure of the ECP system itself.

[[Page 61520]]

    The final BAH report provided a comprehensive analysis and 
comparison of ECP and conventional air brake systems. BAH acknowledged 
that while trains with ECP brake systems have been operated in North 
America, South Africa, and Australia, U.S. implementation has been 
stalled due to the absence of an acceptable implementation plan for 
conversion and hard data to support a sound economic analysis, limited 
interoperability with traditionally braked trains, and insufficient 
capital investment required for conversion. It concluded that although 
the barriers to implementation are formidable, ECP brake systems are 
economically and technically ripe for adoption and should be 
implemented in phases. BAH suggests that implementing ECP brakes on 
2,800 locomotives and 80,000 cars in the Powder River Basin (PRB) would 
cost the industry approximately $432 million. However, according to 
BAH, the annual $157 million in anticipated benefits--resulting from 
saved fuel, improved wheel and brake shoe life, and a reduction in 
necessary brake inspections--will allow railroads to recover those 
costs in less than three years. To justify the investment, the BAH 
report says, conversion must be focused first on the high-mileage, 
unit-train-type services that would most benefit from its use.
    FRA acknowledges that BAH's fuel cost estimates are underestimated 
due to subsequently rising prices. It is notable that BAH did not 
attempt to quantify potential savings relating to capacity increases or 
emissions decreases due to the difficulty in arriving at acceptable 
values. Accordingly, the report's estimated internal rate of return 
should be viewed as conservative.

VIII. Related Proceeding

    In a petition dated November 15, 2006, and filed November 21, 2006, 
BNSF and NS jointly requested that FRA waive various sections in parts 
229 and 232 as it relates to those railroads' operation of ECP brake 
pilot trains. See Docket No. FRA-2006-26435. The FRA Safety Board held 
a fact-finding hearing on this matter on January 16, 2007, featuring 
testimony from representatives of the petitioners, air brake 
manufacturers, and labor unions. On March 21, 2007, the Safety Board 
granted the petitioners' request, in part, subject to various 
conditions designed to ensure that ECP brake equipped trains subject to 
the waiver will be as safe as trains equipped with conventional brakes 
and operated under the existing rules. See id.

IX. Legal Impediments and Proposed Relief

    ECP brake operation provides for continuous electronic monitoring 
of the condition of air brake system components and brake pipe 
pressure, potentially limiting the need for certain physical brake 
inspections currently required under part 232. Accordingly, this final 
rule modifies, relaxes, and removes certain requirements, including 
intermediate terminal inspections (Sec. Sec.  232.207, 232.209, and 
232.211), single-car air brake tests (Sec.  232.305), and the required 
percent of operable brakes at initial terminal departure (Sec.  
232.103(d)), as they apply to trains operating in ECP brake mode. The 
rail industry's implementation of ECP brakes is frustrated by such 
inapplicable and inefficient statutory and regulatory requirements. 
Without a large-scale proliferation and implementation of ECP brake 
technologies, the industry will not be able to enjoy economies of scale 
and to overcome the industry-wide limits caused by interoperability 
problems. FRA seeks to improve market efficiency by providing reliable 
and suitable standards and procedures that will support investments in 
ECP brake technology.
    The current statutory and regulatory requirements, however--
including those concerning brake inspections and the operation of 
trains with defective equipment--may reduce or eliminate incentives for 
railroads to implement new ECP brake technology and take advantage of 
its operational and safety benefits. For example, 49 U.S.C. 20303 
presents an obstacle to cost-saving, safe, and efficient long hauls 
promised by ECP brakes. To avoid incurring civil penalties, operators 
are required under 49 U.S.C. 20303 to transport rail vehicles with 
defective or insecure equipment ``from the place at which the defect or 
insecurity was first discovered to the nearest available place at which 
the repairs can be made.''
    The design and operation of