Document ID: FRA-2009-0031-0153
Agency: fra
Document Type: Notice
Title: Safety Advisory: Ballast Defects and Conditions; Importance of Identification and Repair in Preventing Development of Unsafe Combinations of Track Conditions
Posted Date: 2015-08-26T04:00Z

[Federal Register Volume 80, Number 165 (Wednesday, August 26, 2015)]
[Notices]
[Pages 51868-51870]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2015-21044]

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DEPARTMENT OF TRANSPORTATION

Federal Railroad Administration

[Safety Advisory 2015-04]

Ballast Defects and Conditions--Importance of Identification and 
Repair in Preventing Development of Unsafe Combinations of Track 
Conditions

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

ACTION: Notice of Safety Advisory.

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SUMMARY: FRA is issuing this safety advisory to emphasize the 
importance of timely repairing ballast defects and conditions on main 
tracks. FRA notes that ballast defects and ballast conditions that are 
not repaired in a timely manner can lead to future defects. FRA 
believes it is important for track inspectors to be aware that ballast 
defects and conditions can cause track components to deteriorate 
rapidly and compromise the stability of the track structure, and that 
inspectors are trained to identify and repair ballast defects and 
conditions. This safety advisory recommends that track owners and 
railroads: (1) Assess current engineering instructions on ballast 
safety and update them to provide specific guidance to track inspectors 
(designated personnel that are qualified to inspect and repair track) 
on how to identify and initiate remedial action under 49 CFR 213.233(d) 
for ballast defects and conditions, as well as on the appropriate 
remedial action to implement, particularly in areas with one or more 
additional track conditions; (2) train track inspectors on the updated 
engineering instructions and this safety advisory to ensure they 
understand how to identify and initiate remedial action for ballast 
defects and conditions in a timely manner, and understand the 
importance of such remedial action in preventing the development of 
unsafe combinations of track conditions; and (3) ensure that 
supervisors provide adequate oversight of track inspectors to achieve 
identification and remediation of ballast defects and other track 
conditions.

FOR FURTHER INFORMATION CONTACT: Mr. Kenneth Rusk, Staff Director, 
Track Division, Office of Railroad Safety, FRA, 1200 New Jersey Avenue 
SE., Washington, DC 20590, telephone (202) 493-6236; or Ms. Anna Nassif 
Winkle, Attorney Advisor, Office of Chief Counsel, FRA, 1200 New Jersey 
Avenue SE., Washington, DC 20590, telephone (202) 493-6166.

SUPPLEMENTARY INFORMATION: 
    Background--Ballast may consist of crushed stone, crushed slag, 
screened gravel, and other materials; ballast is an integral part of 
the track structure. Ballast, regardless of the material, must satisfy 
all four of the requirements in FRA's track safety standards in 49 CFR 
part 213. See Sec. Sec.  213.103 and 213.334.\1\
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    \1\ All references to sections or part in this safety advisory 
are to a section or part of Title 49 of the CFR.
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    The sole appearance of fouled ballast (i.e., ballast contaminated 
with broken-down particles, mud, coal dust, or other foreign material) 
may not warrant immediate corrective action if the ballast is properly 
transmitting and distributing the load, restraining the track, 
providing adequate drainage, and maintaining proper geometry. However, 
when ballast cannot adequately drain free-standing water, wheel loads 
are likely to be concentrated, rather than distributed. The 
concentrated wheel loads can cause rapid deterioration of track 
components and track instability, which can increase the risk of 
derailment. In addition, as noted below in the discussion regarding an 
accident that occurred at a fouled ballast location, track instability 
can not only

[[Page 51869]]

result from an individual track defect, but from a combination of track 
conditions. FRA reminds track owners and railroads of their 
responsibility under Sec.  213.7 to ensure all persons they designate 
as qualified to either supervise certain renewals of track or inspect 
track for defects know and understand the requirements of part 213, are 
able to detect deviations, and can prescribe appropriate remedial 
action.
    Ballast defects are often readily apparent through indications of 
poor geometry and structure degradation. FRA believes that a location 
with a combination of a ballast defect with a marginal geometry 
condition \2\ warrants additional monitoring, more restrictive remedial 
action, or both, to correct or safely compensate for the combined 
defect and condition.
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    \2\ A geometry condition means a track surface, gage, or 
alinement irregularity that does not exceed the allowable threshold 
for the designated track class in the track safety standards.
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    Railroad track inspectors should exercise their technical knowledge 
and professional experience to identify and record ballast defect or 
condition locations, and should take into account the severity of any 
geometry conditions along with the following factors to determine 
appropriate remedial action:
     Operating practice: Train speed, loading environment, 
route type and density, proximity to population centers;
     Track structure: rail, crossties, and fastener 
deterioration (mechanical wear from impact force), condition causing 
excessive rail cant (particularly abraded concrete crossties), 
concentrated support under ties, and localized excessive loading of 
ties;
     Roadbed and right-of-way condition: Sufficiently 
maintained to allow free-draining shoulder and crib ballast, 
unrestricted cross and lateral drainage;
     Special trackwork and transition points: \3\ Turnouts, 
bridges, rail crossings, and highway/rail crossings.
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    \3\ Transition points occur at locations where there is an 
abrupt change in the vertical stiffness (support) of the track, such 
as the approach to a bridge. Transition points increase the dynamic 
loading of the track, causing more rapid deterioration of track 
components (e.g., ballast, crossties, rail fasteners, and rail).
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    Ballast defects are not associated with a track classification 
under Sec. Sec.  213.9 and 213.307 requirements. Normally, ballast 
degradation is a gradual process. However, environmental conditions can 
accelerate the degradation rate and pose a safety threat to train 
operations. The safe passage of trains is reliant on the track 
inspector to recognize and assess the safety risk through training and 
experience.
    Ballast conditions that produce a derailment risk must be corrected 
by repair or by applying appropriate restrictions upon discovery. The 
railroad's designated track inspector is responsible for conducting a 
proper inspection and applying appropriate remedial action.
    Highlighted Accident--On July 18, 2013, at approximately 8:29 p.m., 
northbound CSX Transportation Train Q70419 derailed at Milepost 9.99 
while traversing the No. 2 Main Track on the Metro-North Commuter 
Railroad Company's Hudson Line. FRA and the National Transportation 
Safety Board (NTSB) investigated the accident.
    The accident was caused by the rail canting outward under increased 
dynamic wheel-rail loads due to the combination of gage and profile 
deviations and center-bound concrete crossties resulting in damage 
sufficient to reduce their ability to hold gage. These conditions 
developed from the ballast failing to properly support the track 
structure, which itself was the result of inadequate drainage. A track 
inspector performing proficient track inspections should have 
recognized the degrading ballast and geometry conditions, and the 
likelihood for center-bound crossties, and taken responsible corrective 
action. To prevent the development of such unsafe combinations of track 
conditions, FRA believes it is important that track owners and 
railroads assess current internal engineering instructions and update 
them to provide specific guidance to track inspectors on how to 
identify ballast defects and other track conditions. It is also 
important that track owners and railroads provide clear guidance on how 
to determine and apply appropriate remedial action, particularly in 
locations where the combination of track geometry and structure 
conditions produces an increased risk of derailment.
    FRA further believes that alerting track owners or railroads to the 
issue of unsafe combinations of track conditions and highlighting a 
derailment resulting from a combination of marginaltrack conditions at 
a fouled ballast location provides a sufficient basis for these 
entities to review engineering standards and to consider requiring 
additional attention and action in areas with multiple track 
conditions. This is particularly true when geometry and structural 
deviations are produced by poorly-performing ballast.
    The NTSB's safety recommendations resulting from its investigation 
of the derailment discussed above are on its Web site at www.ntsb.gov. 
The NTSB recommended that FRA define specific allowable limits for 
combinations of track conditions, none of which individually amount to 
a deviation from FRA regulations that require remedial action.
    Recommended Action--In light of the above discussion, and in 
addition to complying with the requirements of part 213, including 
Sec. Sec.  213.7 and 213.103, FRA recommends that track owners and 
railroads take the following actions:
    1. Assess current internal engineering instructions in view of the 
concerns raised in this Safety Advisory 2015-04, and update them to 
ensure that the instructions provide specific guidance to track 
inspectors on how to identify and initiate remedial action under Sec.  
213.233(d) for ballast defects and other ballast conditions, and on the 
appropriate remedial action to implement, particularly in areas with 
one or more additional track conditions.
    2. Train track inspectors on the updated engineering instructions 
and this safety advisory. Such training should ensure that each track 
inspector understands the following:
    a. Identification of Ballast Defects and Conditions. Know the 
requirements and purpose of track subgrade and ballast and understand 
the circumstances that can lead to ballast failure and other ballast 
defects and conditions, such as inadequate drainage, saturated 
subgrade, and transition points (e.g., highway-rail grade crossings and 
approaches to bridges).
    b. Remedial Action for Ballast Defects and Conditions. Understand 
the importance of maintaining ballast and initiating remedial action 
for any ballast defects or conditions in preventing the development of 
one or more additional track conditions (e.g., gage widening, alinement 
and track surface deviations) or track structure conditions (e.g., 
center-bound crossties, loose or missing fasteners, rail cant, etc.), 
especially around transition points or other areas susceptible to 
ballast degradation.
    3. Ensure that supervisors provide oversight of track inspectors to 
achieve proper identification and remediation of ballast defects and 
other track conditions.
    FRA encourages the railroad industry to take appropriate action 
consistent with the preceding recommendations and any other actions to 
ensure the safety of the Nation's railroad employees, passengers, and 
the general public. FRA may modify this Safety Advisory 2015-04, issue 
additional safety advisories, or take other appropriate actions it 
deems necessary to ensure the highest level of safety,

[[Page 51870]]

including pursuing other corrective measures under its rail safety 
authority.

    Issued in Washington, DC, on August 20, 2015.
Robert C. Lauby,
Associate Administrator for Railroad Safety Chief Safety Officer.
[FR Doc. 2015-21044 Filed 8-25-15; 8:45 am]
 BILLING CODE 4910-06-P