[Federal Register Volume 61, Number 120 (Thursday, June 20, 1996)]
[Rules and Regulations]
[Pages 31802-31812]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 96-15299]
[[Page 31801]]
_______________________________________________________________________
Part XI
Department of Transportation
_______________________________________________________________________
Federal Railroad Administration
_______________________________________________________________________
49 CFR Part 234
Grade Crossing Signal System Safety; Interim Final Rule
Federal Register / Vol. 61, No. 120 / Thursday, June 20, 1996 / Rules
and Regulations
[[Page 31802]]
DEPARTMENT OF TRANSPORTATION
Federal Railroad Administration
49 CFR Part 234
[FRA Docket No. RSGC-5; Notice No. 8l
RIN 2130-AA97
Grade Crossing Signal System Safety
AGENCY: Federal Railroad Administration (FRA), Department of
Transportation (DOT).
ACTION: Interim final rule amendments.
-----------------------------------------------------------------------
DATES: This interim final rule is effective August 19, 1996.
Written comments concerning this rule must be filed no later than
July 22, 1996.
SUMMARY: FRA is amending the final rule requiring that railroads comply
with specific maintenance, inspection, and testing requirements for
active highway-rail grade crossing warning systems. The final rule
being amended also requires that railroads take specific and timely
actions to protect the traveling public and railroad employees from the
hazards posed by malfunctioning highway-rail grade crossing warning
systems. The amendments issued today are technical corrections which
clarify the rule which was published on September 30, 1994.
FOR FURTHER INFORMATION CONTACT: William Goodman, Staff Director,
Signal and Train Control, Office of Safety, FRA, 400 Seventh Street,
S.W. Washington, D.C. 20590 (telephone 202-366-2231), or Mark Tessler,
Office of Chief Counsel, FRA, 400 Seventh Street, S.W., Washington,
D.C. 20590 (telephone 202-366-0628) (e-mail address:
[email protected]) .
SUPPLEMENTARY INFORMATION:
Background
On September 30, 1994, FRA published a final rule (59 FR 50086)
requiring that railroads comply with specific maintenance, inspection,
and testing requirements for active highway-rail grade crossing warning
systems. The final rule also requires that railroads take specific and
timely actions to protect the traveling public and railroad employees
from the hazards posed by malfunctioning highway-rail grade crossing
warning systems.
Because maintenance, inspection, and testing and timely response to
warning device malfunctions is a new regulatory field, actual
experience under the new final regulations is invaluable in determining
where the regulations are working and where they need to be clarified
or revised. Shortly after the regulations were issued, an FRA Technical
Resolution Committee (TRC) met to discuss the regulations, their
interpretation and implementation. Included in the TRC were FRA signal
and train control specialists from across the country along with
headquarters staff. Representatives from labor and management (which
had earlier in the regulatory process submitted a proposal which became
the basis for the maintenance and inspection portion of the final rule)
were invited to attend certain sessions as non-voting members to offer
their perspective and expertise to the group, together with
representatives of two States active in the State Participation
Program. Although the purpose of this TRC was to develop the
appropriate application and interpretation of the final rule, the
discussion, together with other lessons learned during implementation,
also indicated the need to clarify certain portions of the regulatory
text. Additionally, the American Short Line Railroad Association, the
Brotherhood of Railroad Signalmen, and the Association of American
Railroads jointly filed a Petition for Reconsideration with FRA
requesting that FRA stay enforcement of certain sections of the final
rule (Secs. 234.215 and 234.223) pending further consideration of those
provisions. Subsequent to the joint filing, FRA issued and Interim
Policy Manual addressing, among others, the issues and questions raised
by the petitioners. FRA granted the petition for reconsideration
although it did not agree to stay enforcement since enforcement issues
had been addressed in the Interim Policy Manual. This notice is in part
a response to the joint petition for reconsideration.
FRA has not provided prior notice and request for public comment
prior to making the amendments contained in this rule. FRA has
concluded that such notice and comment are impracticable, unnecessary
and contrary to the public interest under 5 U.S.C. 553 since FRA is
either making minor technical changes in response to the past year's
operational experience of railroads and employees working under the
provisions of the final rule or the amendments are purely
``housekeeping''. Additionally, all issues addressed by these
amendments were previously the subject of detailed notice and extensive
comment in the development of the initial final rule in this
proceeding. However, interested parties may comment on this rule and
FRA will consider those comments. For this reason, FRA has issued this
as an interim final rule so that it can take effect while any comments
are being considered. If comments persuade FRA that further amendments
are necessary, it will address them in a subsequent notice. As noted
above, comments must be submitted no later than July 22, 1996.
Section-by-Section Amendments
Sec. 234.1 (``Scope'')
In order to correct a typographical error, the first sentence of
this section is being amending by adding ``for'' between ``testing
standards'' and ``highway-rail grade crossing.''
Sec. 234.3 (``Application'')
This section is not being changed, however, despite the attempt in
the preamble to the final rule to fully explain the type of rail
operations which are covered by these regulations, based on the number
of questions that have been posed, it has become clear that we were not
entirely successful. As stated in the rule, this part applies to all
railroads except (1) a railroad that exclusively operates freight
trains only on track which is not part of the general railroad system
of transportation, (2) rail rapid transit operations conducted over
track that is used exclusively for that purpose and that is not part of
the general railroad system of transportation, or (3) a passenger
railroad that operates trains only on track inside an installation that
is insular. Part 209 of title 49 of the Code of Federal Regulations
defines a railroad as any form of non-highway ground transportation
that runs on rails or electromagnetic guideways, excluding rapid
transit operations not connected to the general railroad system of
transportation. The following discussion addresses specific types of
rail operations and whether this rule applies to that operation.
Rail rapid transit--this part does not apply to rail rapid transit
operations conducted over track that is used exclusively for that
purpose and that is not part of the general railroad system of
transportation.
Rail passenger operations--this part does apply to passenger
railroad operations if any of the following exists on the line of
railroad: (a) a public highway-rail crossing that is in use; (b) an at
grade rail crossing that is in use; (c) a bridge over a public road or
waters used for commercial navigation; (d) or its operations are within
30 feet of those of any other railroad. If any of these conditions
exist, all grade crossings over which the railroad operates, both
public and private crossings, are subject to this rule. It is important
to note that the fact that a passenger railroad is not
[[Page 31803]]
connected to the general railroad system does not in itself affect a
railroad's duty to comply with this part. An analysis must be made as
to the presence of the above mentioned factors.
Rail freight operations--this part applies to all freight railroads
which are part of the general railroad system of transportation. FRA's
regulations generally exclude railroads whose entire operations are
confined to an industrial installation, i.e., ``plant railroads'' such
as those in steel mills that do not go beyond the plant's boundaries.
However, even where a railroad operates outside of the general system,
other railroads that are part of that system may have occasion to enter
the first railroad's property. In that case the plant railroad would
have to meet FRA's highway-rail grade crossing warning system standards
if a general system railroad operated over the grade crossing. These
regulations do not apply to a freight carrying railroad (and the grade
crossings over which it operates ) which is not part of the general
railroad system of transportation. Both public and private crossings
that general system railroads operate over are covered by this part.
Sec. 234.5 (``Definitions'')
A benefit of reviewing FRA's and railroads' experience with this
new rule is that ``fine tuning'' can be accomplished based on real
world experience. Shortly after the rule was implemented, it became
clear that the rule did not adequately address those cases in which a
portion of a warning system operated correctly while other portions or
components did not perform as intended. FRA is revising the definition
of ``activation failure'' and is newly defining ``partial activation''
to address those situations.
The definition of ``activation failure'' is being revised to
provide that activation failure includes the situation in which a grade
crossing signal system does not indicate the approach of a train within
the meaning of this paragraph if--(1) more than 50% of the flashing
lights (not gate arm lights) on any approach lane to the crossing are
not functioning as intended, or (2) in the case of an approach lane for
which two or more pairs of flashing lights are provided, there is not
at least one flashing light pair operating as intended. Back lights on
the far side of the crossing are not considered in making these
determinations. FRA believes that if more than half of the flashing
lights directed to a motorist's approach are not operating properly, a
motorist does not receive sufficient warning that a train is
approaching. Similarly, if a motorist's approach is normally provided
with one or more pairs of alternately flashing lights, if at least one
pair is not operating properly, sufficient warning is not being
provided.
The definition of ``appropriately equipped flagger'' is being
revised to leave greater discretion with railroads in determining the
type of clothing to be worn by flaggers. The definition contained in
the final rule was based on the Federal Highway Administration's
standards pertaining to flaggers and flagging equipment for highway
traffic control contained in the Manual on Uniform Traffic Control
Devices (MUTCD). FRA has received information from manufacturers that
the requirement for nighttime visibility of 1000 feet is not possible
to meet under all conditions and therefore manufacturers can not
certify to a purchaser that the clothing would comply with the
regulatory requirement. FRA is thus deleting the 1000 feet requirement.
While it is revising its requirements from those standards for highway
construction flagging contained in the MUTCD, FRA recommends that
railroads be aware of the standards and follow them to the greatest
extent possible. Copies of the latest MUTCD provisions regarding
flagging will be available from FRA, as well as FHWA, as changes are
made in this area.
FRA is clarifying this provision by redefining ``appropriately
equipped flagger'' as ``a person other than a train crewmember who is
equipped with a vest, shirt, or jacket of a color appropriate for
daytime flagging such as orange, yellow, strong yellow green or
fluorescent versions of these colors or other generally accepted high
visibility colors. For nighttime flagging, similar outside garments
shall be retro reflective. Acceptable hand signal devices for daytime
flagging include `` STOP/SLOW'' paddles or red flags. For nighttime
flagging, a flashlight, lantern, or other lighted signal shall be
used.''
Please note that this definition is also being clarified by
replacing the ``and'' in ``STOP/SLOW paddles and red paddles'' with
``or''. Additionally, this provision will now permit yellow-green
clothing and other generally acceptable colors.
As noted above, FRA is adding a definition of''partial
activation''to address those situations in which the warning provided a
motorist by a malfunctioning system is of a level that supplemental
actions are necessary to provide an adequate level of safety. ``Partial
activation'' means activation of a highway-rail grade crossing warning
system indicating the approach of a train, however, the full intended
warning is not provided due to one of the following conditions:
(1) At non-gated crossings equipped with one pair of lights
designed to flash alternately, one of the two lights does not operate
properly (and approaching motorists can not clearly see flashing back
lights from the warning lights on the other side of the crossing);
(2) At gated crossings, the gate arm is not in a horizontal
position; or
(3) At gated crossings, any portion of a gate arm is missing if
that portion had held a gate arm flashing light.
Sec. 234.6 (``Penalties'')
This section is being clarified in two ways. First, a typographical
error is corrected in the phrase ``imminent hazard of death of
injury.'' That phrase should read ``imminent hazard of death or
injury.'' Additionally, this section is being amended to ensure that
the original intent of FRA is understood by the regulated community as
well as by FRA and State inspectors enforcing this rule. Railroads can
not be held responsible for conditions of non-compliance with the rule
which are beyond their control. Actions of third parties can cause
grade crossing warning systems to be in noncompliance. For instance,
large motor vehicles may brush flashing lights, resulting in
misalignment. Motorists often break off gates. Vandals sometimes break
flashing light units. Railroads should not be liable under this rule
for those conditions over which they have no control and which the
railroad could not have prevented through the exercise of due
diligence. The concept of due diligence includes the obligation to take
appropriate action when a railroad discovers an instance of non-
compliance or when it receives sufficiently reliable information
suggesting non-compliance that warrants investigation. Accordingly,
this section is being clarified to include the following: ``The
railroad is not responsible for compliance with respect to any
condition inconsistent with the technical standards set forth in this
part where such variance arises as a result of actions beyond the
control of the railroad and the railroad could not have prevented the
variance through the exercise of due diligence. The foregoing sentence
does not excuse any instance of noncompliance resulting from the
actions of the railroad's employees, agents, or contractors.'' This
clarification as to the compliance obligations of railroads under Part
234 is in no way intended to affect whatever common law liability the
railroad may otherwise be subject to.
[[Page 31804]]
Sec. 234.9 (``Grade crossing system failure reports'')
Paragraph ``a''. There appears to be some confusion as to where
activation reports required by this paragraph are to be sent. This
paragraph states that reports should be completed in accordance with
instructions printed on the form. At the present time, the form
requires that the report should be sent to the FRA's headquarters. FRA
is in the process of amending the instructions to instruct railroads to
send the forms to the FRA regional office in which the railroad
headquarters is located. While we prefer that reports be sent to the
regional offices, until the form is changed, a railroad may continue to
send reports to Washington.
Paragraph ``b''. This section relating to false activation reports,
expired on April 1, 1994. This paragraph is therefore being deleted.
Sec. 234.11 (``Railroad rules'')
This section, originally part of the 1991 reporting rule, was
necessary to provide FRA with background information to assist FRA in
formulating maintenance, inspection, and testing requirements. Inasmuch
as the rules have been instituted, there is no further need for the
information required by this section. This section was inadvertently
retained in the final rule and is therefore now being deleted.
Sec. 234.13 (``Grade crossing signal systems information'')
This section required that certain grade crossing information be
filed with FRA by April 1, 1992. This section was inadvertently
retained in the final rule and is therefore now being deleted.
Sec. 234.103 (``Timely response to reported malfunctions'').
Paragraph ``b'' of this section requires that until repair or
correction of the warning system is completed, the railroad shall
provide alternative means of warning highway traffic and railroad
employees in accordance with Secs. 234.105 (``activation failure'') and
234.107 (``false activation''). This paragraph is being revised to
include reference to new Sec. 234.106 (``partial activation'').
Sec. 234.106 (``Partial activation'')
This new section clarifies the responsibilities of a railroad in
the situation in which a grade crossing warning device provides some
warning of an approaching train, but at a level less than that designed
for the system. This section requires that upon receipt of a credible
report of a partial activation, a railroad having maintenance
responsibility for the warning system shall promptly initiate efforts
to warn highway users and railroad employees at the subject crossing in
the same manner as required for false activation in Sec. 234.107.
Sec. 234.207 (``Adjustment, repair, or replacement of component'')
Paragraph ``b'' of this section is being amended to include
Sec. 234.106 (partial activation) among those sections based upon which
a railroad must take certain action until repair of an essential
component is completed. Thus, until repair of an essential component is
completed, a railroad shall take appropriate action under Sec. 234.105
(``activation failure''), Sec. 234.106 (``partial activation''), or
Sec. 234.107 (``false activation'').
Sec. 234.215 (``Standby power'')
Under the provisions of the final rule, this section requires the
railroad to provide a backup power source so that the warning system
will continue to function normally until the primary source of power is
restored. This section was the subject of the Petition for
Reconsideration submitted by the Brotherhood of Railroad Signalmen, the
American Short Line Railroad Association, and the Association of
American Railroads in which they jointly requested reconsideration of
certain aspects of the final rule. The petition for reconsideration
requested that FRA stay enforcement of this section's requirement that
a standby source of power ``be provided with sufficient capacity to
operate the warning system during any period of primary power
interruption.'' As noted above, FRA granted the petition for
reconsideration.
In its Interim Policy Manual issued on April 14, 1995, FRA
indicated that ``this section requires the railroad to provide a backup
power source so that the warning system will continue to function
normally until the primary source of power is restored.'' This section
is being revised to more clearly reflect the proper interpretation of
the rule language. FRA is therefore amending this provision to provide
that a railroad is required to install and properly maintain a standby
power source in order to operate the system for a reasonable length of
time during a primary power interruption. Determining the capacity of
the standby power source will be at the discretion of each individual
railroad. The designated capacity must be specified on the system plans
required to be kept at each grade crossing warning system location.
Factors which should be considered by the railroad are the power
demands of particular location, the likelihood of discovery of the
primary power outage (i.e., the presence of electronic notification
devices, power off indicators, likelihood of employee discovery), the
availability and proximity of maintenance employees, and the number of
trains that are operated over the crossing.
Sec. 234.223 (``Gate arm'')
This section is amended to clarify that the provision requiring
that each gate arm shall assume the horizontal position at least five
seconds before the arrival of any train at the crossing applies to
normal train movements through the crossing. By adding ``normal train
movement through the crossing'' we are making clear that the five
second requirement does not apply when trains are performing switching
operations or making station stops within the grade crossing approach
circuit. This section was intended to ensure that when a train enters
the approach circuit to the grade crossing without stopping, the gates
will be down at least five seconds prior to the arrival of such train.
While it is possible to design and install the approach circuits to
activate the system in a predetermined amount of time for a train's
entrance onto such approach circuit, it is not possible to ensure the
timing of the warning system gates for train movements such as
switching movements and passenger train stops made within the approach
circuit. Train crews must adhere to railroad operating rules before
entering a grade crossing while performing switching movements or
departing from stations.
Sec. 234.225 (``Activation of warning system.'')
This section requires that each highway-rail grade crossing warning
system be maintained to activate in accordance with the design of the
warning system, but in no event shall it provide less than 20 seconds
warning time before the crossing is occupied by rail traffic. This
section is being amended to clarify that the 20 second warning time
requirement applies to normal through train operations rather than
switching movements or train operations that require stopping short of
the grade crossing. A crossing warning system is not designed for those
situations in which a switching movement occupies a grade crossing
approach circuit or trains stop short of a grade crossing. In those
situations the warning system activates but if a train does not cross
the grade crossing itself within a set period of time (or in newer
[[Page 31805]]
designs if the motion detector does not detect motion) the system will
cease providing a warning (``time out''). When the train then occupies
the crossing after the system has timed out, a full 20 seconds warning
time may not be provided. In those cases, railroad operating rules
require that alternative warning be provided the motorist.
Sec. 234.231 (``Fouling wires'')
This section addressed the situation in which a turnout located
within a grade crossing train detection circuit is equipped with
fouling wires. This section is being revised to clarify that
installation of a single duplex wire with a single plug acting as
fouling wires is prohibited. The revised section provides that existing
installations having single duplex wires with a single plug acting as
fouling wires may be continued in use until they require repair or
replacement.
Sec. 234.237 (``Switch equipped with circuit controller'')
The heading for this section was ``Switch equipped with circuit
controller.'' This heading is being changed to the more accurate and
descriptive ``Reverse switch cut-out circuit.''
Sec. 234.239 (``Tagging of wires and interference of wires or tags with
signal apparatus'')
This section is being revised to clarify that its requirements
apply to each wire at each terminal in all housings, including switch
circuit controllers and terminal or junction boxes. This section does
not apply to flashing light units, gate arm light units and other
auxiliary light units. Further clarification is provided by stating
that the local wiring on a solid state crossing controller rack will
not require tags if the wiring is an integral part of the solid state
equipment.
Sec. 234.247 (``Purposes of inspections and tests; removal from service
of relay or device failing to meet test requirements'')
This section addresses the purposes of inspections and tests and
the removal from service of devices failing to meet test requirements.
Subpart D of Part 234 (Maintenance, Inspection, and Testing) is not
intended to apply to grade crossing warning systems on out of service
track. To do otherwise would create a pointless regulatory requirement
in which tests and inspections are performed to ensure the operability
of a device that will not be operating. Accordingly, this section is
being clarified to provide that the provisions of Subpart D apply only
to active railroad tracks. If a railroad elects not to comply with the
requirements of this subpart because a track is out of service, or the
railroad suspends operations during a portion of the year, a full
inspection and tests of all required components must be successfully
completed before operations resume. FRA is therefore revising the first
sentence and adding an additional sentence of this section to read:
``The inspections and tests set forth in Secs. 234.249 through 234.271
are required at highway-rail grade crossings located on in-service
railroad tracks and shall be made to determine if the warning system
and its component parts are maintained in a condition to perform their
intended function. A railroad may elect not to comply with the
requirements of these sections if tracks over the grade crossing are
out of service or the railroad suspends operations during a portion of
the year, and the grade crossing warning system is also temporarily
taken out of service. A full inspection and all required tests must be
successfully completed before railroad operations over the grade
crossing resume.''
Sec. 234.259 (``Warning time'')
This section is being amended to provide that, in addition to
testing the warning system for the prescribed warning time every 12
months, the system be tested whenever it is modified because of a
change in train speeds. The preamble to the final rule noted that the
labor/management group ``state that it would be more appropriate to
test warning time once each year, or when the warning system is
modified in connection with changes in authorized train speeds.'' FRA
accepted this suggestion and extended the period between tests from
three months to one year but inadvertently omitted the requirement that
the system be tested whenever modified due to changes in authorized
train speeds. Although the preamble to the final rule indicated FRA's
intention to include this in the final rule, such language was not in
fact included. This section is being revised to correct that oversight.
Sec. 234.263 (``Relays'')
This section is being revised to add a new subsection ``c'' to
provide a phase-in period for the industry to test relays, which, as of
the effective date of the rule, had not been tested within the period
required by this section. As it has in done in appropriate
circumstances in the past, FRA is providing a ``phase-in'' period to
allow railroads to come into compliance with certain provisions of the
new rule. In situations such as this, when tests are required every
one, two, or four years, or in the case of insulation resistance tests
(Sec. 234.267), every ten years, FRA establishes a schedule by which a
railroad must be in full compliance with a new testing requirement. To
do otherwise would result in numerous violations immediately upon the
effective date of a new rule. Such a result would be unfair and would
not necessarily lead to improved safety. FRA is thus adding new
subsection ``c'' to provide that not less than 50% of relays requiring
testing on four year intervals shall be completed by the end of
calendar year 1996, not less than a total of 75% by the end of calendar
year 1997; and 100% by the end of calendar year 1998. New subsection
``d'' provides that testing of relays requiring testing on two year
intervals shall be completed by the end of calendar year 1996.
Sec. 234.265 (``Timing relays and timing devices'')
This section requires that each timing relay and timing device be
tested at least once every twelve months. It also requires that the
timing be maintained at not less than 90% nor more than 110% of the
predetermined time interval. The predetermined time interval must be
shown on the plans or marked on the timing relay or timing device.
This section is being revised to clarify that internal timing
devices associated with motion detectors, motion sensors, and grade
crossing predictors are not subject to the requirements of this
section.
Sec. 234.267 (``Insulation resistance tests, wires in trunking and
cables'')
The heading for this section was accurate in the preamble of the
final rule, but was incomplete in the actual body of the rule.
Accordingly, the heading is being amended to add ``wires in trunking
and cables'' to ``Insulation resistance tests.''
As it has done with relay testing (Sec. 234.263), FRA is providing
a ``phase-in'' period to allow railroads to come into compliance with
the testing provisions of this new requirement. FRA is thus adding new
section ``e'' to provide that not less than 50% of the required
insulation resistance testing shall be completed by the end of calendar
year 1996, not less than a total of 75% by the end of calendar year
1997; and 100% by the end of calendar year 1998.
[[Page 31806]]
Sec. 234.273 (``Results of tests'')
The language of this section is incomplete in that it excludes
``inspections'' from both the title and the body of the rule, despite
the clear understanding that Secs. 234.247 through 234.271 includes
both inspections and tests. The TRC recommended that the language in
this section be amended to more closely reflect the purpose of the
rule. Therefore, this section is being amended to include
``inspections'' together with ``tests.''
E.O. 12866 and DOT Regulatory Policies and Procedures
These amendments have been evaluated in accordance with existing
policies and procedures. Because these amendments are primarily
technically oriented and generally reduce the regulatory burden on
railroads, FRA has concluded that this revisions do not constitute a
significant rule under either Executive Order 12866 or DOT's regulatory
policies and procedures.
Regulatory Flexibility Act
The Regulatory Flexibility Act of 1980 (5 U.S.C. 601 et seq.)
requires a review of rules to assess their impact on small entities.
FRA certifies that this rule will not have a significant impact on a
substantial number of small entities. There are no substantial economic
impacts for small units of government, businesses, or other
organizations.
Paperwork Reduction Act
These amendments to Part 234 do not change any information
collection requirements.
Environmental Impact
FRA has evaluated these regulations in accordance with its
procedure for ensuring full consideration of the potential
environmental impacts of FRA actions, as required by the National
Environmental Policy Act and related directives.
Federalism Implications
This action has been analyzed in accordance with the principles and
criteria contained in Executive Order 12612, ``Federalism,'' and it has
been determined that these amendments to Part 234 do not have
federalism implications to warrant the preparation of a Federalism
Assessment.
Since a number of technical and clarifying changes are being made
to this part, the entire part is being republished as amended. In that
way interested parties do not need to wait for the next publication of
the yearly codification of the Code of Federal Regulations for a
complete current version of the rule.
List of Subjects in 49 CFR Part 234
Railroad safety, Highway-rail grade crossings.
The Rule
In consideration of the foregoing, 49 CFR part 234 is revised as
follows:
PART 234--GRADE CROSSING SIGNAL SYSTEM SAFETY [AMENDED]
Subpart A--General
Sec.
234.1 Scope.
234.3 Application.
234.4 Preemptive effect.
234.5 Definitions.
234.6 Penalties.
Subpart B--Reports
234.7 Accidents involving grade crossing signal failure.
234.9 Grade crossing signal failure reports.
Subpart C-- Response to Reports of Warning System Malfunction
234.101 Employee notification rules.
234.103 Timely response to report of malfunction.
234.105 Activation failure.
234.107 False activation.
234.109 Recordkeeping
Subpart D--Maintenance, Inspection, and Testing
Maintenance Standards
234.201 Location of plans.
234.203 Control circuits.
234.205 Operating characteristics of warning system apparatus.
234.207 Adjustment, repair, or replacement of component.
234.209 Interference with normal functioning of system.
234.211 Locking of warning system apparatus.
234.213 Grounds.
234.215 Standby power system.
234.217 Flashing light units.
234.219 Gate arm lights and light cable.
234.221 Lamp voltage.
234.223 Gate arm.
234.225 Activation of warning system.
234.227 Train detection apparatus.
234.229 Shunting sensitivity.
234.231 Fouling wires.
234.233 Rail joints.
234.235 Insulated rail joints.
234.237 Reverse switch cut-out circuit.
234.239 Tagging of wires and interference of wires or tags with
signal apparatus.
234.241 Protection of insulated wire; splice in underground wire.
234.243 Wire on pole line and aerial cable.
234.245 Signs.
Inspections and Tests
234.247 Purpose of inspections and tests; removal from service of
relay or device failing to meet test requirements.
234.249 Ground tests.
234.251 Standby power.
234.253 Flashing light units and lamp voltage.
234.255 Gate arm and gate mechanism.
234.257 Warning system operation.
234.259 Warning time.
234.261 Highway traffic signal pre-emption.
234.263 Relays.
234.265 Timing relays and timing devices.
234.267 Insulation resistance tests, wires in trunking and cables.
234.269 Cut-out circuits.
234.271 Insulated rail joints, bond wires, and track connections.
234.273 Results of tests.
Appendix A--Schedule of Civil Penalties.
Appendix B--Alternate Methods of Protection under 49 CFR 234.105(c),
234.106, and 234.107(c).
Authority: 49 U.S.C.20103, 20107, 20108, 20111, 20112, 20114,
21301, 21302, 21304, and 21311 (formerly Secs. 202, 208, and 209 of
the Federal Railroad Safety Act of 1970, as amended (45 U.S.C. 431,
437, and 438, as amended)); 49 U.S.C.20901 and 20102 (formerly the
Accident Reports Act); 45 U.S.C. 38 and 42; and 49 CFR 1.49(f), (g),
and (m).
Subpart A--General
Sec. 234.1 Scope.
This part imposes minimum maintenance, inspection, and testing
standards for highway-rail grade crossing warning systems. This part
also prescribes standards for the reporting of failures of such systems
and prescribes minimum actions railroads must take when such warning
systems malfunction. This part does not restrict a railroad from
adopting and enforcing additional or more stringent requirements not
inconsistent with this part.
Sec. 234.3 Application.
This part applies to all railroads except:
(a) A railroad that exclusively operates freight trains only on
track which is not part of the general railroad system of
transportation;
(b) Rapid transit operations within an urban area that are not
connected to the general railroad system of transportation; and
(c) A railroad that operates passenger trains only on track inside
an installation that is insular; i.e., its operations are limited to a
separate enclave in such a way that there is no reasonable expectation
that the safety of the public--except a business guest, a licensee of
the railroad or an affiliated entity, or a trespasser--would be
affected by the operation. An operation will not be considered insular
if one or more of the following exists on its line:
(1) A public highway-rail crossing that is in use;
(2) An at-grade rail crossing that is in use;
[[Page 31807]]
(3) A bridge over a public road or waters used for commercial
navigation; or
(4) A common corridor with a railroad, i.e., its operations are
within 30 feet of those of any railroad.
Sec. 234.4 Preemptive effect.
Under 49 U.S.C. 20106 (formerly Sec. 205 of the Federal Railroad
Safety Act of 1970 (45 U.S.C. 434)), issuance of these regulations
preempts any State law, rule, regulation, order, or standard covering
the same subject matter, except a provision directed at an essentially
local safety hazard that is consistent with this part and that does not
impose an undue burden on interstate commerce.
Sec. 234.5 Definitions.
As used in this part:
``Activation failure'' means the failure of an active highway-rail
grade crossing warning system to indicate the approach of a train at
least 20 seconds prior to the train's arrival at the crossing, or to
indicate the presence of a train occupying the crossing, unless the
crossing is provided with an alternative means of active warning to
highway users of approaching trains. (This failure indicates to the
motorist that it is safe to proceed across the railroad tracks when, in
fact, it is not safe to do so.) A grade crossing signal system does not
indicate the approach of a train within the meaning of this paragraph
if--more than 50% of the flashing lights (not gate arm lights) on any
approach lane to the crossing are not functioning as intended, or in
the case of an approach lane for which two or more pairs of flashing
lights are provided, there is not at least one flashing light pair
operating as intended. Back lights on the far side of the crossing are
not considered in making these determinations.
``Appropriately equipped flagger'' means a person other than a
train crewmember who is equipped with a vest, shirt, or jacket of a
color appropriate for daytime flagging such as orange, yellow, strong
yellow green or fluorescent versions of these colors or other generally
accepted high visibility colors. For nighttime flagging, similar
outside garments shall be retro reflective. Acceptable hand signal
devices for daytime flagging include `` STOP/SLOW'' paddles or red
flags. For nighttime flagging, a flashlight, lantern, or other lighted
signal shall be used. Inasmuch as Part VI of the Federal Highway
Administration's Manual on Uniform Traffic Control Devices addresses
standards and guides for flaggers and flagging equipment for highway
traffic control, FRA recommends that railroads be aware of the
standards and follow them to the greatest extent possible. Copies of
the latest MUTCD provisions regarding flagging will be available from
FRA, as well as FHWA, as changes are made in this area.
``Credible report of system malfunction'' means specific
information regarding a malfunction at an identified highway-rail
crossing, supplied by a railroad employee, law enforcement officer,
highway traffic official, or other employee of a public agency acting
in an official capacity.
``False activation'' means the activation of a highway-rail grade
crossing warning system caused by a condition that requires correction
or repair of the grade crossing warning system. (This failure indicates
to the motorist that it is not safe to cross the railroad tracks when,
in fact, it is safe to do so.)
``Highway-rail grade crossing'' means a location where a public
highway, road, street, or private roadway, including associated
sidewalks and pathways, crosses one or more railroad tracks at grade.
``Partial activation'' means activation of a highway-rail grade
crossing warning system indicating the approach of a train, however,
the full intended warning is not provided due to one of the following
conditions:
(1) at non-gated crossings equipped with one pair of lights
designed to flash alternately, one of the two lights does not operate
properly (and approaching motorists can not clearly see flashing back
lights from the warning lights on the other side of the crossing);
(2) at gated crossings, the gate arm is not in a horizontal
position; or
(3) at gated crossings, any portion of a gate arm is missing if
that portion normally had a gate arm flashing light attached.
``Train'' means one or more locomotives, with or without cars.
``Warning system malfunction'' means an activation failure, a
partial activation, or a false activation of a highway-rail grade
crossing warning system.
Sec. 234.6 Penalties.
(a) Civil penalty. Any person (including but not limited to a
railroad; any manager, supervisor, official, or other employee or agent
of a railroad; any owner, manufacturer, lessor, or lessee of railroad
equipment, track, or facilities; any employee of such owner,
manufacturer, lessor, lessee, or independent contractor) who violates
any requirement of this part or causes the violation of any such
requirement is subject to a civil penalty of at least $500, but not
more than $10,000 per violation, except that: penalties may be assessed
against individuals only for willful violations, and where a grossly
negligent violation or a pattern of repeated violations has created an
imminent hazard of death or injury to persons, or has caused death or
injury, a penalty not to exceed $20,000 per violation may be assessed.
Each day a violation continues shall constitute a separate offense.
Appendix A to this part contains a schedule of civil penalty amounts
used in connection with this rule. The railroad is not responsible for
compliance with respect to any condition inconsistent with the
technical standards set forth in this part where such variance arises
as a result of actions beyond the control of the railroad and the
railroad could not have prevented the variance through the exercise of
due diligence. The foregoing sentence does not excuse any instance of
noncompliance resulting from the actions of the railroad's employees,
agents, or contractors.
(b) Criminal penalty. Whoever knowingly and willfully makes, causes
to be made, or participates in the making of a false entry in reports
required to be filed by this part, or files a false report or other
document required to be filed by this part is subject to a $5,000 fine
and 2 years imprisonment as prescribed by 49 U.S.C. 522(a) and section
209(e) of the Federal Railroad Safety Act of 1970, as amended (45
U.S.C. 438(e)).
Subpart B--Reports
Sec. 234.7 Accidents involving grade crossing signal failure.
(a) Each railroad shall report to FRA every impact between on-track
railroad equipment and an automobile, bus, truck, motorcycle, bicycle,
farm vehicle, or pedestrian at a highway-rail grade crossing involving
an activation failure. Notification shall be provided to the National
Response Center within 24 hours of occurrence at (800) 424-0201.
Complete reports shall thereafter be filed with FRA pursuant to
Sec. 234.9 of this part (activation failure report) and 49 CFR 225.11
(accident/ incident report).
(b) Each telephone report must state the:
(1) Name of the railroad;
(2) Name, title, and telephone number of the individual making the
report;
(3) Time, date, and location of accident;
(4) U. S. DOT-AAR Grade Crossing Identification Number;
[[Page 31808]]
(5) Circumstances of the accident, including operating details of
the grade crossing warning device;
(6) Number of persons killed or injured, if any;
(7) Maximum authorized train speed; and
(8) Posted highway speed limit, if known.
Sec. 234.9 Grade crossing signal system failure reports.
Each railroad shall report to FRA within 15 days each activation
failure of a highway-rail grade crossing warning system. FRA Form No.
6180-83, ``Highway-Rail Grade Crossing Warning System Failure Report,''
shall be used for this purpose and completed in accordance with
instructions printed on the form.
Subpart C--Response to Reports of Warning System Malfunction
Sec. 234.101 Employee notification rules.
Each railroad shall issue rules requiring its employees to report
to persons designated by that railroad, by the quickest means
available, any warning system malfunction.
Sec. 234.103 Timely response to report of malfunction.
(a) Upon receipt of a credible report of a warning system
malfunction, a railroad having maintenance responsibility for the
warning system shall promptly investigate the report and determine the
nature of the malfunction. The railroad shall take appropriate action
as required by Sec. 234.207.
(b) Until repair or correction of the warning system is completed,
the railroad shall provide alternative means of warning highway traffic
and railroad employees in accordance with Secs. 234.105, 234.106 or
234.107 of this part.
(c) Nothing in this subpart requires repair of a warning system,
if, acting in accordance with applicable State law, the railroad
proceeds to discontinue or dismantle the warning system. However, until
repair, correction, discontinuance, or dismantling of the warning
system is completed, the railroad shall comply with this subpart to
ensure the safety of the traveling public and railroad employees.
Sec. 234.105 Activation failure.
Upon receipt of a credible report of warning system malfunction
involving an activation failure, a railroad having maintenance
responsibility for the warning system shall promptly initiate efforts
to warn highway users and railroad employees at the subject crossing by
taking the following actions:
(a) Prior to any train's arrival at the crossing, notify the train
crew of the report of activation failure and notify any other railroads
operating over the crossing;
(b) Notify the law enforcement agency having jurisdiction over the
crossing, or railroad police capable of responding and controlling
vehicular traffic; and
(c) Provide for alternative means of actively warning highway users
of approaching trains, consistent with the following requirements (see
Appendix B for a summary chart of alternative means of warning):
(1)(i) If an appropriately equipped flagger provides warning for
each direction of highway traffic, trains may proceed through the
crossing at normal speed.
(ii) If at least one uniformed law enforcement officer (including a
railroad police officer) provides warning to highway traffic at the
crossing, trains may proceed through the crossing at normal speed.
(2) If an appropriately equipped flagger provides warning for
highway traffic, but there is not at least one flagger providing
warning for each direction of highway traffic, trains may proceed with
caution through the crossing at a speed not exceeding 15 miles per
hour. Normal speed may be resumed after the locomotive has passed
through the crossing.
(3) If there is not an appropriately equipped flagger or uniformed
law enforcement officer providing warning to highway traffic at the
crossing, each train must stop before entering the crossing and permit
a crewmember to dismount to flag highway traffic to a stop. The
locomotive may then proceed through the crossing, and the flagging
crewmember may reboard the locomotive before the remainder of the train
proceeds through the crossing.
(d) A locomotive's audible warning device shall be activated in
accordance with railroad rules regarding the approach to a grade
crossing.
Sec. 234.106 Partial activation.
Upon receipt of a credible report of a partial activation, a
railroad having maintenance responsibility for the warning system shall
promptly initiate efforts to warn highway users and railroad employees
at the subject crossing in the same manner as required for false
activations (Sec. 234.107).
Sec. 234.107 False activation.
Upon receipt of a credible report of a false activation, a railroad
having maintenance responsibility for the highway-rail grade crossing
warning system shall promptly initiate efforts to warn highway users
and railroad employees at the crossing by taking the following actions:
(a) Prior to a train's arrival at the crossing, notify the train
crew of the report of false activation and notify any other railroads
operating over the crossing;
(b) Notify the law enforcement agency having jurisdiction over the
crossing, or railroad police capable of responding and controlling
vehicular traffic; and
(c) Provide for alternative means of actively warning highway users
of approaching trains, consistent with the following requirements (see
Appendix B for a summary chart of alternative means of warning).
(1)(i) If an appropriately equipped flagger is providing warning
for each direction of highway traffic, trains may proceed through the
crossing at normal speed.
(ii) If at least one uniformed law enforcement officer (including a
railroad police officer) provides warning to highway traffic at the
crossing, trains may proceed through the crossing at normal speed.
(2) If there is not an appropriately equipped flagger providing
warning for each direction of highway traffic, or if there is not at
least one uniformed law enforcement officer providing warning, trains
with the locomotive or cab car leading, may proceed with caution
through the crossing at a speed not exceeding 15 miles per hour. Normal
speed may be resumed after the locomotive has passed through the
crossing. In the case of a shoving move, a crewmember shall be on the
ground to flag the train through the crossing.
(3) In lieu of complying with paragraphs (c) (1) or (2) of this
section, a railroad may temporarily take the warning system out of
service if the railroad complies with all requirements of Sec. 234.105,
``Activation failure.''
(d) A locomotive's audible warning device shall be activated in
accordance with railroad rules regarding the approach to a grade
crossing.
Sec. 234.109 Recordkeeping.
(a) Each railroad shall keep records pertaining to compliance with
this subpart. Records may be kept on forms provided by the railroad or
by electronic means. Each railroad shall keep the following information
for each credible report of warning system malfunction:
(1) Location of crossing (by highway name and DOT/AAR Crossing
Inventory Number);
(2) Time and date of receipt by railroad of report of malfunction;
[[Page 31809]]
(3) Actions taken by railroad prior to repair and reactivation of
repaired system; and
(4) Time and date of repair.
(b) Each railroad shall retain for at least one year (from the
latest date of railroad activity in response to a credible report of
malfunction) all records referred to in paragraph (a) of this section.
Records required to be kept shall be made available to FRA as provided
by 49 U.S.C. 20107 (formerly 208 of the Federal Railroad Safety Act of
1970 (45 U.S.C. 437)).
Subpart D--Maintenance, Inspection, and Testing
Maintenance Standards
Sec. 234.201 Location of plans.
Plans required for proper maintenance and testing shall be kept at
each highway-rail grade crossing warning system location. Plans shall
be legible and correct.
Sec. 234.203 Control circuits.
All control circuits that affect the safe operation of a highway-
rail grade crossing warning system shall operate on the fail-safe
principle.
Sec. 234.205 Operating characteristics of warning system apparatus.
Operating characteristics of electromagnetic, electronic, or
electrical apparatus of each highway-rail crossing warning system shall
be maintained in accordance with the limits within which the system is
designed to operate.
Sec. 234.207 Adjustment, repair, or replacement of component.
(a) When any essential component of a highway-rail grade crossing
warning system fails to perform its intended function, the cause shall
be determined and the faulty component adjusted, repaired, or replaced
without undue delay.
(b) Until repair of an essential component is completed, a railroad
shall take appropriate action under Sec. 234.105, Activation failure,
Sec. 234.106, Partial activation, or Sec. 234.107, False activation, of
this part.
Sec. 234.209 Interference with normal functioning of system.
(a) The normal functioning of any system shall not be interfered
with in testing or otherwise without first taking measures to provide
for safety of highway traffic that depends on normal functioning of
such system.
(b) Interference includes, but is not limited to:
(1) Trains, locomotives or other railroad equipment standing within
the system's approach circuit, other than normal train movements or
switching operations, where the warning system is not designed to
accommodate those activities.
(2) Not providing alternative methods of maintaining safety for the
highway user while testing or performing work on the warning systems or
on track and other railroad systems or structures which may affect the
integrity of the warning system.
Sec. 234.211 Security of warning system apparatus.
Highway-rail grade crossing warning system apparatus shall be
secured against unauthorized entry.
Sec. 234.213 Grounds.
Each circuit that affects the proper functioning of a highway-rail
grade crossing warning system shall be kept free of any ground or
combination of grounds that will permit a current flow of 75 percent or
more of the release value of any relay or electromagnetic device in the
circuit. This requirement does not apply to: circuits that include
track rail; alternating current power distribution circuits that are
grounded in the interest of safety; and common return wires of grounded
common return single break circuits.
Sec. 234.215 Standby power system.
A standby source of power shall be provided with sufficient
capacity to operate the warning system for a reasonable length of time
during a period of primary power interruption. The designated capacity
shall be specified on the aplans required by Sec. 234.201 of this part.
Sec. 234.217 Flashing light units.
(a) Each flashing light unit shall be properly positioned and
aligned and shall be visible to a highway user approaching the
crossing.
(b) Each flashing light unit shall be maintained to prevent dust
and moisture from entering the interior of the unit. Roundels and
reflectors shall be clean and in good condition.
(c) All light units shall flash alternately. The number of flashes
per minute for each light unit shall be 35 minimum and 65 maximum.
Sec. 234.219 Gate arm lights and light cable.
Each gate arm light shall be maintained in such condition to be
properly visible to approaching highway users. Lights and light wire
shall be secured to the gate arm.
Sec. 234.221 Lamp voltage.
The voltage at each lamp shall be maintained at not less than 85
percent of the prescribed rating for the lamp.
Sec. 234.223 Gate arm.
Each gate arm, when in the downward position, shall extend across
each lane of approaching highway traffic and shall be maintained in a
condition sufficient to be clearly viewed by approaching highway users.
Each gate arm shall start its downward motion not less than three
seconds after flashing lights begin to operate and shall assume the
horizontal position at least five seconds before the arrival of any
normal train movement through the crossing. At those crossings equipped
with four quadrant gates, the timing requirements of this section apply
to entrance gates only.
Sec. 234.225 Activation of warning system.
A highway-rail grade crossing warning system shall be maintained to
activate in accordance with the design of the warning system, but in no
event shall it provide less than 20 seconds warning time for the normal
operation of through trains before the grade crossing is occupied by
rail traffic.
Sec. 234.227 Train detection apparatus.
(a) Train detection apparatus shall be maintained to detect a train
or railcar in any part of a train detection circuit, in accordance with
the design of the warning system.
(b) If the presence of sand, rust, dirt, grease, or other foreign
matter is known to prevent effective shunting, a railroad shall take
appropriate action under Sec. 234.105, ``Activation failure,'' to
safeguard highway users.
Sec. 234.229 Shunting sensitivity.
Each highway-rail grade crossing train detection circuit shall
detect the application of a shunt of 0.06 ohm resistance when the shunt
is connected across the track rails of any part of the circuit.
Sec. 234.231 Fouling wires.
Each set of fouling wires in a highway-rail grade crossing train
detection circuit shall consist of at least two discrete conductors.
Each conductor shall be of sufficient conductivity and shall be
maintained in such condition to ensure proper operation of the train
detection apparatus when the train detection circuit is shunted.
Installation of a single duplex wire with single plug acting as fouling
wires is prohibited. Existing installations having single duplex wires
with a single plug for fouling wires may be continued in use until they
require repair or replacement.
Sec. 234.233 Rail joints.
Each non-insulated rail joint located within the limits of a
highway-rail grade crossing train detection circuit shall be
[[Page 31810]]
bonded by means other than joint bars and the bonds shall be maintained
in such condition to ensure electrical conductivity.
Sec. 234.235 Insulated rail joints.
Each insulated rail joint used to separate train detection circuits
of a highway-rail grade crossing shall be maintained to prevent current
from flowing between rails separated by the insulation in an amount
sufficient to cause a failure of the train detection circuit.
Sec. 234.237 Reverse switch cut-out circuit.
A switch, when equipped with a switch circuit controller connected
to the point and interconnected with warning system circuitry, shall be
maintained so that the warning system can only be cut out when the
switch point is within one-half inch of full reverse position.
Sec. 234.239 Tagging of wires and interference of wires or tags with
signal apparatus.
Each wire shall be tagged or otherwise so marked that it can be
identified at each terminal. Tags and other marks of identification
shall be made of insulating material and so arranged that tags and
wires do not interfere with moving parts of the apparatus. This
requirement applies to each wire at each terminal in all housings
including switch circuit controllers and terminal or junction boxes.
This requirement does not apply to flashing light units, gate arm light
units and other auxiliary light units. The local wiring on a solid
state crossing controller rack does not require tags if the wiring is
an integral part of the solid state equipment.
Sec. 234.241 Protection of insulated wire; splice in underground wire.
Insulated wire shall be protected from mechanical injury. The
insulation shall not be punctured for test purposes. A splice in
underground wire shall have insulation resistance at least equal to
that of the wire spliced.
Sec. 234.243 Wire on pole line and aerial cable.
Wire on a pole line shall be securely attached to an insulator that
is properly fastened to a cross arm or bracket supported by a pole or
other support. Wire shall not interfere with, or be interfered with by,
other wires on the pole line. Aerial cable shall be supported by
messenger wire. An open-wire transmission line operating at voltage of
750 volts or more shall be placed not less than 4 feet above the
nearest cross arm carrying active warning system circuits.
Sec. 234.245 Signs.
Each sign mounted on a highway-rail grade crossing signal post
shall be maintained in good condition and be visible to the highway
user.
Inspections and Tests
Sec. 234.247 Purpose of inspections and tests; removal from service of
relay or device failing to meet test requirements.
(a) The inspections and tests set forth in Secs. 234.249 through
234.271 are required at highway-rail grade crossings located on in
service railroad tracks and shall be made to determine if the warning
system and its component parts are maintained in a condition to perform
their intended function.
(b) If a railroad elects not to comply with the requirements of
these sections because all tracks over the grade crossing are out of
service or the railroad suspends operations during a portion of the
year, or the railroad suspends operations during a portion of the year,
and the grade crossing warning system is also temporarily taken out of
service a full inspection and all required tests must be successfully
completed before railroad operations over the grade crossing resume.
(c) Any electronic device, relay, or other electromagnetic device
that fails to meet the requirements of tests required by this part
shall be removed from service and shall not be restored to service
until its operating characteristics are in accordance with the limits
within which such device or relay is designed to operate.
Sec. 234.249 Ground tests.
A test for grounds on each energy bus furnishing power to circuits
that affect the safety of warning system operation shall be made when
such energy bus is placed in service and at least once each month
thereafter.
Sec. 234.251 Standby power.
Standby power shall be tested at least once each month.
Sec. 234.253 Flashing light units and lamp voltage.
(a) Each flashing light unit shall be inspected when installed and
at least once every twelve months for proper alignment and frequency of
flashes in accordance with installation specifications.
(b) Lamp voltage shall be tested when installed and at least once
every 12 months thereafter.
(c) Each flashing light unit shall be inspected for proper
visibility, dirt and damage to roundels and reflectors at least once
each month.
Sec. 234.255 Gate arm and gate mechanism.
(a) Each gate arm and gate mechanism shall be inspected at least
once each month.
(b) Gate arm movement shall be observed for proper operation at
least once each month.
(c) Hold-clear devices shall be tested for proper operation at
least once every 12 months.
Sec. 234.257 Warning system operation.
(a) Each highway-rail crossing warning system shall be tested to
determine that it functions as intended when it is placed in service.
Thereafter, it shall be tested at least once each month and whenever
modified or disarranged.
(b) Warning bells or other stationary audible warning devices shall
be tested when installed to determine that they function as intended.
Thereafter, they shall be tested at least once each month and whenever
modified or disarranged.
Sec. 234.259 Warning time.
Each crossing warning system shall be tested for the prescribed
warning time at least once every 12 months and when the warning system
is modified because of a change in train speeds. Electronic devices
that accurately determine actual warning time may be used in performing
such tests.
Sec. 234.261 Highway traffic signal pre-emption.
Highway traffic signal pre-emption interconnections, for which a
railroad has maintenance responsibility, shall be tested at least once
each month.
Sec. 234.263 Relays.
(a) Except as stated in paragraph (b) of this section, each relay
that affects the proper functioning of a crossing warning system shall
be tested at least once every four years.
(b)(1) Alternating current vane type relays, direct current polar
type relays, and relays with soft iron magnetic structure shall be
tested at least once every two years.
(2) Alternating current centrifugal type relays shall be tested at
least once every 12 months.
(c) Testing of relays requiring testing on four year intervals
shall be completed in accordance with the following schedule:
(1) Not less than 50% by the end of calendar year 1996;
(2) Not less than a total of 75% by the end of calendar year 1997;
and
(3) One hundred percent by the end of calendar year 1998.
(d) Testing of relays requiring testing on two year intervals shall
be completed by the end of calendar year 1996.
[[Page 31811]]
Sec. 234.265 Timing relays and timing devices.
Each timing relay and timing device shall be tested at least once
every twelve months. The timing shall be maintained at not less than 90
percent nor more than 110 percent of the 41 predetermined time
interval. The predetermined time interval shall be shown on the plans
or marked on the timing relay or timing device. Timing devices which
perform internal functions associated with motion detectors, motion
sensors, and grade crossing predictors are not subject to the
requirements of this section.
Sec. 234.267 Insulation resistance tests, wires in trunking and
cables.
(a) Insulation resistance tests shall be made when wires or cables
are installed and at least once every ten years thereafter.
(b) Insulation resistance tests shall be made between all
conductors and ground, between conductors in each multiple conductor
cable, and between conductors in trunking. Insulation resistance tests
shall be performed when wires, cables, and insulation are dry.
(c) Subject to paragraph (d) of this section, when insulation
resistance of wire or cable is found to be less than 500,000 ohms,
prompt action shall be taken to repair or replace the defective wire or
cable. Until such defective wire or cable is replaced, insulation
resistance tests shall be made annually.
(d) A circuit with a conductor having an insulation resistance of
less than 200,000 ohms shall not be used.
(e) Required insulation resistance testing that does not conform to
the required testing schedule of this section shall be completed in
accordance with the following schedule:
(1) Not less than 50% by the end of calendar year 1996;
(2) Not less than a total of 75% by the end of calendar year 1997;
and
(3) One hundred percent by the end of calendar year 1998.
Sec. 234.269 Cut-out circuits.
Each cut-out circuit shall be tested at least once every three
months to determine that the circuit functions as intended. For
purposes of this section, a cut-out circuit is any circuit which
overrides the operation of automatic warning systems. This includes
both switch cut-out circuits and devices which enable personnel to
manually override the operation of automatic warning systems.
Sec. 234.271 Insulated rail joints, bond wires, and track connections.
Insulated rail joints, bond wires, and track connections shall be
inspected at least once every three months.
Sec. 234.273 Results of inspections and tests.
(a) Results of inspections and tests made in compliance with this
part shall be recorded on forms provided by the railroad, or by
electronic means, subject to approval by the Associate Administrator
for Safety. Each record shall show the name of the railroad, AAR/DOT
inventory number, place and date, equipment tested, results of tests,
repairs, replacements, adjustments made, and condition in which the
apparatus was left.
(b) Each record shall be signed or electronically coded by the
employee making the test and shall be filed in the office of a
supervisory official having jurisdiction. Records required to be kept
shall be made available to FRA as provided by 49 U.S.C. 20107 (formerly
Sec. 208 of the Federal Railroad Safety Act of 1970 (45 U.S.C. 437)).
(c) Each record shall be retained until the next record for that
test is filed but in no case for less than one year from the date of
the test.
Appendix A to Part 234.--Schedule of Civil Penalties \1\
------------------------------------------------------------------------
Willful
Section Violation violation
------------------------------------------------------------------------
Subpart B--Reports
234.7 Accidents involving grade crossing
signal failure............................... $5,000 $7,500
234.9 Grade crossing signal system failure
reports...................................... 2,500 5,000
Subpart C--Response to Reports of Warning
System Malfunction
Sec.
234.101 Employee notification rules.......... 2,500 5,000
234.103 Timely response to report of
malfunction.................................. 2,500 5,000
234.105 Activation failure
(a) Failure to notify--train crews.... 5,000 7,500
Other railroads................... 5,000 7,500
(b) Failure to notify law enforcement
agency............................... 2,500 5,000
(c) Failure to comply with--flagging
requirements......................... 5,000 5,000
Speed restrictions................ 5,000 7,500
(d) Failure to activate horn or
whistle.............................. 5,000 7,500
234.106 Partial activation
(a) Failure to notify--train crews.... 5,000 7,500
Other railroads................... 5,000 7,500
(b) Failure to notify law enforcement
agency............................... 2,500 5,000
(c) Failure to comply with--flagging
requirements speed restrictions...... 5,000 7,500
(d) Failure to activate horn or
whistle.............................. 5,000 7,500
234.107 False activation
(a) Failure to notify--train crews.... 5,000 7,500
Other railroads................... 5,000 7,500
(b) Failure to notify law enforcement
agency............................... 2,500 5,000
(c) Failure to comply with--flagging
requirements......................... 5,000 7,500
Speed restrictions................ 5,000 7,500
(d) Failure to activate horn or
whistle.............................. 5,000 7,500
234.109 Recordkeeping.................... 1,000 2,000
Subpart D--Maintenance, Inspection, and
Testing
Maintenance Standards:
234.201 Location of plans................ 1,000 2,000
234.203 Control circuits................. 1,000 2,000
234.205 Operating characteristics of
warning system apparatus................. 2,500 5,000
[[Page 31812]]
234.207 Adjustment, repair, or
replacement of component................. 2,500 5,000
234.209 Interference with normal
functioning of system.................... 5,000 7,500
234.211 Locking of warning system
apparatus................................ 1,000 2,000
234.213 Grounds.......................... 1,000 2,000
234.215 Standby power system............. 5,000 7,500
234.217 Flashing light units............. 1,000 2,000
234.219 Gate arm lights and light cable.. 1,000 2,000
234.221 Lamp voltage..................... 1,000 2,000
234.223 Gate arm......................... 1,000 2,000
234.225 Activation of warning system..... 5,000 7,500
234.227 Train detection apparatus........ 2,500 5,000
234.229 Shunting sensitivity............. 2,500 5,000
234.231 Fouling wires.................... 1,000 2,000
234.233 Rail joints...................... 1,000 2,000
234.235 Insulated rail joints............ 1,000 2,000
234.237 Switch equipped with circuit
controller............................... 1,000 2,000
234.239 Tagging of wires and interference
of wires or tags with signal apparatus... 1,000 2,000
234.241 Protection of insulated wire;
splice in underground wire............... 1,000 2,000
234.243 Wire on pole line and aerial
cable.................................... 1,000 2,000
234.245 Signs............................ 1,000 2,000
Inspections and Tests:
234.247 Purpose of inspections and tests;
removal from service of relay or device
failing to meet test requirements........ 2,500 5,000
234.249 Ground tests..................... 2,500 5,000
234.251 Standby power.................... 5,000 7,500
234.253 Flashing light units and lamp
voltage.................................. 1,000 2,000
234.255 Gate arm and gate mechanism...... 1,000 2,000
234.257 Warning system operation......... 2,500 5,000
234.259 Warning time..................... 1,000 2,000
234.261 Highway traffic signal pre-
emption.................................. 1,000 2,000
234.263 Relays........................... 1,000 2,000
234.265 Timing relays and timing devices. 1,000 2,000
234.267 Insulation resistance tests,
wires in trunking and cables............. 2,500 5,000
234.269 Cut-out circuits................. 1,000 2,000
234.271 Insulated rail joints, bond
wires, and track connections............. 2,500 5,000
234.273 Results of tests................. 1,000 2,000
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\1\ A penalty may be assessed against an individual only for a willful
violation. The Administrator reserves the right to assess a penalty of
up to $20,000 for any violation where circumstances warrant. See 49
CFR Part 209, Appendix A.
Appendix B to Part 234.--Alternate Methods of Protection Under 49 CFR 234.105(c), 234.106, and 234.107(c)
[This is a summary--see body of text for complete requirements]
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Flagger present, but not
Flagger for each direction of Police officer present one for each direction of No flagger/no police
traffic traffic
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False Activation.................. Normal Speed.................. Normal Speed.................. Proceed with caution-- Proceed with caution--
maximum speed of 15 mph. maximum speed of 15 mph.
Partial Activation*............... Normal Speed.................. Normal Speed.................. Proceed with caution-- Proceed with caution--
maximum speed of 15 mph. maximum speed of 15 mph.
Activation Failure**.............. Normal Speed.................. Normal Speed.................. Proceed with caution-- Stop: Crewmember flag
maximum speed of 15 mph. traffic and reboard.
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*Partial activiation--full warning not given.
Non-gated crossing with one pair of lights designed to flash alternatively, one light does not work (and back-lights from other side not visible).
Gated crossing--gate arm not horizontal; or any portion of a gate arm is missing if that portion had held a gate arm flashing light.
**Activitation failure includes--if more than 50% of the flashing lights on any approach lane not functioning; or if an approach lane has two or more
pairs of flashing lights, there is not at least one pair operating as intended.
Issued in Washington, D.C. on May 30, 1996.
Donald M. Itzkoff,
Deputy Administrator.
[FR Doc. 96-15299 Filed 6-19-96; 8:45 am]
BILLING CODE 4910-06-M