[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 
------------------------------------------------------------------------
\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]                                            
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                                                     Flagger present, but not                           
                                     Flagger for each direction of      Police officer present      one for each direction of     No flagger/no police  
                                                traffic                                                      traffic                                    
--------------------------------------------------------------------------------------------------------------------------------------------------------
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.    
--------------------------------------------------------------------------------------------------------------------------------------------------------
*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