Grade Crossing Signal System Safety

Federal RegisterJun 20, 1996

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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

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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.

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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

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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

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.

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

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

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.

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.

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.

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.

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.

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.

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)).

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

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

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

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

This is a copy of a public record, reproduced as it was published. It is not legal advice, and it may not be the version a court would rely on. Check the official source before you cite it.