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49 CFR Part 234 GRADE CROSSING SAFETY

HGC – 3

Subpart C

 Warning System Malfunction at

Highway-Rail Grade Crossings

Learning Objectives
        - Understand that this regulation require railroads to issue rules and respond to Highway/Railroad Crossing Warning System malfunctions.
        - Understand that railroads are require to maintain records of reported malfunctions at Highway/Rairoad Crossing Warning Systems.

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The purpose of an ABS system is to provide limited or full protection to a train from opposing trains and allow for protection from following trains.  To accomplish this purpose the system must be designed and maintained to the standard outlined in Subpart B.

CAUTION

The following presentation was developed to provide general information only. For detailed compliance information please refer to 49 CFR 234 – Grade Crossing Safety, Including Signal Systems, State Action Plans, and Emergency Notification Systems.  It is recommended that each employee refer to appropriate manuals and regulations when dealing with any specific issue.

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When in doubt, go to the book!

Information

The FRA Grade Crossing Safety Standards are considered to be the minimum standard allowed for the installation, inspection, maintenance, and repair of highway/railroad grade crossing warning systems, devices, and appliances.  Each railroad may adopt more stringent standards. Refer to your railroad’s signal standard and instruction manual for further guidance.

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49 CFR 234 – Subpart C
        - Railroad to issue rules to employees
        - Respond to malfunction in a timely manner.
        - Defines activation failure.
        - Defines partial activation failure.
        - Defines faults activation
        - Outlines recordkeeping requirements.

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          - Railroad to issue rules to employees to report malfunctions.
          - Requires railroads to respond to malfunction in a timely manner.
          - Defines activation failure.
          - Defines partial activation failure.
          - Defines faults activation
          - Outlines recordkeeping requirements.

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This section requires that each railroad issue rules requiring that its employees report malfunctions of highway-rail grade crossing warning systems to a designated railroad employee or employees, and that such reports shall be made by the quickest means of communications available.

§ 234.101Employee notification rules.

This section requires that each railroad issue rules requiring that its employees report malfunctions of highway-rail grade crossing warning systems to a designated railroad employee or employees, and that such reports shall be made by the quickest means of communications available.

The intent of this section is that each railroad issue to its employees rules that require its employees to report by the quickest means available, any activation failure, partial activation or false activation of a highway-rail grade crossing warning system.  The railroad must designate a person or persons to whom all such reports must be made.  The railroad may do so by inserting the information in their timetable, special instructions, general orders, etc.

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Application

The intent of this section is that each railroad issue to its employees rules that require its employees to report by the quickest means available, any activation failure, partial activation or false activation of a highway-rail grade crossing warning system.  The railroad must designate a person or persons to whom all such reports must be made.  The railroad may do so by inserting the information in their timetable, special instructions, general orders, etc.	

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Example General Order
| Rule 101.1All ABC Railroad Co. employees are required to report any highway-rail grade crossing warning system malfunction as soon as possible and by the quickest means available.  The report must be made directly to (the railroad’s designated person, e.g. dispatcher, control desk, etc.).   |
|-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|

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234.103Timely response to report of malfunction

This section requires that once a credible report of a malfunction of a highway-rail grade crossing warning system has been received, the railroad having maintenance responsibility for the warning system shall promptly investigate the report.  Further, if such malfunction is found to be caused by a faulty component, such component shall be adjusted, repaired, or replaced without undue delay, as required by Section 234.207.

This section requires that once a credible report of a malfunction of a highway-rail grade crossing warning system has been received, the railroad having maintenance responsibility for the warning system shall promptly investigate the report.  

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At crossings where it has been determined that the warning system is not functioning as intended, Section 234.207's requirement for adjustment, repair, or replacement without undue delay applies.

234.103Timely response to report of malfunction

Further, if such malfunction is found to be caused by a faulty component, such component shall be adjusted, repaired, or replaced without undue delay, as required by Section 234.207.

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A credible report of a highway-rail grade crossing warning system malfunction is defined in Section 234.5 as a report from a railroad employee, law enforcement officer, highway traffic official, or 

other employee 

of a public agency 

acting in an official 

capacity.

234.103Timely response to report of malfunction

A credible report of a highway-rail grade crossing warning system malfunction is defined in Section 234.5 as a report from a railroad employee, law enforcement officer, highway traffic official, or other employee of a public agency acting in an official capacity.  A warning system malfunction is defined in Section 234.5 as an activation failure, a partial activation, or a false activation of a highway-rail grade crossing warning system.

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This section also requires that the railroad provide alternative means of warning highway traffic and railroad employees in accordance with Sections 234.105, 234.106 or 234.107, until such malfunction has been investigated and repair or correction of the warning system is completed, or the system is discontinued or dismantled.

234.103Timely response to report of malfunction

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This section specifies that nothing in these regulations forces a railroad to continually repair a warning system that, under state law, may be retired.  However, a railroad must still comply with this Subpart during retirement proceedings.  This section requires that until repair, correction, discontinuance, or dismantling of the system is completed, the railroad must comply with this part.

234.103Timely response to report of malfunction

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234.105Activation failure

This section requires that a railroad having maintenance responsibility for a warning system take prompt action to provide alternative means of warning highway users and railroad employees at a specific crossing where a credible report of a system malfunction involving an activation failure has been received.  This section further requires specific actions to be followed to provide that alternative warning.

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Activation Failure

No lights flashing, train present

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Application

When a railroad receives a credible report of a warning system malfunction involving an activation failure, it is required to:

Take prompt action to notify train crews, and other railroads operating over such crossing, prior to the next train operation over the crossing.

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Application

Notify the law enforcement agency having jurisdiction over such crossing, or the railroad police who are capable of responding to control vehicular traffic at the crossing.

Take action to assure that its employees or a law enforcement agency provides the required alternative means of warning for highway users at the crossing. 

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Application

This section also requires that the locomotive audible warning device be activated in accordance with railroad rules when a locomotive is approaching a crossing where an activation failure has occurred.  The reference to any railroad rules has to do with the manner in which the horn is sounded (sound horn in accordance with railroad operating rules, etc.).

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Application

This section preempts any State or local "whistle bans" with respect to use of the horn under the circumstances addressed in the section.

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Application

When there is alternative means of warning but there is less than one flagger for each direction of highway traffic available at the crossing, trains must not exceed 15 mph until the locomotive has passed over the crossing.  

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Application

If there is no appropriately equipped flagger, uniformed law enforcement officer, or uniformed railroad police officer to provide alternative warning, each train must stop and a member of the train crew must dismount the locomotive and flag highway traffic to a stop before the train occupies the crossing. 

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234.106Partial 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 (§ 234.107).

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Partial Activation FailureFull warning not given for each lane of approaching traffic.

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Partial Activation Failuregate arm broken holding flashing marker light.

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234.107False activation

This section requires that a railroad having maintenance responsibility for a warning system take prompt action to provide alternative means of warning highway users and railroad employees at a specific crossing where a credible report of a system malfunction involving an false activation has been received.  This section further requires specific actions to be followed to provide that alternative warning.

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False Activation

Lights flashing, no trains present

Note the individual who drove over the meridian, against traffic, to get around the gates

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234.107False activation

   When a railroad receives a credible report of a false activation, it is required to:

Take prompt action to notify train crews, and other railroads operating over such crossing, prior to the next train operation over the crossing.

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234.107False activation

-  Notify the law enforcement agency having jurisdiction over such crossing, or the railroad police who are capable of responding to control vehicular traffic at the crossing.

Take action to assure that its employees or a law enforcement agency provides the required alternative means of warning for highway users at the crossing.

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Note: Normal speed may be resumed after the locomotive has passed through the crossing.

Appendix B to Part 234
| Type of Failure    | Flagger for each direction | Police presence | Flagger for only one direction of traffic | No flagger/no police                       |
|--------------------|----------------------------|-----------------|-------------------------------------------|--------------------------------------------|
| False Activation   | Normal Speed               | Normal Speed    | Proceed with caution – Max 15 MPH         | Proceed with caution – Max 15 MPH          |
| PartialActivation  | Normal Speed               | Normal Speed    | Proceed with caution – Max 15 MPH         | Proceed with caution – Max 15 MPH          |
| Activation Failure | Normal Speed               | Normal Speed    | Proceed with caution – Max 15 MPH         | STOP: Crewmember flag traffic and re-board |

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234.109Recordkeeping.

This section requires the railroad to keep a record of each credible report of a warning system malfunction.  This section specifies the information that is to be recorded, and that each record shall remain on file and available for inspection by the FRA for a period of at least one year from the date of the last railroad activity in connection with such report.

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continued....

Each record shall contain the following information:

Location of crossing (by highway name and DOT/AAR crossing inventory number);

Time and date that the railroad received the report;

Action taken by railroad to comply with Section 234.105, 234.106, or 234.107;  and

Time and date of action taken to make final repair or correction.  If the system is dismantled and removed instead of repaired, the date of removal should be recorded.

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continued....

Example of credible record
| ABC Railroad Corp.Report of Crossing Warning System Malfunction                              |
|----------------------------------------------------------------------------------------------|
| Location: US Route 377 Fort Worth, TX  DOT No:  323577T                                      |
| Date & Time:   5/11/00  4:54 a.m.                                                        |
| Action Taken:   Called Signal Mtr., Order 101 issued (Stop & Flag)                       |
| Repair Time & Date: 5/11/00   6:25 a.m.   Repaired - Mtr.  J. JonesDispatcher:  C. Mills |

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continued....
        - Each record of a credible report of a warning system malfunction shall be kept and made available for inspection by the FRA for one year from the last date of action taken on each report.
        - The records required by this section may be kept at division offices or at a central location somewhere on the railroad.

Specific information regarding a malfunction at an identified highway-rail grade crossing, supplied by a railroad employee, law enforcement officer, highway traffic official, or other employee of a public agency acting in an official capacity

Note:  Regardless who reports an incident to a “credible reporting source”, it is considered a credible report.  I.E., my grandmother reports a signal malfunction to the polilce department who then reports it to the railroad...

S&TC  FUNDAMENTALS

49 CFR 23

Subpart C

Response to Credible Reports of Warning System Malfunction at Highway-Rail Grade Crossings

The End

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