31802 Federal Register / Vol. 61, No. 120 / Thursday, June 20, 1996 / Rules and Regulations

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: mtessler@intergate.dot.gov) .

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 highwayrail 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 (§§ 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

§ 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.’’

§ 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
Federal Register / Vol. 61, No. 120 / Thursday, June 20, 1996 / Rules and Regulations 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.

§ 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.

§ 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 noncompliance 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.
31804 Federal Register / Vol. 61, No. 120 / Thursday, June 20, 1996 / Rules and Regulations

§ 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.

§ 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.

§ 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.

§ 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

§§ 234.105 (‘‘activation failure’’) and

234.107 (‘‘false activation’’). This

paragraph is being revised to include

reference to new § 234.106 (‘‘partial

activation’’).

§ 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 § 234.107.

§ 234.207 (‘‘Adjustment, repair, or

replacement of component’’)

Paragraph ‘‘b’’ of this section is being

amended to include § 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 § 234.105

(‘‘activation failure’’), § 234.106 (‘‘partial

activation’’), or § 234.107 (‘‘false

activation’’).

§ 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.

§ 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.

§ 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
Federal Register / Vol. 61, No. 120 / Thursday, June 20, 1996 / Rules and Regulations 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.

§ 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.

§ 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.’’

§ 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.

§ 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

§§ 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.’’

§ 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.

§ 234.263 (‘‘Relays’’)

This section is being revised to add a

new subsection ‘‘c’’ to provide a phasein 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 (§ 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.

§ 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.

§ 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

(§ 234.263), FRA is providing a ‘‘phasein’’ 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.
31806 Federal Register / Vol. 61, No. 120 / Thursday, June 20, 1996 / Rules and Regulations

§ 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 §§ 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

§ 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.

§ 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;
Federal Register / Vol. 61, No. 120 / Thursday, June 20, 1996 / Rules and Regulations 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.

§ 234.4 Preemptive effect.

Under 49 U.S.C. 20106 (formerly

§ 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.

§ 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.

§ 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

§ 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 § 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;
31808 Federal Register / Vol. 61, No. 120 / Thursday, June 20, 1996 / Rules and Regulations

(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.

§ 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

§ 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.

§ 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

§ 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

§§ 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.

§ 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.

§ 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 (§ 234.107).

§ 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 § 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.

§ 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;
Federal Register / Vol. 61, No. 120 / Thursday, June 20, 1996 / Rules and Regulations 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

§ 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.

§ 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.

§ 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.

§ 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

§ 234.105, Activation failure, § 234.106,

Partial activation, or § 234.107, False

activation, of this part.

§ 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.

§ 234.211 Security of warning system

apparatus.

Highway-rail grade crossing warning

system apparatus shall be secured

against unauthorized entry.

§ 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.

§ 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

§ 234.201 of this part.

§ 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.

§ 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.

§ 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.

§ 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.

§ 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.

§ 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

§ 234.105, ‘‘Activation failure,’’ to

safeguard highway users.

§ 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.

§ 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.

§ 234.233 Rail joints.

Each non-insulated rail joint located

within the limits of a highway-rail grade

crossing train detection circuit shall be
31810 Federal Register / Vol. 61, No. 120 / Thursday, June 20, 1996 / Rules and Regulations

bonded by means other than joint bars

and the bonds shall be maintained in

such condition to ensure electrical

conductivity.

§ 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.

§ 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.

§ 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.

§ 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.

§ 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 openwire 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.

§ 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

§ 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 §§ 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.

§ 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.

§ 234.251 Standby power.

Standby power shall be tested at least

once each month.

§ 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.

§ 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.

§ 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.

§ 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.

§ 234.261 Highway traffic signal preemption.

Highway traffic signal pre-emption

interconnections, for which a railroad

has maintenance responsibility, shall be

tested at least once each month.

§ 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.
Federal Register / Vol. 61, No. 120 / Thursday, June 20, 1996 / Rules and Regulations 31811

§ 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.

§ 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.

§ 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.

§ 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.

§ 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

§ 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

Section Violation Willful

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
31812 Federal Register / Vol. 61, No. 120 / Thursday, June 20, 1996 / Rules and Regulations

APPENDIX A TO PART 234.—SCHEDULE OF CIVIL PENALTIES 1—Continued

Section Violation Willful

violation

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

1A 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 for each direction of trafficPolice officer

present

Flagger present, but not one

for each direction of traffic No flagger/no police

False Activation ......................... Normal Speed ........ Normal Speed ........ Proceed with caution—maximum speed of 15 mph.Proceed with caution—maximum speed of 15 mph.

Partial Activation* ...................... Normal Speed ........ Normal Speed ........ Proceed with caution—maximum speed of 15 mph.Proceed with caution—maximum speed of 15 mph.

Activation Failure** .................... Normal Speed ........ Normal Speed ........ Proceed with caution—maximum speed of 15 mph.Stop: Crewmember flag 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