Signal & Train Control Compliance ManualPart 233Signal Reporting RequirementsPart 234Grade Crossing Signal System SafetyPart 235Instructions Governing Applications for Approval of a Discontinuance or MaterialModification of a Signal System or Relief from the Requirements of Part 236Part 236Rules, Standards and Instructions Governing the Installation, Inspection, Maintenanceand Repair of Systems, Devices and AppliancesPart 236 Subparts A and BPart 236 Subparts C, D, E and F
Signal & Train Control Compliance ManualPART 233 - SIGNAL SYSTEM REPORTING REQUIREMENTS§ 233.1 Scope.This section identifies the systems, methods, and appliances that are subject to the reportingrequirements.Application:This rule subjects automatic block signal systems, traffic control systems, interlockings, automatic trainstop, train control, and cab signal systems or other similar appliances, methods, and systems to thereporting requirements of this part. An automatic block signal system is a block signal system whereinthe use of each block is governed by an automatic block signal, cab signal, or both.A traffic control system is a block-signal system under which train movements are authorized by blocksignals or cab signals whose indications supersede the superiority of trains for both opposing andfollowing movements on the same track.A nonautomatic block signal system is a term used to denote any method of maintaining an interval ofspace between trains as distinguished from an automatic block signal system, a traffic control system, anautomatic cab signal system without roadway signals, or time interval system.An automatic train stop system is a system so arranged that its operation will automatically result in theapplication of the brakes until the train has been brought to a stop.An automatic train control system is a system so arranged that its operation will automatically result in thefollowing:(a)A full service application of the brakes which will continue either until the train is brought to a stop,or under control of the engineman, its speed is reduced to a predetermined rate.(b)When operating under a speed restriction, application of the brakes when the speed of the trainexceeds the predetermined rate and which will continue until the speed is reduced to that rate.Automatic train control systems includes those systems referred to as speed control systems.An automatic cab signal system is a system which provides for the automatic operation of the following:(a)Cab signal, a signal located in engineer's compartment or cab, indicating a condition affecting themovement of a train and used in conjunction with interlocking signals and in conjunction with or in lieu ofblock signals, and(b)Cab indicator, a device located in the cab which indicates a condition or a change of condition ofone or more elements of the system.§ 233.3 Application.This section makes this part applicable to each common carrier by rail subject to the Signal InspectionAct, 49 U.S.C.26.
Signal & Train Control Compliance ManualApplication:Applies to each railroad that is part of the general rail system engaged in interstate commerce. Does notapply to rapid transit system or privately-owned system not transporting interstate commerce.Does not apply to automatic classification yards or to highway-rail grade crossing warning devices.§ 233.5 Accidents resulting from signal failure.This section requires each carrier to report by toll-free telephone number 800-424-0201 within 24- hoursof each accident/incident resulting from a false proceed signal indication or failure.Application:A false proceed signal indication or a false proceed failure is the failure of an appliance, device, method,or system to function or indicate as required by the RS&I that results in either a more favorable aspectthan intended or a condition that is hazardous to the movement of a train.CLASSIFICATION OF DEFECTS2330005 01Accident/incident resulting from or involving failure of appliance, device, method,or system to function or indicate as intended, not reported to FRA within 24 hours after accident/incident§ 233.7 Signal failure reports.This section requires each carrier to report within 15 days each false proceed signal indication or failure.Application:A false proceed signal indication or a false proceed failure is the failure of an appliance, device, methodor system to function or indicate as required by the RS&I that results in either a more favorable signalaspect than intended or a condition that is hazardous to the movement of a train.This rule requires that each false proceed failure, including those resulting in an accident/incident, to bereported to FRA within 15 days on Form FRA F6180-14 in accordance with the instructions contained onthe form.CLASSIFICATION OF DEFECTS2330007 01Report of failure of appliance, device, method, or system to indicate or functionas intended not made on prescribed form within fifteen (15) days.§ 233.9 Reports.This section requires each carrier to file a "Signal System Five-year Report" not later than April 1, 1997and every 5 years thereafter.Application:The intent of this rule is to require a five-year report of signal systems and methods of train operation nolater than April 1 of every five years, beginning with the year 1997. The report is required to be filed on aform to be provided by FRA in accordance with the instructions on back of the form.2
Signal & Train Control Compliance ManualCLASSIFICATION OF DEFECTS233000901Five-year signal system status report not filed prior to April 1.233000902Five-year signal system status report not correct.§ 233.11 Civil penalty.This section prescribes a civil penalty for failure to file reports as required by this part.Application:This rule establishes that a carrier is liable for maximum penalty of 2,500 for each offense or failure tofile reports as required. Each day a failure or refusal to file continues is a separate offense.§ 233.13 Criminal penalty.This section prescribes a criminal penalty for filing a false report or other document required by this part.Application:The rule subjects any person, who knowingly and willfully makes, causes to be made or participates inthe making of a false entry in an accident report, false proceed report or annual report required by thispart to a fine of 5,000 and/or two (2) years imprisonment.HANDLING OF FALSE PROCEED SIGNAL REPORTSIn order to expedite the notification and investigation of false proceed failures, carriers have beeninstructed to submit false proceed reports directly to the regional offices.Upon receipt of a false proceed report, the S&TC Specialist shall determine if the failure occurred withinthe region. If not, he or she should immediately furnish a copy of the report to the director of the region inwhich the failure occurred.Failures reported by carriers that were caused by deposits on rails; defective relays, interlockings, orsimilar devices; broken or defective apparatus; equipment out of adjustment; errors in circuit design;circuits crossed or grounded; or cause undetermined, should be investigated. The S&TC Specialist in theregion where the failure occurred shall determine the degree of any investigation. In addition, he or sheshall determine if an investigation is warranted of all other such failures.A narrative report of each false proceed investigation shall be filed. The narrative report should containthe following information:(1)First paragraph:Date, time, and location of failure or alleged failure.(2)Second paragraph:Type of system, technical description of the system, method of train operation, and maximum authorizedspeed.(3)Third paragraph:Type, direction, and consist of train which observed false proceed signal failure.3
Signal & Train Control Compliance Manual(4)Fourth paragraph:Signal number, aspect displayed, device that failed, cause of failure, show how the failure contributed tothe false proceed signal indication or hazardous condition.(5)Fifth paragraph:What carrier action was taken and when.(6)Sixth paragraph:What action was taken by the inspector and when.(7)Seventh paragraph:State here when it is determined a false proceed failure did not occur.Use additional paragraphs for other pertinent information that may be developed.After the fifteenth of each month, the S&TC Specialist should prepare a summary report of the falseproceed signal failures reported by carriers headquartered in his or her region. The summary report, theoriginal of each false proceed report, Form FRA F 6180-14, and memorandum reports of failuresinvestigated shall be forwarded to the Staff Director, Signal and Train Control Division, RRS-13, inWashington, DC.4
Signal & Train Control Compliance ManualPART 234 - GRADE CROSSING SIGNAL SYSTEM SAFETYCompliance PolicyThe purpose of these regulations is to provide for the safety of users of highway-rail grade crossings,including motor vehicle occupants, non-motorized vehicle users, and pedestrians. It is the policy of theFederal Railroad Administration to promote voluntary compliance with these minimum safety standards.Civil penalty sanctions may be employed as necessary to secure compliance, if voluntary compliance isnot forthcoming.In determining whether use of civil penalty sanctions is necessary, the inspector will take intoconsideration whether the railroad has installed and maintained the installation in a manner likely toprovide for its proper functioning in the interval between required inspections and tests. The inspectorshall also take into account the harsh environment in which the installation is required to function. Civilpenalty sanctions should not be recommended for conditions that the railroad could not have preventedthrough use of due diligence, provided those conditions occurred subsequent to a previous inspection ortest of the system.Conditions that arise through no fault on the part of the railroad include, for example -oGate arm breakage.oLamp outage or damage to flashing light units due to mechanical damage.oGate arm light not securely fastened to gate arm, due to mechanical damage.In other cases, normal operation of the system may result in occasional component failure or lack ofadjustment that is not predictable or reasonably preventable, for example -oLamp outage due to normal burn out of filament, where outages represent failure at an expectedrate due to expired service life.oSwitch circuit controller connection loose at time of quarterly inspection.oInsulation in insulated joint in bad condition at time of quarterly inspection.oSwitch circuit controller not securely fastened in place at time of quarterly inspection.In summary, certain component failures may occur as a result of vandalism, inadvertent contact with theinstallation by motor vehicles, or lack of proper maintenance. In individual cases such as those citedabove, the inspector should record a defect and the railroad will be expected to promptly remedy thecondition as required by Section 234.207.While certain conditions may seem minor in nature when viewed individually, any failure to correct couldresult in an activation failure, partial activation, or false activation. Accordingly, should the inspectorencounter a pattern involving any such condition, indicating lack of proper inspection or maintenance, civilpenalties should be employed as necessary. (See 49 CFR Part 209, Appendix A).Subpart A - General§ 234.1 Scope.This part imposes minimum maintenance, inspection, and testing standards for highway-rail gradecrossing warning systems. This part also prescribes standards for the reporting of failures of suchsystems and prescribes minimum actions railroads must take when such warning systems malfunction.
Signal & Train Control Compliance ManualThis part does not restrict a railroad from adopting and enforcing additional or more stringentrequirements not inconsistent with this part.§ 234.3 Application.The following examples address specific types of rail operations and whether this rule applies to thatoperation:(1)Rail freight operations - This part applies to all freight railroads which are part of the generalrailroad system of transportation. FRA's regulations generally exclude railroads whose entire operationsare confined to an industrial installation, i.e., "plant railroads" such as those in steel mills that do not gobeyond 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 thatcase the plant railroad would have to meet FRA's highway-rail grade crossing warning system standardsif a general system railroad operated over the grade crossing. These regulations do not apply to a freightcarrying railroad (and the highway-rail grade crossings over which it operates) which is not part of thegeneral railroad system of transportation. Both public and private crossings that general system railroadsoperate over are covered by this part.(2)Rail rapid transit - This part does not apply to rail rapid transit operations conducted over trackthat is used exclusively for that purpose and that is not part of the general railroad system oftransportation. (Note: See FRA/FTA Shared Corridor Policy (Federal Register Volume 65, No. 132, July10, 2000 for further information)).(3)Rail passenger operations - This part does apply to passenger railroad operations if any of thefollowing exists on the line of railroad: (a) a public highway-rail grade crossing that is in use; (b) an atgrade 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, allhighway-rail grade crossings over which the railroad operates, both public and private crossings, aresubject to this rule. It is important to note that the fact that a passenger railroad is not connected to thegeneral railroad system does not in itself affect a railroad's duty to comply with this part. An analysis mustbe made as to the presence of the above mentioned factors.When a manually operated highway-rail grade crossing active warning system contains componentscovered by this part, those components shall comply with the applicable rule requirements.(Reference Technical Bulletin S-96-06)§ 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 thesame subject matter, except a provision directed at an essentially local safety hazard that is consistentwith this part and that does not impose an undue burden on interstate commerce.§ 234.5 Definitions.Activation Failure:An activation failure is the failure of an active highway-rail grade crossing warning system to indicate theapproach of a train at least 20 seconds prior to the train's arrival at the crossing, or to indicate thepresence of a train occupying the crossing, unless the crossing is provided with an alternative means ofactive warning to highway users of approaching trains. (This failure indicates to the motorist that it is safeto proceed across the railroad tracks when, in fact, it is not safe to do so.)A grade crossing warning system does not indicate the approach of a train within the meaning of thisparagraph if:2
Signal & Train Control Compliance Manual(1) more than 50 percent of the flashing lights (not gate arm lights) on any approach lane to thecrossing 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.It shall not be deemed an activation failure if alternative means, as set forth in Section 234.105, are usedto provide warning to highway users approaching the crossing where an active warning system isinoperative.Appropriately Equipped Flagger:A person other than a train crewmember who is equipped with a vest, shirt, or jacket of a colorappropriate for daytime flagging such as orange, yellow, strong yellow green or fluorescent versions ofthese colors or other generally accepted high visibility colors. For nighttime flagging, similar outsidegarments 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 signalshall be used.Inasmuch as Part VI of the Federal Highway Administrations's (FHWA) Manual on Uniform Traffic ControlDevices (MUTCD) addresses standards and guides for flaggers and flagging equipment for highwaytraffic control, FRA recommends that railroads be aware of the standards and follow them to the greatestextent possible. Copies of the latest MUTCD provisions regarding flagging will be available from FRA, aswell as FHWA, as changes are made in this area.Credible report of system malfunction:Specific information regarding a malfunction at an identified highway-rail grade crossing, supplied by arailroad employee, law enforcement officer, highway traffic official, or other employee of a public agencyacting in an official capacity.False Activation:The activation of a highway-rail grade crossing warning system caused by a condition that requirescorrection or repair of the grade crossing warning system. (This failure indicates to the highway user thatit is not safe to cross the railroad tracks when, in fact, it is safe to do so.)Highway-rail grade crossing:A location where a public highway, road, street, or private roadway, including associated sidewalks andpathways, crosses one or more railroad tracks at grade.Partial Activation:The 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, oneof the two lights does not operate properly (and approaching motorists can not clearly see flashing backlights from the warning lights on the other side of the crossing);(2)at gated crossings, the gate arm is not in a horizontal position; or3
Signal & Train Control Compliance Manual(3)at gated crossings, any portion of a gate arm is missing if that portion normally had a gatearm flashing light attached.Train:One or more locomotives, with or without cars.Warning System Malfunction:An activation failure, a partial activation, or a false activation of a highway-rail grade crossing warningsystem.Subpart B - Reports§ 234.7 Accidents involving grade crossing signal failure.This section requires each railroad to report each accident/incident (as defined in Section 225.5(b)(1)involving highway-rail grade crossing warning system activation failure, by toll free telephone number800-424-0201, within 24 hours. This telephone report is not a substitute for other required written reportsas appropriate.Application:An accident/incident, as defined in Section 225.5(b)(1), is an impact between on-track railroad equipmentand an automobile, bus, truck, motorcycle, bicycle, farm vehicle, or pedestrian. When anaccident/incident occurs, involving an activation failure of an active highway-rail grade crossing warningsystem, the telephone report must be made.It shall not constitute an activation failure if on-track railroad equipment is not designed, equipped, andrelied upon to activate such highway-rail grade crossing warning system.An activation failure is as defined in Section 234.5.CLASSIFICATION OF DEFECTS2340007 01Impact involving a highway-rail grade crossing warning system activation failurenot reported to National Response Center by telephone within 24 hours after occurrence.234000702Telephone report not complete.§ 234.9 Grade crossing signal system failure reports.This section requires each railroad to report within 15 days each activation failure of an active highwayrail grade crossing warning system.Application:This section requires that each activation failure, including those resulting in an accident/incident (asdefined in Section 225.5(b)(1), be reported to FRA within 15 days on Form FRA F6180.83 in accordancewith the instructions contained on the form. The completed form shall be submitted to the FRA RegionalAdministrator of the region in which the railroad is headquartered.4
Signal & Train Control Compliance ManualAn activation failure is as defined in Section 234.5.It shall not constitute an activation failure if on-track railroad equipment is not designed, equipped, andrelied upon to activate the highway-rail grade crossing warning system.CLASSIFICATION OF DEFECTS234000901Report of activation failure not submitted on prescribed form within 15 days.234000902Report of activation failure incorrect or incomplete.Subpart C – Response to Reports of Warning System Malfunctiion§ 234.101 Employee notification rules.This section requires that each railroad issue rules requiring that its employees report malfunctions ofhighway-rail grade crossing warning systems to a designated railroad employee or employees, and thatsuch reports shall be made by the quickest means of communications available.Application:The intent of this section is that each railroad issue to its employees rules that require its employees toreport by the quickest means available, any activation failure, partial activation or false activation of ahighway-rail grade crossing warning system. The railroad must designate a person or persons to whomall such reports must be made. The railroad may do so by inserting the information in their timetable,special instructions, general orders, etc.CLASSIFICATION OF DEFECTS2340101 01Rules not issued requiring railroad employees to report any malfunction ofhighway-rail grade crossing warning system to designated persons by quickest means available.§ 234.103 Timely response to report of malfunction.This section requires that once a credible report of a malfunction of a highway-rail grade crossing warningsystem has been received, the railroad having maintenance responsibility for the warning system shallpromptly 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 Section234.207.A credible report of a highway-rail grade crossing warning system malfunction is defined in Section 234.5as a report from a railroad employee, law enforcement officer, highway traffic official, or other employee ofa public agency acting in an official capacity.This section also requires that the railroad provide alternative means of warning highway traffic andrailroad employees in accordance with Sections 234.105, 234.106 or 234.107, until such malfunction hasbeen investigated and repair or correction of the warning system is completed, or the system isdiscontinued or dismantled.This section specifies that nothing in these regulations forces a railroad to continually repair a warningsystem that, under state law, may be retired. However, a railroad must still comply with this Subpartduring retirement proceedings. This section requires that until repair, correction, discontinuance, ordismantling of the system is completed, the railroad must comply with this part.5
Signal & Train Control Compliance ManualApplication:Each railroad must take prompt action to investigate any credible report of a malfunctioning highway-railgrade crossing warning system, and each malfunction shall be corrected without undue delay. Thissection does not require a railroad to continue to repair and maintain a highway-rail grade crossingwarning system that might otherwise be discontinued under state laws. The railroad may elect todiscontinue and disassemble the warning system, but until the warning system is physically removed, therailroad shall provide alternative means of warning the highway users and railroad employees.CLASSIFICATION OF DEFECTS2340103 01promptly investigated.Credible report of highway-rail grade crossing warning system malfunction not2340103 02Action not taken to provide alternative means of warning highway users andrailroad employees until repairs or correction of warning system is completed.§ 234.105 Activation failure.This section requires that a railroad having maintenance responsibility for a warning system take promptaction to provide alternative means of warning highway users and railroad employees at a specificcrossing where a credible report of a system malfunction involving an activation failure has beenreceived. This section further requires specific actions to be followed to provide that alternative warning.Application:When a railroad receives a credible report of a system malfunction involving an activation failure, it isrequired to take prompt action to notify train crews, and other railroads operating over such crossing, priorto the next train operation over the crossing. Further, the railroad is also required to notify the lawenforcement agency having jurisdiction over such crossing, or the railroad police who are capable ofresponding to control vehicular traffic at the crossing. Finally, the railroad must take action to assure thatits employees or a law enforcement agency provide the required alternative means of warning forhighway users at the crossing.A credible report of a highway-rail grade crossing warning system malfunction is defined in Section 234.5as a report from a railroad employee, law enforcement officer, highway traffic official, or other employee ofa public agency acting in an official capacity.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.When the alternative warning consists of at least one uniformed law enforcement officer, one uniformedrailroad police officer, or an appropriately equipped flagger for each direction of highway traffic at thecrossing, trains may proceed over the crossing at normal speed. If an appropriately equipped flaggerprovides the alternative means of warning but there is less than one flagger for each direction of highwaytraffic available at the crossing, trains must not exceed 15 mph until the locomotive has passed over thecrossing. If there is no appropriately equipped flagger, uniformed law enforcement officer, or uniformedrailroad police officer to provide alternative warning, each train must stop and a member of the train crewmust dismount the locomotive and flag highway traffic to a stop before the train occupies the crossing.This section also requires that the locomotive audible warning device be activated in accordance withrailroad rules when approaching a crossing where an activation failure has occurred. The reference torailroad rules has to do with the manner in which the horn is sounded. This section preempts any Stateor local "whistle bans" with respect to use of the horn under the circumstances addressed in the section.6
Signal & Train Control Compliance ManualCLASSIFICATION OF DEFECTS2340105 01Train crew or other railroads operating over crossing not notified of activationfailure prior to arrival of train at crossing.2340105 02Law enforcement agency having jurisdiction or railroad police not promptlynotified of activation failure.2340105 03Alternate means of actively warning highway users not provided at crossingwhere credible report indicates activation failure has occurred.2340105 04Train passed over crossing at normal speed without alternate means of warningbeing provided by the required number of appropriately equipped flaggers, uniformed law enforcementofficer, or uniformed railroad police officer.2340105 05Train passed over crossing at a speed of more than 15 mph with alternate meansof warning not being provided by at least one appropriately equipped flagger for each direction of highwaytraffic.234010506Flagger not equipped with required vest, shirt, or jacket.234010507Flagger not equipped with required flagging equipment.2340105 08was not provided.Train failed to stop at crossing when the required alternate means of warning2340105 09After train stopped, crewmember failed to get off train and flag highway traffic toa stop when the required alternate means of warning was not provided.2340105 10Locomotive audible warning device not sounded in accordance with the railroad'srules as train approached crossing where activation failure has been identified by a credible report.§ 234.106 Partial activation.This section requires that a railroad having maintenance responsibility for a warning system take promptaction to provide alternative means of warning highway users and railroad employees at a specificcrossing where a credible report of a system malfunction involving a partial activation has been received.This section further requires that specific actions be followed to provide that alternative warning.Application:When a railroad receives a credible report of a system malfunction involving a partial activation, it isrequired to take prompt action to notify train crews and other railroads operating over such crossing priorto the next train operation over the crossing. Further, the railroad is also required to notify the lawenforcement agency having jurisdiction over such crossing, or the railroad police who are capable ofresponding to control vehicular traffic at the crossing. Finally, the railroad must take action to assure thatits employees or a law enforcement agency provide the required alternative means of warning forhighway users at the crossing.A credible report of a highway-rail grade crossing warning system malfunction is defined in Section 234.5as a report from a railroad employee,
Automatic train control systems includes those systems referred to as speed control systems. An automatic cab signal system is a system which provides for the automatic operation of the following: (a) Cab signal, a signal located in engineer's File Size: 887KB