1、647 Federal Railroad Administration, DOT Pt. 234 penalty not to exceed $100,000 per viola-tion may be assessed. Each day a viola-tion continues shall constitute a sepa-rate offense. See appendix A to this part for a statement of agency civil penalty policy. 63 FR 11623, Mar. 10, 1998, as amended at
2、69 FR 30595, May 28, 2004; 72 FR 51197, Sept. 6, 2007; 73 FR 79703, Dec. 30, 2008 233.13 Criminal penalty. Whoever knowingly and willfully (a) Makes, causes to be made, or par-ticipates in the making of a false entry in reports required to be filed by this part; or (b) Files a false report or other
3、docu-ment required to be filed by this part is subject to a $5,000 fine and 2 years im-prisonment as prescribed by 49 U.S.C. 522(a) and section 209(e) of the Federal Railroad Safety Act of 1970, as amend-ed (45 U.S.C. 438(e). APPENDIX A TO PART 233SCHEDULE OF CIVIL PENALTIES1Section Violation Willfu
4、l viola-tion 233.5 Accidents resulting from signal failure $2,500 $5,000 233.7 Signal failure reports . 5,000 7,500 233.9 Annual reports 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 $100,0
5、00 for any violation where circumstances warrant. See 49 CFR part 209, appendix A. 53 FR 52936, Dec. 29, 1988, as amended at 63 FR 11623, Mar. 10, 1998; 69 FR 30595, May 28, 2004; 73 FR 79704, Dec. 30, 2008 PART 234GRADE CROSSING SIG-NAL SYSTEM SAFETY AND STATE ACTION PLANS Subpart AGeneral Sec. 234
6、.1 Scope. 234.3 Application. 234.5 Definitions. 234.6 Penalties. Subpart BReports and Plans 234.7 Accidents involving grade crossing sig-nal failure. 234.9 Grade crossing signal system failure reports. 234.11 State highway-rail grade crossing ac-tion plans. Subpart CResponse to Reports of Warning Sy
7、stem Malfunction 234.101 Employee notification rules. 234.103 Timely response to report of mal-function. 234.105 Activation failure. 234.106 Partial activation. 234.107 False activation. 234.109 Recordkeeping. Subpart DMaintenance, Inspection, and Testing MAINTENANCE STANDARDS 234.201 Location of pl
8、ans. 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 func-tioning of system. 234.211 Security of warning system appa-ratus. 234.213 Grounds. 234.215 Standby power system
9、. 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 R
10、everse 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. VerDate Mar2010 09:47 Dec 14, 2010 Jkt 220215 PO 00000 Frm 006
11、57 Fmt 8010 Sfmt 8010 Y:SGML220215.XXX 220215jdjones on DSK8KYBLC1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-648 49 CFR Ch. II (10110 Edition) 234.1 INSPECTIONS AND TESTS 234.247 Purpose of inspections and tests; re-moval from servi
12、ce of relay or device failing to meet test requirements. 234.249 Ground tests. 234.251 Standby power. 234.253 Flashing light units and lamp volt-age. 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 Relay
13、s. 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 inspections and tests. REQUIREMENTS FOR PROCESSOR-BASED SYSTEMS 234.275 Proce
14、ssor-based systems. APPENDIX A TO PART 234SCHEDULE OF CIVIL PENALTIES APPENDIX B TO PART 234ALTERNATE METH-ODS OF PROTECTION UNDER 49 CFR 234.105(C), 234.106, AND 234.107(C). AUTHORITY: 49 U.S.C. 20103, 20107; 28 U.S.C. 2461, note; Pub. L. 110432, Div. A, 202; and 49 CFR 1.49. SOURCE: 61 FR 31806, J
15、une 20, 1996, unless otherwise noted. Subpart AGeneral 234.1 Scope. This part imposes minimum mainte-nance, inspection, and testing stand-ards for highway-rail grade crossing warning systems. This part also pre-scribes standards for the reporting of failures of such systems and prescribes minimum ac
16、tions railroads must take when such warning systems malfunc-tion. This part also requires particular identified States to develop State high-way-rail grade crossing action plans. This part does not restrict a railroad or a State from adopting and enforcing additional or more stringent require-ments
17、not inconsistent with this part. 75 FR 36558, June 28, 2010 234.3 Application. With the exception of 234.11, this part applies to all railroads except: (a) A railroad that exclusively oper-ates freight trains only on track which is not part of the general railroad sys-tem of transportation; (b) Rapi
18、d transit operations within an urban area that are not connected to the general railroad system of trans-portation; and (c) A railroad that operates passenger trains only on track inside an installa-tion that is insular; i.e., its operations are limited to a separate enclave in such a way that there
19、 is no reasonable expectation that the safety of the pub-licexcept a business guest, a licensee of the railroad or an affiliated entity, or a trespasserwould 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 hig
20、hway-rail crossing that is in use; (2) An at-grade rail crossing that is in use; (3) A bridge over a public road or wa-ters used for commercial navigation; or (4) A common corridor with a rail-road, i.e., its operations are within 30 feet of those of any railroad. 75 FR 36558, June 28, 2010 234.5 De
21、finitions. As used in this part: Activation failure means the failure of an active highway-rail grade crossing warning system to indicate the ap-proach of a train at least 20 seconds prior to the trains arrival at the cross-ing, or to indicate the presence of a train occupying the crossing, unless t
22、he crossing is provided with an alter-native 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 app
23、roach of a train within the meaning of this paragraph ifmore 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 pro-vided, there is not at le
24、ast one flashing light pair operating as intended. Back lights on the far side of the crossing are not considered in making these de-terminations. VerDate Mar2010 09:47 Dec 14, 2010 Jkt 220215 PO 00000 Frm 00658 Fmt 8010 Sfmt 8010 Y:SGML220215.XXX 220215jdjones on DSK8KYBLC1PROD with CFRProvided by
25、IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-649 Federal Railroad Administration, DOT 234.6 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 day-time flagging
26、such as orange, yellow, strong yellow green or fluorescent versions of these colors or other gen-erally accepted high visibility colors. For nighttime flagging, similar outside garments shall be retro reflective. Ac-ceptable hand signal devices for day-time flagging include STOP/SLOW paddles or red
27、flags. For nighttime flagging, a flashlight, lantern, or other lighted signal shall be used. Inasmuch as Part VI of the Federal Highway Ad-ministrations Manual on Uniform Traffic Control Devices addresses standards and guides for flaggers and flagging equipment for highway traffic control, FRA recom
28、mends that rail-roads be aware of the standards and follow them to the greatest extent pos-sible. Copies of the latest MUTCD pro-visions regarding flagging will be avail-able from FRA, as well as FMCSA, as changes are made in this area. Credible report of system malfunction means specific informatio
29、n regarding a malfunction at an identified highway- rail crossing, supplied by a railroad employee, law enforcement officer, highway traffic official, or other em-ployee of a public agency acting in an official capacity. False activation means the activation of a highway-rail grade crossing warn-ing
30、 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, ro
31、ad, 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 warn-ing is not provided due t
32、o 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)
33、; (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 loco-motives, with or without cars. Warning system malfunction means an act
34、ivation failure, a partial activation, or a false activation of a highway-rail grade crossing warning system. 234.6 Penalties. (a) Civil penalty. Any person (an enti-ty of any type covered under 1 U.S.C. 1, including but not limited to the fol-lowing: A railroad; a manager, super-visor, official, or
35、 other employee or agent of a railroad; any owner, manu-facturer, lessor, or lessee of railroad equipment, track, or facilities; any independent contractor providing goods or services to a railroad; and any employee of such owner, manufacturer, lessor, lessee, or independent con-tractor) who violate
36、s any requirement of this part, except for any violation of 234.11 of this part, or causes the viola-tion of any such requirement is subject to a civil penalty of at least $650, but not more than $25,000 per violation, ex-cept that: Penalties may be assessed against individuals only for willful vio-
37、lations, and where a grossly negligent violation or a pattern of repeated vio-lations has created an imminent haz-ard of death or injury to persons, or has caused death or injury, a penalty not to exceed $100,000 per violation may be assessed. Each day a violation con-tinues shall constitute a separ
38、ate of-fense. Appendix A to this part contains a schedule of civil penalty amounts used in connection with this rule. The railroad is not responsible for compli-ance with respect to any condition in-consistent with the technical standards set forth in this part where such vari-ance arises as a resul
39、t of actions be-yond 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 non-compliance resulting from the actions VerDate Mar2010 09:47 Dec 14, 2010 Jkt 220215 PO 00000 Frm 0
40、0659 Fmt 8010 Sfmt 8010 Y:SGML220215.XXX 220215jdjones on DSK8KYBLC1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-650 49 CFR Ch. II (10110 Edition) 234.7 of the railroads employees, agents, or contractors. (b) Criminal penalty. Whoever
41、 know-ingly 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, except for any document filed pursuant to 234.11 of this part, is subject to a
42、 $5,000 fine and 2 years im-prisonment as prescribed by 49 U.S.C. 522(a) and 21311(a). 74 FR 36558, June 28, 2010 Subpart BReports and Plans 234.7 Accidents involving grade crossing signal failure. (a) Each railroad shall report to FRA every impact between on-track rail-road equipment and an automob
43、ile, 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) 4240201. Complete reports shall thereafter be filed with FRA pursu
44、ant to 234.9 of this part (activation failure report) and 49 CFR 225.11 (accident/ incident re-port). (b) Each telephone report must state the: (1) Name of the railroad; (2) Name, title, and telephone num-ber of the individual making the re-port; (3) Time, date, and location of acci-dent; (4) U. S.
45、DOT-AAR Grade Crossing Identification Number; (5) Circumstances of the accident, in-cluding operating details of the grade crossing warning device; (6) Number of persons killed or in-jured, if any; (7) Maximum authorized train speed; and (8) Posted highway speed limit, if known. 234.9 Grade crossing
46、 signal system failure reports. Each railroad shall report to FRA within 15 days each activation failure of a highway-rail grade crossing warn-ing system. FRA Form No. 618083, Highway-Rail Grade Crossing Warn-ing System Failure Report, shall be used for this purpose and completed in accordance with
47、instructions printed on the form. 234.11 State highway-rail grade crossing action plans. (a) Purpose. The purpose of this sec-tion is to reduce collisions at highway- rail grade crossings in the ten States that have had the most highway-rail grade crossing collisions, on average, during the calendar
48、 years 2006, 2007, and 2008. This section does not restrict any other State, or other entity, from adopting a highway-rail grade crossing action plan. This section also does not restrict any of the States required to develop action plans under this section from adopting a highway-rail grade crossing
49、 action plan with additional or more stringent requirements not in-consistent with this section. (b) Application. This section applies to the ten States that have had the most highway-rail grade crossing colli-sions, on average, during the calendar years 2006, 2007, and 2008. (c) Action plans. (1) The ten identified States shall each develop a State high-way-rail grade crossing action plan and submit such a plan to FRA for review an
