DOT 49 CFR PART 233-2010 SIGNAL SYSTEMS REPORTING REQUIREMENTS.pdf

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1、646 49 CFR Ch. II (10110 Edition) Pt. 233 (3) Copies of the materials referred to in this section may be obtained from the Fed-eral Railroad Administration, Office of Safe-ty, RRS14, 1120 Vermont Avenue, NW., Stop 25, Washington DC 20590. 69 FR 29666, May 25, 2004, as amended at 67 FR 17584, Apr. 10

2、, 2002 PART 233SIGNAL SYSTEMS REPORTING REQUIREMENTS Sec. 233.1 Scope. 233.3 Application. 233.5 Accidents resulting from signal fail-ure. 233.7 Signal failure reports. 233.9 Reports. 233.11 Civil penalties. 233.13 Criminal penalty. APPENDIX A TO PART 233SCHEDULE OF CIVIL PENALTIES AUTHORITY: 49 U.S.

3、C. 20103, 20107; 28 U.S.C. 2461, note; and 49 CFR 1.49. SOURCE: 49 FR 3379, Jan. 26, 1984, unless otherwise noted. 233.1 Scope. This part prescribed reporting re-quirements with respect to methods of train operation, block signal systems, interlockings, traffic control systems, automatic train stop,

4、 train control, and cab signal systems, or other simi-lar appliances, methods, and systems. 233.3 Application. (a) Except as provided in paragraph (b) of this section, this part applies to railroads that operate on standard gage track which is part of the general rail-road system of transportation.

5、(b) 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 gen-eral system of railroad transportation. 233.5 Accidents resulting from signal failure. Each carrier shall report within 24 hours to the Federal

6、 Railroad Adminis-tration by toll free telephone, number 8004240201, whenever it learns of the occurrence of an accident/incident aris-ing from the failure of an appliance, device, method or system to function or indicate as required by part 236 of this title that results in a more favor-able aspect

7、 than intended or other con-dition hazardous to the movement of a train. EFFECTIVE DATE NOTE: At 49 FR 3379, Jan. 26, 1984, part 233 was revised. This section contains information collection and record-keeping requirements and will not become effective until approval has been given by the Office of

8、Management and Budget. 233.7 Signal failure reports. Each carrier shall report within 15 days each failure of an appliance, de-vice, method, or system to function or indicate as required by part 236 of this title that results in a more favorable aspect than intended or other condi-tion hazardous to

9、the movement of a train. Form FRA F618014, Signal Failure Report, shall be used for this purpose and completed in accordance with instructions printed on the form. (Approved by the Office of Management and Budget under control number 21300007) 233.9 Reports. Not later than April 1, 1997 and every 5

10、years thereafter, each carrier shall file with FRA a signal system status report Signal System Five-year Re-port on a form to be provided by FRA in accordance with instructions and definitions provided on the report. 61 FR 33872, July 1, 1996 233.11 Civil penalties. Any person (an entity of any type

11、 covered under 1 U.S.C. 1, including but not limited to the following: a railroad; a manager, supervisor, official, or other employee or agent of a railroad; any owner, manufacturer, lessor, or lessee of railroad equipment, track, or facilities; any independent contractor providing goods or services

12、 to a rail-road; and any employee of such owner, manufacturer, lessor, lessee, or inde-pendent 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 $650 and not more than $25,000 per vio-lation, except that: P

13、enalties may be assessed against individuals only for willful violations, and, where a grossly negligent violation or a pattern of re-peated violations has created an immi-nent hazard of death or injury to per-sons, or has caused death or injury, a VerDate Mar2010 09:47 Dec 14, 2010 Jkt 220215 PO 00

14、000 Frm 00656 Fmt 8010 Sfmt 8010 Y:SGML220215.XXX 220215jdjones on DSK8KYBLC1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-647 Federal Railroad Administration, DOT Pt. 234 penalty not to exceed $100,000 per viola-tion may be assessed.

15、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 69 FR 30595, May 28, 2004; 72 FR 51197, Sept. 6, 2007; 73 FR 79703, Dec. 30, 2008 233.13 Criminal penalty. Whoev

16、er 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 docu-ment required to be filed by this part is subject to a $5,000 fine and 2 years im-prisonment as prescribed

17、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 Willful viola-tion 233.5 Accidents resulting from signal failure $2,500 $5,000 233.7 Signal failure reports . 5,000 7,

18、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 $100,000 for any violation where circumstances warrant. See 49 CFR part 209, appendix A. 53 FR 52936, Dec. 29, 1988, a

19、s 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. 234.1 Scope. 234.3 Application. 234.5 Definitions. 234.6 Penalties. Subpart BReports and Plans 234.7 Accidents invo

20、lving 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 System Malfunction 234.101 Employee notification rules. 234.103 Timely response to report of mal-function. 234.105

21、 Activation failure. 234.106 Partial activation. 234.107 False activation. 234.109 Recordkeeping. Subpart DMaintenance, 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

22、, 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. 234.217 Flashing light units. 234.219 Gate arm lights and light cable. 234.221 Lamp voltage. 234.223 Gate arm.

23、 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.

24、 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 00657 Fmt 8010 Sfmt 8010 Y:SGML220215.XXX 220215jdjones on DSK8KYBLC1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-