J-1502000-02B_NAVFACINST_11230.1.pdf

NAVFACINST 11230.1F

NPW

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NAVFAC NORTHWEST NAVSURFWARCEN DET MEMPHIS TN

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NAVSEASYSCOM NCTAMS LANT DET CUTLER ME

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LOCATOR CROSS-REFERENCE SHEET

Subj: INSPECTION, CERTIFICATION, AND AUDIT OF CRANE AND RAILROAD

TRACKAGE

See: (Recipient enter information as to where this instruction is maintained.)

ii

RECORD OF CHANGES

CHANGE DATE DATE BY WHOM

NUMBER OF CHANGE ENTERED ENTERED

iii

INSPECTION, CERTIFICATION AND AUDIT

OF CRANE AND RAILROAD TRACKAGE

CONTENTS SECTION PAGE

GENERAL 1.0 1

RR Trackage 1.0.1 1 Ground-Level Crane Trackage 1.0.2 1 Elevated Crane Trackage 1.0.3 1 Inspection 1.1 2 Track Inspector Qualifications 1.2 2 Certification 1.3 3 Extension of Certification 1.3.1 3 Certifying Official 1.3.2 4 Certification Classifications 1.3.3 4 Cancelled Certification 1.3.4 5 Track Defect Classification 1.4 6 Catastrophic 1.4.1 6 Critical 1.4.2 6 Marginal 1.4.3 7 Audit 1.5 7 Purpose 1.5.1 7 Frequency and Method 1.5.2 7 Reports 1.5.3 8 Non-Certification of Trackage 1.5.4 8 Activity Coordination 1.5.5 8 Response 1.5.6 8 Report Records 1.5.7 8 Non-Destructive Testing (NDT) 1.6 9 Miscellaneous Inspections and Tests 1.7 10 Underwater Inspection 1.8 11 Mishap Investigation 1.9 11 Records 1.10 12

RAILROAD TRACKAGE 2.0 15

Inspection 2.1 15 Continuous Operator Inspection 2.1.1 15 Preventive Maintenance (PM) 2.1.2 15 Safety Inspection 2.1.3 16 Detailed Inspection 2.1.4 16 Visual Inspection 2.1.4.1 17 Operational Inspection 2.1.4.2 18 Measurements 2.1.4.3 20 Detailed Inspection Documentation 2.1.4.4 20 Non-Destructive Testing 2.1.5 20

RAILER 2.1.6 21

Standards 2.2 22 Railroad Trackage 2.2.1 22 Rail 2.2.2 24 Rail Type 2.2.2.1 24 Rail Size 2.2.2.2 24 Rail Defects 2.2.2.3 24 Replacement 2.2.2.4 25 Track Geometry 2.2.3 25 Installation and Realignment 2.2.3.1 26 Horizontal Alignment 2.2.3.2 26 Grade 2.2.3.3 26 iv

Cross Section Elevation 2.2.3.4 26 Gage 2.2.3.5 26 Frogs and Switches 2.2.4 27 Miscellaneous 2.2.5 28 Substructure 2.2.6 29 Crossties 2.2.7 30

RAILROAD ATTACHMENTS

(2-1) Summary of In-Service Railroad Trackage Inspection Criteria 31 (2-2) Standard Railroad Trackage Certification Document (sample format) 41 (2-3) Standard Track Inspection Record (sample format) 42 (2-4) Standard Turnout Inspection Checklist (sample format) 43

GROUND LEVEL CRANE TRACKAGE 3.0 45

Inspection 3.1 45 Continuous Operator Inspection 3.1.1 45 Preventive Maintenance (PM) 3.1.2 45 Safety Inspection 3.1.3 45 Detailed Inspection 3.1.4 46 Visual Inspection 3.1.4.1 47 Operational Inspection 3.1.4.2 47 Measurements 3.1.4.3 48 Detailed Inspection Documentation 3.1.4.4 48 Non-Destructive Testing 3.1.5 48 Standards 3.2 49 Trackage 3.2.1 49 Rail 3.2.2 50 Rail Type 3.2.2.1 50 Rail Size 3.2.2.2 50 Rail Defects 3.2.2.3 50 Replacement 3.2.2.4 50 Track Geometry 3.2.3 51 Installation and Realignment 3.2.3.1 51 Horizontal Alignment 3.2.3.2 51 Grade 3.2.3.3 52 Cross Section Elevation 3.2.3.4 52 Gage 3.2.3.5 52 Frogs and Switches 3.2.4 52 Miscellaneous 3.2.5 53 Substructure 3.2.6 54

GROUND LEVEL CRANE TRACKAGE ATTACHMENTS

(3-1) Summary of In-Service Ground Level Crane Trackage Inspection Criteria 55 (3-2) Standard Ground Level Crane Trackage Certification Document (sample format) 59 (3-3) Standard Track Inspection Record (sample format) 61

ELEVATED CRANE TRACKAGE 4.0 62

Inspection 4.1 62 Continuous Operator Inspection 4.1.1 62 Preventive Maintenance (PM) 4.1.2 62 Safety Inspection 4.1.3 62 Detailed Inspection 4.1.4 63 Visual Inspection 4.1.4.1 63 Support Structures 4.1.4.2 63 Operational Inspection/Load Test 4.1.4.3 64 Measurements 4.1.4.4 65 Detailed Inspection Documentation 4.1.4.5 65 Non-Destructive Testing 4.1.5 65 v

Standards 4.2 66 Trackage 4.2.1 66 Rail 4.2.2 66 Rail Type and Size 4.2.2.1 67 Rail Defects 4.2.2.2 67 Replacement 4.2.2.3 67 Track Geometry 4.2.3 67 Installation and Realignment 4.2.3.1 67 Horizontal Alignment 4.2.3.2 67 Grade 4.2.3.3 67 Cross Section Elevation 4.2.3.4 67 Span 4.2.3.5 68 Miscellaneous 4.2.4 68 Substructure 4.2.5 68

ELEVATED CRANE TRACKAGE ATTACHMENTS

(4-1) Summary of In-Service Elevated Crane Trackage Inspection Criteria 69 (4-2) Standard Elevated Crane Trackage Inspection/ Certification Document (sample format) 72 vi

ATTACHMENTS

(2-1) Summary of In-Service Railroad Trackage Inspection Criteria (2-2) Standard Railroad Trackage Certification Document (sample format) (2-3) Standard Track Inspection Record (sample format) (2-4) Standard Turnout Inspection Checklist (sample format) (3-1) Summary of In-Service Ground Level Crane Trackage Inspection Criteria (3-2) Standard Ground Level Crane Trackage Certification Document (sample format) (3-3) Standard Track Inspection Record (sample format) (4-1) Summary of In-Service Elevated Crane Trackage Inspection Criteria (4-2) Standard Elevated Crane Trackage Inspection/Certification Document (sample format)

REFERENCED DOCUMENTS

ANSI/ASNT CP189 2001 ASNT Standard for Qualification and Certification of Nondestructive Testing Personnel

AREMA Manual American Railway Engineering and Maintenance-of-Way Association - Manual for Railway Engineering

DOT FRA Standards The Department of Transportation (DOT), Code of Federal Regulations

(CFR)

Title 49 Transportation, Chapter II Federal Railroad Administration, Part 213 Track Safety Standards

DOT Highway Standards The Department of Transportation (DOT), Code of Federal Regulations

(CFR)

Title 23 Highways, Part 650, Subpart C National Bridge Inspection Standards

NAVFAC MO-104.2 Specialized Underwater Facilities Inspection NAVFAC MO-312.2 A Field Guide for The Receipt and Inspection of Treated Wood Products by Installation Personnel NAVFAC MO-321 Facilities Management NAVFAC MO-322 Vol I Vol I: Inspection of Shore Facilities NAVFAC MO-322 Vol II Vol II: Inspection of Shore Facilities

NAVFAC P-300 Management of Transportation Equipment NAVFAC P-301 Navy Railway Operating Handbook NAVFAC P-307 Management of Weight Handling Equipment

OPNAVINST 5102.1D Navy & Marine Corps Mishap and Safety Investigation, Reporting, and Record Keeping Manual OPNAVINST 5100.23G Navy Safety and Occupational Health (SOH) Program Manual

UFC 4-150-07 Maintenance of Waterfront Facilities UFC 4-860-03 Railroad Track Maintenance & Safety Standards UFC 4-152-01 Piers and Wharves UFC 3-320-07N Weight Handling Equipment

UFGS 05 12 00 Structural Steel UFGS 34 11 00 Railroad Track and Accessories UFGS 34 11 19.00 20 Welding Crane and Railroad Rail - Thermite Method UFGS 41 22 13.33 Portal Crane Track Installation http://www.asnt.org/publications/standards/cp-189/index.htm� http://www.arema.org/publications/mre/index.aspx� http://ecfr.gpoaccess.gov/cgi/t/text/text-idx?c=ecfr&sid=91b8ecec3c5a9d5df19beb2c325753d9&rgn=div5&view=text&node=49:4.1.1.1.8&idno=49� http://ecfr.gpoaccess.gov/cgi/t/text/text-idx?c=ecfr&tpl=/ecfrbrowse/Title23/23cfr650_main_02.tpl� http://www.wbdg.org/ccb/NAVFAC/OPER/mo104_2.pdf� http://www.wbdg.org/ccb/NAVFAC/OPER/mo312_2.pdf� http://www.wbdg.org/ccb/NAVFAC/OPER/mo321.pdf� http://www.wbdg.org/ccb/NAVFAC/OPER/mo322_1.pdf� http://www.wbdg.org/ccb/NAVFAC/OPER/mo322_2.pdf� https://portal.navfac.navy.mil/portal/page/portal/navfac/navfac_ww_pp/navfac_nfesc_pp/trackage� https://portal.navfac.navy.mil/portal/page/portal/navfac/navfac_ww_pp/navfac_nfesc_pp/trackage� https://portal.navfac.navy.mil/portal/page/portal/navfac/navfac_ww_pp/navfac_nfesc_pp/trackage� http://doni.daps.dla.mil/OPNAV.aspx?RootFolder=%2fDirectives%2f05000%20General%20Management%20Security%20and%20Safety%20Services%2f05%2d100%20Safety%20and%20Occupational%20Health%20Services&View=%7bDEF0EB11%2d3785%2d4F67%2dB5A1%2dAE9F8EB752BC%7d� https://acc.dau.mil/CommunityBrowser.aspx?id=377924� http://www.wbdg.org/ccb/DOD/UFC/ufc_4_150_07.pdf� http://www.wbdg.org/ccb/DOD/UFC/ufc_4_860_03.pdf� http://www.wbdg.org/ccb/DOD/UFC/ufc_4_152_01.pdf� http://www.wbdg.org/ccb/DOD/UFC/ufc_3_320_07n.pdf� http://www.wbdg.org/ccb/DOD/UFGS/UFGS%2005%2012%2000.pdf� http://www.wbdg.org/ccb/DOD/UFGS/UFGS%2034%2011%2000.pdf� http://www.wbdg.org/ccb/DOD/UFGS/UFGS%2034%2011%2019.00%2020.pdf� http://www.wbdg.org/ccb/DOD/UFGS/UFGS%2041%2022%2013.33.pdf�

INSPECTION, CERTIFICATION AND AUDIT

OF CRANE AND RAILROAD TRACKAGE

SECTION 1. GENERAL

1.0 Railroad and crane trackage inspections, certifications and audits shall be performed at the frequencies and in the detail specified in this instruction. Where not specifically described in this instruction, the inspection and maintenance management program for trackage shall comply with appropriate NAVFAC Maintenance Manuals, including MO-321, MO-322, MO-103 and UFC 4- 860-03 “Railroad Maintenance & Safety Track Standards”. In general, inspections shall consist of observing the functioning of the trackage as related to safety, maintenance and design parameters. Examination will be by sight, sound, feel, instrumentation and non-destructive testing. Inspection, certification and audit of trackage includes rails, ties, subgrade, supports, foundations, drainage appendages and accessories. Primary emphasis shall be given to ensuring maximum safety by maintaining all facilities in a safe and sound condition. Since there is a difference in program or procedure, trackage is divided into three Major Trackage Systems as defined below and discussed separately herein.

1.0.1 RAILROAD TRACKAGE. Railroad trackage applies to all track systems used by engines/locomotives, railcars, locomotive cranes, or hi-rail trucks including narrow gage systems.

1.0.2 GROUND-LEVEL CRANE TRACKAGE. Ground-level crane trackage applies to tracks for all weight handling equipment that operates at an activity. This includes but is not limited to trackage systems for portal, gantry, and the ground level rail for semi-gantry cranes.

1.0.3 ELEVATED CRANE TRACKAGE. Elevated crane trackage applies to all trackage systems attached to or suspended from side walls, columns, buildings, roofs or separate superstructures. This includes trackage for overhead or bridge cranes, wall cranes, and semi-gantry cranes.

NOTES: 1. Rail inspections for monorails; jib crane rails; "H" Beam, "I" Beam, or other structural steel shape rail supporting underhung crane systems; and trolley trackage for jib or other type hoists are conducted by the crane inspector in accordance with NAVFAC P-307.

Guidelines for inspection, certification and audit for these types of rail systems are not included in this instruction. Top running cranes using rubber tires running directly on I-beam or other steel shapes are also not covered.

2. Top running bridge cranes with single or double flanged steel wheels operating on steel shapes such as square, rectangular or triangular rails shall be inspected and certified in accordance with this instruction, but specific inspection requirements for the rail fastening and joining shall be developed locally based on the engineering design guidance.

3. When there is a Navy crane, that requires certification in accordance with NAVFAC P-307, operating on track that is not on Navy plant account, the trackage system will be inspected and certified in accordance with the provisions of this instruction.

4. Rail systems used for stacker cranes are not included in this program. Stacker cranes and associated runway systems are procured as Class 3 property. Large cab operated stacker cranes are inspected and certified in accordance with MO-118, “Vertical Transportation Equipment”.

5. Rail systems used by fixed load bridge systems, typically X-ray units, may be part of the Class 2 property plant account but the bridge is not a considered weight handling equipment in accordance with P-307. These trackage systems shall be inspected and certified in accordance with this instruction.

1.1 INSPECTION. Inspection and testing of trackage shall be performed by qualified activity personnel or by contract with assistance of Naval Facilities Engineering Service Center (NAVFAC ESC) personnel when requested. The responsibility for providing qualified trackage inspection is typically assigned to a Public Works Department of a Regional Facilities Engineering Command (FEC) or a weight handling department of commands not aligned with NAVFACENGCOM. Inspectors may designate a proposed degree-of-hazard (catastrophic, critical, or marginal) of a section or subsystem based on criteria contained herein and their judgment. Where there is any doubt regarding the seriousness of a defect, or a questionable safety condition, all use shall be stopped over the section of trackage involved until the deficiencies are corrected or until safe use is determined (see paragraph 1.3). Deficiencies designated as "catastrophic" or "critical" by inspection personnel shall be evaluated by the cognizant engineering or facilities management organization to determine corrective action and interim precautionary measures including "non-certification" or "restricted certification."

Inspections shall be conducted according to the interval stated herein or more often when deemed necessary by the work supervisor or as directed by the Certifying Official.

1.2 TRACK INSPECTORS QUALIFICATIONS. Track Inspectors are responsible for conducting safety inspections (paragraphs 2.1.3, 3.1.3 and 4.1.3) and detailed inspections (paragraphs 2.1.4, 3.1.4, and 4.1.4) including visual and operational inspections. These inspections are more inclusive and exacting than scheduled maintenance inspections and shall be conducted by trained personnel. The Certifying Official shall designate qualified persons to inspect track for defects. Each person designated must have:

(1) At least -

(a) 1 year of experience as an inspector working under the tutelage of a qualified experienced inspector performing normal track inspection duties at assigned activity.

and

(b) Attended NAVFACENGCOM Trackage Inspector Training Course or any equivalent course offered by the private industry or other government agencies.

Activities with local crane training programs may offer an elevated crane trackage inspector training course for their track inspectors, if the course training plan is approved and the instructor is authorized by NAVFAC ESC OP64. The course instructor shall have attended the NAVFACENGCOM elevated crane trackage course at least every five years. Activities providing local elevated crane track inspector training shall provide a list of attendees (name/position/code/telephone number) at the completion of each course to

NAVFAC ESC.

(2) Attend a refresher course in 1b above at least once every five years.

(3) Demonstrates to the Certifying Official that as an inspector -

(a) Knows and understands the requirements of this instruction and the Federal

Railroad Administration (FRA) Track Safety Standards.

(b) Can detect deviations from those requirements; and

(c) Can prescribe appropriate remedial action to correct or safely compensate for those deviations.

(4) The designation of the track inspector(s) by the Certifying Official shall be in writing and include the basis for each designation. Basis of designation, as a minimum, shall include number of years of experience and dates the training course was attended to show that qualifications have been met and are current. In addition, the Certifying Official shall provide written authorization to the track inspector to prescribe remedial actions to correct or safely compensate for deviations from the requirements of this instruction.

1.3 CERTIFICATION. All in-service trackage shall have a current certification according to one of the classifications shown herein, signed and dated by the Certifying Official. All out of service trackage shall be documented as non-certified for use or documented by the Certifying Official that it is inactive status. Certification shall be made and documented at intervals not to exceed two years. The two year interval for track certification and operational inspection (paragraph 4.1.4.3) for elevated crane trackage may be based on the crane certification date at the discretion of the Certifying Official as long as it does not exceed the track certification date by over 45 days. The track certification shall indicate the date of crane certification. Also see paragraph 1.3.1 regarding extension of certification. Current and previous certification for each section of trackage shall be readily maintained on file. Restrictions for restricted certification shall be documented and on file. Inspection methods and tests described or referenced herein shall be used as the basis for trackage certification. At any time during the two year period of the certification, the annual visual or two/five year operational inspections become over due, the certification will be cancelled in accordance with paragraph 1.3.4. At which time overdue inspection(s) are accomplished, certification/recertification will be in accordance with paragraph

1.3.4. Attachments (2-2), (3-2) and (4-2) provide minimum requirements for a certification documents for each of the three major trackage systems and may be used; however, activities have the option to use locally developed forms. For inactive trackage or trackage used infrequently, certification may be performed just prior to use. When there is any doubt as to the degree-of-hazard over a given section of trackage, a certification shall not be given until a detailed investigation and engineering evaluation have been completed to determine whether or not the section of trackage involved can be certified safe, or whether or not restricted operations may continue pending restoration.

1.3.1 Extension of Certification. Tracks with a Full Certification may have the certification extended for a period not to exceed 30 days for railroad and ground level crane track and a period not to exceed 45 days (corresponds with extension allowed for cranes in accordance with the P-307) for elevated crane track. The Certifying Official shall document the length of certification extension in writing. In addition to requiring a full certification for track certification to be extended, the following shall apply:

a. Track shall have a current detailed inspection within two weeks prior to extension;

b. Elevated crane track shall receive a “No load test” in accordance with paragraph

4.1.4.3.2 of this document and Appendix E, NAVFAC P-307.

c. Track shall have been active and seen normal use during the certification period and

d. There shall be no indication of subgrade or support structure degradation.

1.3.2 Certifying Official. The Certifying Official shall:

(1) Be designated as responsible for the sustainment/restoration and inspection of trackage, in writing, by the Commanding Officer of the regional FEC or local activity Commanding Officer. Alternate Certifying Official(s) may also be designated, in writing to act in the absence of the Certifying Official. Routinely, certification shall be made by the Certifying Official. The alternate Certifying Official should only certify track due to lengthy absence of the Certifying Official or when production delays would occur. The Certifying Official shall be made aware of all certifications performed during the Certifying Official’s absence

(2) Approve all certifications.

(3) Be responsible for safety and shall insure the visual supervision of each operation over the defective sections when necessary to use non-certified trackage.

(4) Insure a visual examination of the cause of non-certification is accomplished prior to use to determine if the trackage can be used for emergency or temporary traffic.

(5) Indicate, in writing, mandatory precautions and restrictions to be enforced when a section of restricted or non-certified trackage is used.

(6) Delegate the authority to visually supervise movement on noncertified trackage, except for movement of hazardous or nuclear material, provided that defects have been examined to ensure they have not progressed or changed and that occasional movements can be made safely. The Certifying Official shall supervise movement on non-certified trackage of hazardous or nuclear material.

1.3.3 Certification Classifications

1.3.3.1 Full Certification. Trackage systems with minor deficiencies classified as "marginal" (paragraph 1.4.3) or no defect may be fully certified for all operations. These sections shall be repaired, when practical, during regularly scheduled track work operations. Records of un-repaired marginal rail defects and substandard trackage shall be kept current and the trackage continually observed during all future inspections to identify any further degradation which might result in "critical" defects.

1.3.3.2 Restricted Certification. Trackage systems with "Critical" rail defects (paragraph 1.4.2) or potentially dangerous sections of trackage may be scheduled for restricted operation at the discretion of the Certifying Official, provided FRA Trackage Safety Standards Paragraph 213.113 is complied with or all of the following actions are taken:

(1) Replacement or repair is scheduled.

(2) Deficient areas are clearly and specifically marked with warning signs when practical, or specified in written instructions and restrictions.

(3) Operators are informed to proceed with extreme caution.

(4) Reduced speed operation is approved following an engineering inspection.

(5) Defect or defects are carefully reinspected during safety inspections at intervals prescribed by FRA or intervals of not more than every six months, whichever is less.

(For infrequently used trackage, inspections may be made just prior to use.)

1.3.3.3 Non-Certification. Trackage systems which have "catastrophic" rail defects (paragraph 1.4.1) or dangerous sections of trackage shall not be certified. Usage shall be stopped until the section or sections of trackage have been repaired or replaced and certified. Emergency use of non-certified trackage is discussed in paragraph 1.3.2. Sections of trackage that are defective, damaged, misaligned or otherwise failing to meet the standards established in the FRA Track Safety Standards or this instruction shall be barricaded or marked with warning signs when practical and service shall be discontinued. When a catastrophic defect is found which cancels the certification of a specific section of track, service shall be discontinued over the defect and the problem area shall be isolated with barricades when practical. In addition to discontinuing service and isolating the problem area, the following actions shall be done to ensure maximum safety:

(1) Advise all concerned.

(2) When repaired, re-examine the specific section of trackage. An operational inspection is not a mandatory action. (See paragraphs 2.1.4.2.4, 3.1.4.2.3, and 4.1.4.3.3)

(3) Recertify the repaired section. (See paragraph 1.3.4)

(4) Update documentation to reflect defects, repair(s) made, reinspection, and recertification.

1.3.4 Cancelled Certification. Tests or inspections made between certifications that indicate previously unreported catastrophic defects, critical defects or other unsafe conditions shall automatically cancel certification over the specific section of trackage involved. The term "specific section" refers to the immediate area in which a defect occurs and not to the entire section of trackage certified. The certification of trackage on either side of such a defect may remain as classified at the discretion of the Certifying Official. If the new defect does not change the certification classification, the certification should not be changed. For example: If a critical defect is discovered in a section of trackage with restricted certification, the certification remains the same and is not cancelled. If the defect found would require a more restrictive certification than the entire section of trackage under certification, the certification over the specific section would change and appropriate actions, as discussed above, taken. This change in certification shall be documented and made known to the Certifying Official. The method used to remove the specific section of trackage from service is an activity option, provided all defects are recorded in history files and users of subject trackage are apprised of trackage defects and special precaution to take while using. Upon completion of investigation and temporary or permanent restoration, the specific section shall be reinspected. If the classification of certification is the same as for the entire section, the exception for the specific section involved may be cancelled and the original certification used.

1.4 Trackage Defect Classification. Defect hazards are grouped into three categories -

(1) Catastrophic, (2) Critical, and (3) Marginal. These categories are as recommended in MIL- STD 882D. Defects are listed in the hazard category in which they normally occur. Exceptions and variations are expected; therefore, experience or engineering judgment must be used to determine the degree of hazard for each defect. Guidelines to assist inspectors and certifying officials in determining the degree of hazard of a defect are described below and summarized in Attachments (2-1), (3-1) and (4-1).

1.4.1 "Catastrophic". Sections of trackage with catastrophic defects involved shall not be used until repaired, except as noted in paragraph 1.3.3.3. Catastrophic defects include unsafe track conditions based on engineering judgment and experience, and defects requiring immediate change out of rail. The following defects are considered catastrophic and all traffic shall be stopped until repairs are made:

(1) Any breakout in the railhead.

(Exception as detailed in Note 6, Attachment (3-1), for ground level crane rail.)

(2) Rail defects accumulating three feet or more in any l0 feet.

(3) Broken base exceeding six inches.

(4) For railroad trackage any defect exceeding FRA Class 1 Track Safety Standards, catastrophic defects listed in Attachment 2-1, or “no operation” defects listed in UFC 4-860-03.

Specific criteria for evaluating the consequences of defects outside the range designated as critical for crane rail are not available. The activity shall evaluate the severity of each such defect and shall classify the degree-of-hazard based on engineering judgment and experience.

Temporary or emergency repair of defective rails may reduce the degree-of-hazard to critical, marginal or no defect depending on the severity of the defect.

1.4.2 "Critical". Trackage with critical defects may continue in use provided that all actions addressed in paragraph 1.3.3.2 are complied with. Any defect exceeding FRA Class 2 Track Safety Standards or “restricted operation” defects addressed in UFC 4-860-03 are considered critical. Guidelines for classifying critical defects are provided in Attachments (2-1), (3-1) and (4-1).

1.4.3 "Marginal". Marginal defects are deficiencies that will not cause damage to the trackage system or operating equipment, or endanger personnel safety and that should be scheduled for routine sustainment and restoration. The intent in recording marginal or minor defects is to ensure that defects which may grow are monitored. In accordance with Note 8, Attachment (2-1) and Note 5, Attachments (3-1) and (4-1), certain internal rail defects may be categorized as marginal provided the defect is inspected six months after discovery and annually thereafter to ensure that the defect is not progressing.

1.5 AUDIT. Naval Facilities Engineering Service Center (NAVFAC ESC) shall schedule and conduct audits of maintenance management of trackage at each activity.

1.5.1 Purpose. The audit evaluates the effectiveness of trackage management at each activity, including Sustainment, Restoration, and Modernization (SRM), to ensure the safety and reliability of the facility’s trackage and to furnish the activity and claimant with an appraisal of the track management program. The audit team shall review procedures and make recommendations for improving trackage management. Portions of the trackage system shall be inspected and results compared with the activity’s inspections. The audit will be directed to affirm that the trackage management, including certification programs, is being conducted in a satisfactory manner and that activity instructions on implementation are adequate.

1.5.2 Frequency and Method,

1.5.2.1 On-site audits shall be conducted at two-year intervals for trackage in any of the following categories:

– Railroad trackage that does not have RAILER implemented and used for trackage management.

– Railroad trackage that handles nuclear material or ordnance.

– Trackage supporting Category 1 cranes with curves.

– Trackage supporting Category 1 cranes with critical or catastrophic defects at the last audit.

1.5.2.2 On-site audits shall be conducted at four-year intervals for trackage in any of the following categories:

– Railroad trackage that does not require audits at two-year intervals under paragraph 1.5.2.1.

– Trackage supporting Category 1 cranes that does not require audits at two-year intervals under paragraph 1.5.2.1.

– Trackage supporting Category 2 cranes.

– Trackage supporting Category 3 cranes handling nuclear material.

1.5.2.3 Paperwork review only audits, shall be scheduled at six-year intervals and conducted at NAVFAC ESC for trackage supporting Category 3 cranes that do not require audits at four-year intervals under paragraph 1.5.2.2. On-site audits shall be scheduled when any of the following criteria are met:

– The activity is new to the trackage program or has never had an audit for any reason.

– The activity has only one inspector and the inspector has not had one year of experience under a designated inspector at that activity.

– The audit records review indicates there are significant documentation errors such as

– 20% of cranes have had a defaulted certification within the last four years.

– 20% of records are missing signatures, inspections are not recorded or similar defects

– The NAVFAC Crane Center notes they have concerns with the rail system.

1.5.2.4 Activities with trackage supporting a mixture of Category 2 and Category 3 cranes shall be audited at the required Category 2 frequency unless their Category 2 inventory is less than 20% of the total inventory, the Category 2 cranes are infrequently used and an activity requests the lower frequency.

1.5.2.5 NAVFAC ESC may conduct audits more frequently when requested by the cognizant Navy Region or systems command, when previous audits recommend additional follow-up, or when any audit reveals that the trackage maintenance management program at an activity is not satisfactory.

1.5.3 Reports. A report on the effectiveness and adequacy of the program shall be forwarded to the cognizant Navy Region, FEC, activity Commanding Officer and system command within 45 calendar days after completion of the audit.

1.5.4 Non-Certification of Trackage. If during the performance of an audit or other track inspection the auditor determines that a serious catastrophic defect exists in any portion of the trackage and the activity is not taking appropriate measures and/or the trackage maintenance and inspection program is so poor that continued operation of the trackage is unsafe, the auditor shall issue a Trackage Audit Non-Certification form covering the affected portion, segment, track or system. The activity shall cease all operation over the identified trackage until repairs are made and the activity certifies to NAVFAC ESC that the track is now safe for use.

1.5.5 Activity Coordination. Schedules of audits will be coordinated with the activity to be audited and the activity formally notified. The activity's cognizant Navy Region, FEC, Commanding Officer and system command shall be advised of the dates that the audit will be conducted. Activities shall submit the following records in PDF format not less than 30 days before the audit to NAVFAC ESC: mishap reports, inventory, inspection reports, certification documents and other related information. Refer to NAVFAC BMS B15.21 Trackage Audits or NAVFAC ESC for the most current and complete list. To establish credibility of documents involving inspections and tests, a representative from the audit team may be present to observe a portion of the activity's operational and visual inspections and tests. The activity’s inspectors shall accompany the track auditor during portions of the field examination. Activities shall ensure that all audit team findings are correct before the team members depart. The activity shall review preliminary recommendations and provide the audit team with reclamas or disagreements prior to the departure conference.

1.5.6 Response. The activity audited shall forward a plan of action to its cognizant Navy Region or systems command within 30 days after receipt of the audit report with a copy to NAVFAC ESC. Reports on the corrective actions taken on the audit report recommendations shall be submitted annually until the actions are complete.

1.5.7 Report Records. The activity shall maintain on file previous audits and activity responses until all actions on findings are complete and shown as complete on a subsequent audit report.

1.6 NON-DESTRUCTIVE TESTING (NDT).

1.6.1 Ultrasonic Testing. Ultrasonic inspection is a non-destructive test method for revealing internal discontinuities in dense homogenous materials by means of acoustic waves of frequencies above the audible range. Ultrasonic testing is the recommended method for non-destructive testing of readily accessible rail. Ultrasonic testing is an economical method of checking long lengths of trackage and rail encased in pavement. Generally ultrasonic testing of elevated crane rails is not required; however, elevated crane rails may be ultrasonically tested at the discretion of the Certifying Official.

1.6.1.1 Ultrasonic Equipment Operators. Operators of the ultrasonic equipment shall be certified to a Level I qualification in accordance with the American Standards Institute (ANSI)/American Society for Nondestructive Testing (ASNT) Standard CP189-2001 "ASNT Standard for Qualification and Certification of Nondestructive Testing Personnel"

1.6.1.2 Ultrasonic Equipment. The ultrasonic equipment operated by qualified personnel (para. 1.6.1.1) shall be able to detect, but not be limited to, the following discontinuities in the rail.

Transverse fissures or other centrally located transverse defects representing approximately 10% of the cross-sectional area of the rail head.

Detail fractures representing approximately 15% of the cross-sectional area of the rail head and not masked from above by the shallow horizontal separations sometimes associated with shells.

Engine burn fractures or transverse separations developing from thermal cracks underneath the driver burns representing approximately 20% of the cross-sectional area of the rail head.

Horizontal split heads at least two inches in length, extending at least halfway through the rail head and located one-half inch or more below the running surface of the rail.

Vertical split heads so oriented as to interrupt an ultrasonic signal transmitted centrally through the rail section from above.

Head and web separations and split webs outside the joint bar limits at least two inches in length and progressing entirely through the rail web.

Joint defects (bolt hole cracks and head and web separations inside the joint bar limits) at least one-half inch in length and progressing entirely through the rail web.

Defective welds (plant or field) - with centrally located transverse defects, voids or inclusions in the rail head representing approximately 10% of the cross-sectional area of the rail head; with transverse head defects not centrally located representing approximately 15% of the cross-sectional area of the rail head; and with web defects in a generally horizontal plane at a rail weld approximately two inches in length or longer with penetration more than halfway through the rail web.

1.6.1.3 Calibration. Ultrasonic inspection equipment shall be calibrated to ensure reliable interpretation of responses. The approximate smallest indication that can be consistently detected include, but are not necessarily limited to, the following simulated, "marginal" defects.

(1) A one-quarter (1/4) inch diameter hole drilled horizontally through the rail head.

(2) A bolt hole through the web.

(3) A horizontal one-half (1/2) inch long sawn crack between the head and the web.

(4) A vertical one-half (1/2) inch long sawn crack in the web (optional depending on equipment available).

1.6.2 Sounding. Sounding with a hammer is one of the best and least expensive methods of testing rail, and is a practical way to inspect elevated crane trackage or relatively short sections (1,000 feet or less) of ground level trackage, where it was impractical to perform an ultrasonic inspection or inaccessible during the ultrasonic inspection and other trackage systems where ultrasonic testing is impractical. Light tapping with a 12 - 24 ounce steel hammer about every six inches will reveal looseness between rail and anchor plate, and defects before they become serious. Similar to ultrasonic testing, all non-standard responses should be investigated and recorded for future comparison. If sounding is used, rails shall be tested for defects upon activation and at annual intervals. This interval may be extended to a 2-4 year schedule based on an engineering analysis accomplished by the activity. The engineering analysis shall be in writing and take into account rail usage, age, history, and experience in determining a frequency other than an annual.

1.6.3 Other Non-Destructive Tests. Magnetic particle, dye penetrant, and other non-destructive test methods may be advantageous in investigating potential defects indicated by other inspections. Eddy current, x-ray or other approved, non-destructive test methods brought about by state-of-the-art advances may be used to supplement ultrasonic testing or sounding based on local conditions, availability, economics, experience and engineering judgment.

1.7 MISCELLANEOUS INSPECTIONS AND TESTS. Other inspections may be used to determine the safe condition of trackage under unique or unusual circumstances or to make a detailed engineering investigation of specific, critical components of a trackage system. Prior to use, the availability, limitations and practicability of any special investigation shall be evaluated.

Special inspections, such as the following, may assist in determining the condition of trackage.

1.7.1 Seismograph. Under certain conditions seismographic instruments may be beneficial in determining voids in fill material or embankments, level of water tables or location of slippage planes in the foundation below trackage systems.

1.7.2 Increment Bore. Timber trestles, piling and other wood structures should be examined for soundness when deterioration is suspected or when necessary to make an engineering analysis. In addition, this test may be required to help determine adequacy of treatment of new material.

1.7.3 Strain Gages. When the structural analysis for the anticipated maximum loading of a structure indicates certain members may be overstressed or marginal, a load test (duplicating or exceeding maximum total moment and shear experienced in-service) with stress and strain instrumentation is appropriate.

1.8 UNDERWATER INSPECTION. Underwater inspections of waterfront structures supporting crane or railroad trackage shall be conducted in accordance with guidelines contained in MO-104.2 Specialized Underwater Facilities Inspection, MO-311 Marine Biology Operational Handbook, and MO-322 Vol II Inspection of Shore Facilities. Inspections of piers, wharfs, quaywalls, and bulkheads shall include, but are not limited to: bearing or plumb piles, batter piles, pile caps, stringers, adjacent seawalls, riprap, sheet piling, abutments, and other subcomponents.

1.8.1 Frequency. Underwater and below deck inspections of support structures are required as follows:

(1) At intervals not to exceed six years. In historically polluted waters which are being radically cleaned, all wood structures should be inspected every three years. An engineering analysis of each structure should be made to determine the appropriate inspection interval.

(2) After obvious overload or structural damage

(3) After a major storm.

(4) Following a ship collision.

(5) When recommended by other investigations, evaluations, and engineering judgment based on age of the structure, material condition, deterioration rate, biofouling growth, and suspected damage or deficiencies.

1.8.2 Assistance. The NAVFAC ESC will provide technical guidance, specifications, and assistance when requested for in-house or contract underwater inspections.

1.9 MISHAP INVESTIGATION. Activities shall investigate and keep records of all trackage related accidents, incidents or minor mishaps including derailments, safety violations, personal injury, and property damage. Activities shall keep investigation records for all accidents and incidents related to trackage until data is verified during an audit review. When necessary, investigations and reporting shall be made in accordance with OPNAVINST 5102.1D, Mishap and Safety Investigation, Reporting, and Record Keeping Manual and OPNAVINST 5100.23G, Navy Safety and Occupational Health (SOH) Program Manual and reported to the Naval Safety Center. Additional guidelines for detailed investigation of trackage systems are included in NAVFAC MO-103, Change 1. Completed mishap reports shall be forwarded to NAVFAC ESC (CIFSI) within 30 days of mishap. Based on information learned from mishap reports, recommended sustainment and changed procedures to enhance mishap prevention shall be discussed at track conferences or distributed to all concerned. Investigation records shall include, but are not limited to:

(1) Date and time.

(2) Location and weather.

(3) Description of event.

(4) Type system and property involved.

(5) Type of operation and speed.

(6) Estimated cost of damage.

(7) Reported injuries.

(8) Track conditions.

(9) Factors leading to mishap.

(10) Corrective action(s) taken.

(11) Investigators

1.10 RECORDS.

1.10.1 In order to manage and administer trackage inspections, sustainment/restoration programs, and design, the following information should be available in a usable condition so that it may be referred to easily and readily. Where documents do not exist, a program with milestones for establishing missing data should be initiated to obtain data on trackage systems.

Generally, missing information is obtained simultaneously with repairing or upgrading sections of trackage. It is expected that the information required in this section will be obtained routinely with minimal disturbance of operations. Activity needs and priority for production and manpower should be considered prior to scheduling any survey work. In addition, track geometry information should be obtained when any of the conditions noted in paragraphs 2.2.3,

3.2.3 and 4.2.3 exist and when spot check measurements are required to verify the visual observations discussed in paragraphs 2.1.4.3, 3.1.4.3 and 4.1.4.3. Specific requirements for maintaining records of required inspections are addressed in specific paragraphs related to those inspections.

1.10.2 TRACK CHARTS. Track charts, plans, maps or plats shall be maintained as part of the real property records. They shall be kept up to date and used for programming future work, scheduling current work, indicating abnormal conditions and recording maintenance and inspection data. Track charts can be in any format, filed to suit activity needs, and shall be usable as a working document.

1.10.3 PLAN AND PROFILE. Detailed plan and top of rail profile or grades of crane and railroad track systems shall be kept current and may be shown on the track chart or separately.

Size and type of rail, switches, degree of curvature for RR trackage alignment, frogs and other rail appurtenances should be indicated on the plan. Structures and other features which control or mandate alignment or grade, and reference points for location and elevation checks should be accurately referenced.

1.10.3.1 Top of Rail Profile. A detailed top of rail profile has a very low priority except where grades approach the allowable limits. In most cases the grade may be determined using a hand level and rod. The resulting estimated profile may be considered adequate until an accurate survey is required. A long range program to accomplish profile surveys is not required provided they are conducted when related problems are investigated or when new rail is installed.

1.10.3.2 Elevated Crane Rail Systems. The profile of elevated crane trackage may be considered level and the plan may be assumed to be a straight line provided the system alignment is straight and none of the conditions listed in paragraph 4.2.3 exist. A long range program to accomplish surveys is not required; however, when detailed surveys are conducted they shall be recorded.

1.10.3.3 Rail Identification. When rail is encased in pavement or otherwise unidentifiable, the size and type of rail should be estimated based on random uncovering or activities' experience.

When positive identification cannot be made, that fact should be documented on the records.

When an unidentified rail is repaired or replaced, the size and type of rail should be obtained and recorded on the plan or track chart and in the historical records file.

1.10.4 CROSS SECTION. Cross sections of substructures shall be maintained, when known and available, especially the substructures under tracks around piers, drydocks, trestles, and wet areas.

1.10.5 HISTORICAL DATA. Historical data on each system shall be retained and shall include the following:

(1) Dates that the system was installed.

(2) Weight of rail, gage of track.

(3) History of sustainment, restoration, major replacement and realignment.

(4) Replacement of rail and major tie replacement.

(5) Methods of accomplishing previous work.

(6) Design information, justification and background:

(a) Maximum capacity - where designs do not exist, load limits may be established based on engineering judgments and weight tests.

(b) Engineering calculations to establish maximum loading. When available, original or updated design calculations shall be maintained. If not available, original engineered structural drawing(s) that indicates the capacity/load limit the design was based on may be used. When none of these are available, a statement describing the basis used to determine the maximum load limit should be included in the historical data.

(c) Supporting Structures. Valid structural analysis for all supporting structures based on or exceeding current maximum loading. Structural safety verification shall be on file for supporting substructures. When original or updated design calculations are not available, original engineered structural drawing(s) of the support structure that indicates the capacity/load limit the design was based on may be used. As a minimum, especially for massive structures, an engineering certification based on visual observations, historical performance, and, when necessary, basic calculations on critical components should be available.

(d) For trackage encased in pavement, an accurate as-built description, certification or pictures shall be obtained. Tie spacing including number and pattern of spikes or tie down bolt spacing shall be verified.

(7) NAVFACENGCOMHQ approval of railroad curves and turn-outs.

(8) Justification or exceptions to standards (waivers).

(9) Other pertinent information.

1.10.6 PROPOSED PROJECTS. Maintain a list of pending work including: major sustainment and restoration projects (approved, submitted and needed), minor work to be accomplished with local funding and major replacement projects which are being considered for MCON funding. Use "multi-year" renewal programs for rail or tie replacement when practical.

SECTION 2. RAILROAD TRACKAGE

2.1 INSPECTION.

2.1.1 CONTINUOUS OPERATOR INSPECTION. Daily or prior to use safety checks listed in activity regulations shall be conducted. In addition, on-the-job observations shall be performed in accordance with P-301 at all times when equipment is working. Railroad operations personnel (engineers, brakeman, conductors, trackmen, etc.) shall be encouraged to observe and report track problems, deficiencies, obstructions and the "feel" of the track.

2.1.2 PREVENTIVE MAINTENANCE (PM) - PM SERVICE AND PM INSPECTION.

2.1.2.1 PM is a continuous working inspection, examination of component parts, lubrication, adjustment, and minor repair. NAVFAC manuals MO-103 "Maintenance of Trackage" and MO- 322 "Inspection of Shore Facilities" Volumes I and II contain instructions on performing maintenance service and inspection and provide lists of check points. PM service and inspection are normally conducted by the crews assigned to or operating the equipment, by the track walkers, by Maintenance Shop personnel, and/or by contract. The PM Inspections and Services are scheduled as directed by the Public Works Officer or Activity Commander. Flexibility exists in the frequency of PM inspections based on usage, climatic conditions, history, and experience;

therefore, the Public Works Officer or Activity Commander shall establish PM schedules. On systems where lubrication of moving parts, adjustments to electrical or mechanical systems, tightening of loose bolts, and other minor repairs are minimal, the PM service requirements may be identified during the safety inspection and annual detailed…