Rail_solicitation.pdf

PDF 1 MB Posted Mar 18, 2016

Attached to: RAILWAY INSPECTION
Solicitation number: W912L9-16-T-0016
Issued by: Department of the Army Indiana Army National Guard

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SEE ADDENDUM

(No Collect Calls)

W912L9-16-T-0016 18-Mar-2016

b. TELEPHONE NUMBER

812-847-9894 X0

8. OFFER DUE DATE/LOCAL TIME

10:00 AM 18 Apr 2016

5. SOLICITATION NUMBER 6. SOLICITATION ISSUE DATE

AUTHORIZED FOR LOCAL REPRODUCTION

PREVIOUS EDITION IS NOT USABLE

STANDARD FORM 1449 (REV. 2/2012)

Prescribed by GSA – FAR (48 CFR) 53.212

(TYPE OR PRINT)

(SIGNATURE OF CONTRACTING OFFICER)

ADDENDA ARE

26. TOTAL AWARD AMOUNT (For Gov t. Use Only )

23.

CODE 10. THIS ACQUISITION IS

SUCH ADDRESS IN OFFER

17b. CHECK IF REMITTANCE IS DIFFERENT AND PUT

BELOW IS CHECKED

TELEPHONE NO.

W912L99. ISSUED BY

18b. SUBMIT INVOICES TO ADDRESS SHOWN IN BLOCK 18a. UNLESS BLOCK

7. FOR SOLICITATION

INFORMATION CALL:

a. NAME

DOUGLAS J. MARCZAK

2. CONTRACT NO. 3. AWARD/EFFECTIVE DATE 4. ORDER NUMBER

(TYPE OR PRINT)

30b. NAME AND TITLE OF SIGNER 30c. DATE SIGNED 31b. NAME OF CONTRACTING OFFICER

30a. SIGNATURE OF OFFEROR/CONTRACTOR 31a.UNITED STATES OF AMERICA

0 27a. SOLICITATION INCORPORATES BY REFERENCE FAR 52.212-1. 52.212-4. FAR 52.212-3. 52.212-5 ARE ATTACHED.

25. ACCOUNTING AND APPROPRIATION DATA

1. REQUISITION NUMBER

20.

ADDITIONAL SHEETS SUBJECT TO THE TERMS AND CONDITIONS SPECIFIED.

OFFEROR TO COMPLETE BLOCKS 12, 17, 23, 24, AND 30

SOLICITATION/CONTRACT/ORDER FOR COMMERCIAL ITEMS

ARE NOT ATTACHED

27b. CONTRACT/PURCHASE ORDER INCORPORATES BY REFERENCE FAR 52.212-4. FAR 52.212-5 IS ATTACHED. ADDENDA ARE ARE NOT ATTACHED

(BLOCK 5), INCLUDING ANY ADDITIONS OR CHANGES WHICH ARE

SET FORTH HEREIN, IS ACCEPTED AS TO ITEMS:

. YOUR OFFER ON SOLICITATION

28. CONTRACTOR IS REQUIRED TO SIGN THIS DOCUMENT AND RETURN

% FOR:SET ASIDE:UNRESTRICTED ORX

SMALL BUSINESS

17a.CONTRACTOR/ CODE FACILITY

OFFEROR CODE

USPFO FOR INDIANA

2002 S. HOLT RD., SUITE 109

INDIANAPOLIS IN 46241-4839

18a. PAYMENT WILL BE MADE BY CODE

RATED ORDER UNDER

DPAS (15 CFR 700)

13a. THIS CONTRACT IS A

13b. RATING

CODE15. DELIVER TO CODE W9072X 16. ADMINISTERED BY

12. DISCOUNT TERMS11. DELIVERY FOR FOB DESTINA-

TION UNLESS BLOCK IS

MARKED

SEE SCHEDULE

14. METHOD OF SOLICITATION

RFQ IFB RFPX

W53T0A - INST SUPPORT UNIT

MAJ JOHN C ROARK

BUILDING 3, CLARK STREET

EDINBURGH IN 46124-1096

TEL: 812-526-1252 FAX: 812-526-1248

812-458-8795FAX:

TEL: 317-247-3300 X 41676 SERVICE-DISABLED

VETERAN-OWNED

SMALL BUSINESS

8(A)

HUBZONE SMALL

BUSINESS

SIZE STANDARD:

NAICS:

482112

OFFER DATED

29. AWARD OF CONTRACT: REF.

DELIVER ALL ITEMS SET FORTH OR OTHERWISE IDENTIFIED ABOVE AND ON ANY

COPIES TO ISSUING OFFICE. CONTRACTOR AGREES TO FURNISH AND

EMAIL:

TEL:

31c. DATE SIGNED

SEE SCHEDULE

SCHEDULE OF SUPPLIES/ SERVICESITEM NO. QUANTITY UNIT UNIT PRICE AMOUNT

24.22.21.19.

WOMEN-OWNED SMALL BUSINESS (WOSB)

ELIGIBLE UNDER THE WOMEN-OWNED

SMALL BUSINESS PROGRAM

EDWOSB

32g. E-MAIL OF AUTHORIZED GOVERNMENT REPRESENTATIVE

SOLICITATION/CONTRACT/ORDER FOR COMMERCIAL ITEMS

(CONTINUED)

PAGE 2 OF54

ACCEPTED, AND CONFORMS TO THE CONTRACT, EXCEPT AS NOTED: ______________________________________________________

32a. QUANTITY IN COLUMN 21 HAS BEEN

RECEIVED INSPECTED

32b. SIGNATURE OF AUTHORIZED GOVERNMENT

REPRESENTATIVE

32c. DATE 32d. PRINTED NAME AND TITLE OF AUTHORIZED GOVERNMENT

REPRESENTATIVE

32e. MAILING ADDRESS OF AUTHORIZED GOVERNMENT REPRESENTATIVE 32f . TELEPHONE NUMBER OF AUTHORIZED GOVERNMENT REPRESENTATIVE

37. CHECK NUMBER

FINALPARTIALCOMPLETE

36. PAYMENT35. AMOUNT VERIFIED

CORRECT FOR

34. VOUCHER NUMBER

FINAL

33. SHIP NUMBER

PARTIAL

38. S/R ACCOUNT NUMBER 39. S/R VOUCHER NUMBER 40. PAID BY

41a. I CERTIFY THIS ACCOUNT IS CORRECT AND PROPER FOR PAYMENT

41b. SIGNATURE AND TITLE OF CERTIFYING OFFICER 41c. DATE

42a. RECEIVED BY (Print)

42b. RECEIVED AT (Location)

42c. DATE REC'D (YY/MM/DD) 42d. TOTAL CONTAINERS

STANDARD FORM 1449 (REV. 2/2012) BACK

Prescribed by GSA – FAR (48 CFR) 53.212

AUTHORIZED FOR LOCAL REPRODUCTION

PREVIOUS EDITION IS NOT USABLE

SEE SCHEDULE

20.

SCHEDULE OF SUPPLIES/ SERVICES

21.

QUANTITY UNIT

22. 23.

UNIT PRICE

24.

AMOUNT

19.

ITEM NO.

Section SF 1449 - CONTINUATION SHEET

ITEM NO SUPPLIES/SERVICES QUANTITY UNIT UNIT PRICE AMOUNT

RAILWAY SPUR INSPECTION (Base Period)

FFP

This represents one (1) year Base Period: 1 May 2016 through 30 April 2017. (See Attached Scope of Work) FOB: Destination

NET AMT

0001AA 12 Months

SIGNAL INSPECTION

FFP

Grade Crossing Warning System (Monthly): This inspection consists of testing all basic systems to ensure that an appoaching train will be detected and that the battery backup system is functioning. Test to confirm that all of the lights, gates, and all systems operate with the AC power "on" and that all of these same signal components operate with the AC power "off". Verify that all lights are visible, signs are legible, bells are audible, and battery condition is acceptable. (See

0001AB 12 Months

TRACK AND SWITCH INSPECTION

FFP

Track and Switch Inspection: This inspection consists of walking the entire Atterbury lead track from the L & I mainline to the end of track (EOT), a distance of appox. 32,543' +/- (6.16 miles). All track , switches and derails are inspected for proper operation, FRA defects and any other items of repair that may be observed.

The track is inspected to a minimum of FRA Class 1 track safety standards. In addition, culverts are checked for obstructions and bridges are checked for build up of drift. (See Attached Scope of Work)

OPTION RAILWAY SPUR INSPECTION (Option Year 1)

FFP

This represents one (1) year Option Period One: 1 May 2017 through 30 April 2018. (See Attached Scope of Work)

0002AA 12 Months

OPTION SIGNAL INSPECTION

FFP

0002AB 1 Each

OPTION SIGNAL INSPECTION-RELAY TEST

FFP

Relay Test (Every 4 Years): This test to be performed once this year. All Relays are to be tested according to FRA Title 49 CFR, Part 234. Any Relay found to be defective is to be reported immediately to DPW and the Contracting Office. (See

0002AC 1 Each

OPTION SIGNAL INSPECTION-MEGGER TEST

FFP

Megger Test (Every 10 Years): This test to be performed once this year. All underground Signal Cables will be Meggered according to FRA Title 49 CFR, Part

234. Any Cable found to be defective is to be reported immediately to DPW and the Contracting Office. (See Attached Scope of Work)

0002AD 12 Months

OPTION TRACK AND SWITCH INSPECTION

FFP

The track is inspected to a minimum of FRA Class 1 track safety standards. In addition, culverts are checked for obstructions and bridges are checked for build up

OPTION RAILWAY SPUR INSPECTION (Option Year 2)

FFP

This represents one (1) year Option Period 2: 1 May 2018 through 30 April 2019.

(See Attached Scope of Work)

0003AA 12 Months

OPTION SIGNAL INSPECTION

FFP

0003AB 12 Months

OPTION TRACK AND SWITCH INSPECTION

FFP

The track is inspected to a minimum of FRA Class 1 track safety standards. In addition, culverts are checked for obstructions and bridges are checked for build up

OPTION RAILWAY SPUR INSPECTION (Option Year 3)

FFP

This represents one (1) year Option Period 3: 1 May 2019 through 30 April 2020.

0004AA 12 Months

OPTION SIGNAL INSPECTION

FFP

0004AB 12 Months

OPTION TRACK AND SWITCH INSPECTION

FFP

The track is inspected to a minimum of FRA Class 1 track safety standards. In addition, culverts are checked for obstructions and bridges are checked for build up

OPTION RAILWAY SPUR INSPECTION (Option Year 4)

FFP

This represents one (1) year Option Period 4: 1 May 2020 through 30 April 2021.

0005AA 12 Months

OPTION SIGNAL INSPECTION

FFP

0005AB 12 Months

OPTION TRACK AND SWITCH INSPECTION

FFP

The track is inspected to a minimum of FRA Class 1 track safety standards. In addition, culverts are checked for obstructions and bridges are checked for build up

INSPECTION AND ACCEPTANCE TERMS

Supplies/services will be inspected/accepted at:

CLIN INSPECT AT INSPECT BY ACCEPT AT ACCEPT BY

0001 Destination Government Destination Government 0001AA Destination Government Destination Government 0001AB Destination Government Destination Government 0002 Destination Government Destination Government 0002AA Destination Government Destination Government 0002AB Destination Government Destination Government 0002AC Destination Government Destination Government 0002AD Destination Government Destination Government 0003 Destination Government Destination Government 0003AA Destination Government Destination Government 0003AB Destination Government Destination Government 0004 Destination Government Destination Government 0004AA Destination Government Destination Government 0004AB Destination Government Destination Government 0005 Destination Government Destination Government 0005AA Destination Government Destination Government 0005AB Destination Government Destination Government

DELIVERY INFORMATION

CLIN DELIVERY DATE QUANTITY SHIP TO ADDRESS DODAAC

0001 N/A N/A N/A N/A

0001AA POP 01-MAY-2016 TO

30-APR-2017

N/A W53T0A - INST SUPPORT UNIT

MAJ JOHN C ROARK

BUILDING 3, CLARK STREET

EDINBURGH IN 46124-1096

812-526-1252

W9072X

0001AB POP 01-MAY-2016 TO

30-APR-2017

N/A (SAME AS PREVIOUS LOCATION)

0002 N/A N/A N/A N/A

0002AA POP 01-MAY-2017 TO

30-APR-2018

N/A W53T0A - INST SUPPORT UNIT

MAJ JOHN C ROARK

BUILDING 3, CLARK STREET

EDINBURGH IN 46124-1096

812-526-1252

0002AB POP 01-MAY-2017 TO

30-APR-2018

N/A (SAME AS PREVIOUS LOCATION)

0002AC POP 01-MAY-2017 TO

N/A (SAME AS PREVIOUS LOCATION)

0002AD POP 01-MAY-2017 TO

N/A (SAME AS PREVIOUS LOCATION)

0003 N/A N/A N/A N/A

0003AA POP 01-MAY-2018 TO

30-APR-2019

N/A W53T0A - INST SUPPORT UNIT

MAJ JOHN C ROARK

BUILDING 3, CLARK STREET

EDINBURGH IN 46124-1096

812-526-1252

0003AB POP 01-MAY-2018 TO

30-APR-2019

N/A (SAME AS PREVIOUS LOCATION)

0004 N/A N/A N/A N/A

0004AA POP 01-MAY-2019 TO

30-APR-2020

N/A W53T0A - INST SUPPORT UNIT

MAJ JOHN C ROARK

BUILDING 3, CLARK STREET

EDINBURGH IN 46124-1096

812-526-1252

0004AB POP 01-MAY-2019 TO

30-APR-2020

N/A (SAME AS PREVIOUS LOCATION)

0005 N/A N/A N/A N/A

0005AA POP 01-MAY-2020 TO

30-APR-2021

N/A W53T0A - INST SUPPORT UNIT

MAJ JOHN C ROARK

BUILDING 3, CLARK STREET

EDINBURGH IN 46124-1096

812-526-1252

0005AB POP 01-MAY-2020 TO

30-APR-2021

N/A (SAME AS PREVIOUS LOCATION)

CLAUSES INCORPORATED BY REFERENCE

52.212-5 Contract Terms and Conditions Required to Implement

Statutes or Executive Orders--Commercial Items

FEB 2016

252.204-7004 Alt A System for Award Management Alternate A FEB 2014

STATEMENT OF WORK

GENERAL SCOPE OF WORK

Railroad Track, Switch and Signal Inspections at Camp Atterbury

A. GENERAL REQUIREMENTS

SCOPE OF WORK: The Army railroad track spur located at Camp Atterbury, Edinburgh, Indiana must be maintained at or above minimum condition levels in order that the trackage can support Army missions. The work under this contract shall include all inspections and minor adjustments of track, signals, switches and trestles required by Code of Federal Regulations (49CFR Part 213), Federal Railroad Administration (FRA) Regulations, Unified Facilities Criteria (UFC) 4-860-03 (Railroad Track Maintenance & Safety Standards-dated 13 February 2008) which supersedes the Army TM 5-628 (Railroad Track Standards – dated April 1991), Army Regulations 420-72 (Surface Area, Bridges, Railroad Track and associated Appurtenances

– dated 28 March 1991) and these specifications. Contractor shall follow the attached Track Inspection Schedule. Track inspections will be conducted by a qualified track inspector. Railroad track inspectors shall meet the following qualifications: (A) Certified Track Inspector as specified by Army Regulation 420-72, (B) Know and understand the requirements of track maintenance, (C) Understand and detect deviations from the TM 5-628, (D) Recommend appropriate remedial action to correct deviations. This railroad spur has approximately 6.16 miles (32,543’+/-) of track to include thirteen (13) Turnouts and one (1) Switch Point Derail, two

(2) bridges and one (1) Public Signalized Crossing

CONTRACTOR SHALL PROVIDE: The contractor is to perform services non-personal to provide all labor, equipment and tools necessary to accomplish the work/inspections specified herein. Contractor shall be FRA qualified for the work to be performed and shall be experienced in the inspection of railroad track, signals and tressles. The contractor shall coordinate with the Contracting Officer Representative (COR) a reasonable time and date of the monthly inspections, which will allow the COR the opportunity to be present during the inspection as well as inform Camp Atterbury Staff of the upcoming inspection and resolve any conflicts if needed.

The contractor shall, within ten (10) working days of the inspection, make known to the Contracting Officer Representative as well as the Contracting Officer any required maintenance / repair identified as a result of inspections made under this contract along with recommended corrective measures and an estimated cost of repair. Any FRA defects will be reported by phone, in-person or e-mail as soon as possible, including the applicable FRA defect code. One (1) legible copy of all signal test reports and testing logs shall be kept in the signal case; one (1) legible copy of the track inspection and signal test report shall be submitted to the Contracting Officer Representative. Monthly Inspections are to be conducted with at least twenty (20) calendar days between each inspection, regardless of class. Type of inspections and intervals are as follows:

SIGNAL INSPECTION

Grade Crossing Warning System

This inspection consists of one (1) Highway–Rail Grade Crossing Warning System located at US Highway 31 North of Edinburgh, Indiana per FRA (Federal Railroad Administration) Part 234 guidelines - Signal & Train Compliance Manual “Grade Crossing Signal System Safety” (see attached) and shall be inspected on a Monthly, Quarterly and Yearly basis. All Relays are to be tested every (4) years and all underground Signal cables will be Meggered once every (10) years. The Relay test (required every 4 years) and Megger test (required every 10 years) are to be performed in Year 2 (OPTION Period 1) of this contract. All Relay test and Megger test are to be performed according to FRA Title 49CFR, part 234. Any Relay or Cable found to be defective is to be reported and documented to DPW, Camp Atterbury within 24 hours. Inspection consists of testing all basic systems to ensure that an approaching train will be detected and that the battery backup system is functioning. Test to confirm that all of the lights, gates, and all systems operate with the AC power “on” and that all of these same signal components operate with the AC power “off”. Verify that all lights are visible, signs are legible, bells are audible, and battery condition is acceptable.

TRACK and SWITCH INSPECTION

Track and Switch Inspection

This inspection consists of walking the entire Atterbury lead track from the L&I mainline to the end of track (EOT), a distance of approx. 32,543’ +/- (6.16 miles). All track, switches and derails are inspected for proper operation, FRA defects and any other items of repair that may be observed. The track is inspected to a minimum of FRA Class 1 track safety standards. In addition, culverts are checked for obstructions and bridges are checked for build up of drift.

Type of Inspection Frequency Period

BASE PERIOD

Signal Inspection-Grade Crossing Warning System (Monthly) 5/1/2016 - 4/30/2017 Track and Switch Inspection (Monthly) 5/1/2016 - 4/30/2017

OPTION PERIOD 1

Signal Inspection-Grade Crossing Warning System (Monthly) 5/1/2017 - 4/30/2018 Relay Test (Every 4 years) (Once) 5/1/2017 – 4/30/2018 Megger Test (Every 10 years) (Once) 5/1/2017 – 4/30/2018 Track and Switch Inspection (Monthly) 5/1/2017 - 4/30/2018

OPTION PERIOD 2

Signal Inspection-Grade Crossing Warning System (Monthly) 5/1/2018 - 4/30/2019 Track and Switch Inspection (Monthly) 5/1/2018 - 4/30/0219

OPTION PERIOD 3

Signal Inspection-Grade Crossing Warning System (Monthly) 5/1/2019 - 4/30/2020 Track and Switch Inspection (Monthly) 5/1/2019 - 4/30/2020

OPTION PERIOD 4

Signal Inspection-Grade Crossing Warning System (Monthly) 5/1/2020 - 4/30/2021 Track and Switch Inspection (Monthly) 5/1/2020 - 4/30/2021

B. Points of Contact:

Contractor may be required to sign in each day with the DPW during the course of the actual contract at a place and time designated by IN ARNG POC.

IN ARNG COR: CPT John C. Johanningsmeier PHONE: (812) 526-1658 E-MAIL ADDRESS: john.c.johanningsmeir.mil@mail.mil

IN ARNG KO: Mrs. Sheri Herrin PHONE: (812) 526-1742 E-MAIL ADDRESS: sheri.r.herrin.civ@mail.ml

IN ARNG Owner: MAJ John C. Roark PHONE: (812) 526-1252 E-MAIL ADDRESS: john.c.roark.mil@mail.mil

C. General Contract Provisions: Contractor is responsible to accomplish this work in accordance with all Federal, State, local laws; FRA and Army regulations, rules and codes, to include OSHA, IOSHA and AFOSH standards and to abide by ALL installation policies, guidelines and procedures including, but not limited to, the statement of General Contract Provisions given below.

1. Site Visit. Bidders are urged and expected to inspect the site where the work/services are to be performed. Site visits can be arranged by contacting the DPW at (812) 526-1251 between the hours of 0800 - 1600, Monday through Friday.

2. The Contractor shall identify, in writing, one or more authorized job site Representatives, who shall be on the job site at all times during inspection operations

RAIL SPUR MAP

WAGE DETERMINATION

There is no Occupation Code identified for Track, Switch, and Signal Inspector, according to the Department of Labor, therefore No wage determination was issued for this procurement. In accordance with Title 29 C.F.R. Part 4, Section 4.6(d), the contractor is required to pay no less than the Federal minimum wage.

FRA PART 234 COMPLIANCE MANUAL

Signal & Train Control Compliance

Manual

PART 234 - GRADE CROSSING SIGNAL SYSTEM SAFETY

Compliance Policy

The 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 the Federal 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 is not forthcoming.

In determining whether use of civil penalty sanctions is necessary, the inspector will take into consideration whether the railroad has installed and maintained the installation in a manner likely to provide for its proper functioning in the interval between required inspections and tests. The inspector shall also take into account the harsh environment in which the installation is required to function. Civil penalty sanctions should not be recommended for conditions that the railroad could not have prevented through use of due diligence, provided those conditions occurred subsequent to a previous inspection or test of the system.

Conditions that arise through no fault on the part of the railroad include, for example -- o Gate arm breakage.

o Lamp outage or damage to flashing light units due to mechanical damage.

o Gate 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 of adjustment that is not predictable or reasonably preventable, for example --o Lamp outage due to normal burn out of filament, where outages represent failure at an expected rate due to expired service life.

o Switch circuit controller connection loose at time of quarterly inspection.

o Insulation in insulated joint in bad condition at time of quarterly inspection.

o Switch 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 the installation by motor vehicles, or lack of proper maintenance. In individual cases such as those cited above, the inspector should record a defect and the railroad will be expected to promptly remedy the condition as required by Section 234.207.

While certain conditions may seem minor in nature when viewed individually, any failure to correct could result in an activation failure, partial activation, or false activation. Accordingly, should the inspector encounter a pattern involving any such condition, indicating lack of proper inspection or maintenance, civil penalties 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 grade crossing warning systems. This part also prescribes standards for the reporting of failures of such systems and prescribes minimum actions railroads must take when such warning systems malfunction.

Signal & Train Control Compliance Manual

This part does not restrict a railroad from adopting and enforcing additional or more stringent requirements not inconsistent with this part.

§ 234.3 Application.

The following examples address specific types of rail operations and whether this rule applies to that operation:

(1) Rail freight operations - This part applies to all freight railroads which are part of the general railroad system of transportation. FRA's regulations generally exclude railroads whose entire operations are confined to an industrial installation, i.e., "plant railroads" such as those in steel mills that do not go beyond the plant's boundaries. However, even where a railroad operates outside of the general system, other railroads that are part of that system may have occasion to enter the first railroad's property. In that case the plant railroad would have to meet FRA's highway-rail grade crossing warning system standards if a general system railroad operated over the grade crossing. These regulations do not apply to a freight carrying railroad (and the highway-rail grade crossings over which it operates) which is not part of the general railroad system of transportation. Both public and private crossings that general system railroads operate over are covered by this part.

(2) Rail rapid transit - This part does not apply to rail rapid transit operations conducted over track that is used exclusively for that purpose and that is not part of the general railroad system of transportation. (Note: See FRA/FTA Shared Corridor Policy (Federal Register Volume 65, No. 132, July 10, 2000 for further information)).

(3) Rail passenger operations - This part does apply to passenger railroad operations if any of the following exists on the line of railroad: (a) a public highway-rail grade crossing that is in use; (b) an at grade rail crossing that is in use; (c) a bridge over a public road or waters used for commercial navigation;

(d) or its operations are within 30 feet of those of any other railroad. If any of these conditions exist, all highway-rail grade crossings over which the railroad operates, both public and private crossings, are subject to this rule. It is important to note that the fact that a passenger railroad is not connected to the general railroad system does not in itself affect a railroad's duty to comply with this part. An analysis must be made as to the presence of the above mentioned factors.

When a manually operated highway-rail grade crossing active warning system contains components covered 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 the same subject matter, except a provision directed at an essentially local safety hazard that is consistent with this part and that does not impose an undue burden on interstate commerce.

§ 234.5 Definitions.

Activation Failure:

An activation failure is the failure of an active highway-rail grade crossing warning system to indicate the approach of a train at least 20 seconds prior to the train's arrival at the crossing, or to indicate the presence of a train occupying the crossing, unless the crossing is provided with an alternative means of active warning to highway users of approaching trains. (This failure indicates to the motorist that it is safe to proceed across the railroad tracks when, in fact, it is not safe to do so.)

A grade crossing warning system does not indicate the approach of a train within the meaning of this paragraph if:

(1) more than 50 percent of the flashing lights (not gate arm lights) on any approach lane to the crossing are not functioning as intended, or

(2) in the case of an approach lane for which two or more pairs of flashing lights are provided, there is not at least one flashing light pair operating as intended.

Back lights on the far side of the crossing are not considered in making these determinations.

It shall not be deemed an activation failure if alternative means, as set forth in Section 234.105, are used to provide warning to highway users approaching the crossing where an active warning system is inoperative.

Appropriately Equipped Flagger:

A person other than a train crewmember who is equipped with a vest, shirt, or jacket of a color appropriate for daytime flagging such as orange, yellow, strong yellow green or fluorescent versions of these colors or other generally accepted high visibility colors. For nighttime flagging, similar outside garments shall be retro reflective. Acceptable hand signal devices for daytime flagging include "STOP/SLOW" paddles or red flags. For nighttime flagging, a flashlight, lantern, or other lighted signal shall be used.

Inasmuch as Part VI of the Federal Highway Administrations's (FHWA) Manual on Uniform Traffic Control Devices (MUTCD) addresses standards and guides for flaggers and flagging equipment for highway traffic control, FRA recommends that railroads be aware of the standards and follow them to the greatest extent possible. Copies of the latest MUTCD provisions regarding flagging will be available from FRA, as well as FHWA, as changes are made in this area.

Credible report of system malfunction:

Specific information regarding a malfunction at an identified highway-rail grade crossing, supplied by a railroad employee, law enforcement officer, highway traffic official, or other employee of a public agency acting in an official capacity.

False Activation:

The activation of a highway-rail grade crossing warning system caused by a condition that requires correction or repair of the grade crossing warning system. (This failure indicates to the highway user that it 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 and pathways, 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, one of the two lights does not operate properly (and approaching motorists can not clearly see flashing back lights from the warning lights on the other side of the crossing);

(2) at gated crossings, the gate arm is not in a horizontal position; or

(3) at gated crossings, any portion of a gate arm is missing if that portion normally had a gate arm flashing light attached.

Train:

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 warning system.

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 number

800-424-0201, within 24 hours. This telephone report is not a substitute for other required written reports as appropriate.

Application:

An accident/incident, as defined in Section 225.5(b)(1), is an impact between on-track railroad equipment and an automobile, bus, truck, motorcycle, bicycle, farm vehicle, or pedestrian. When an accident/incident occurs, involving an activation failure of an active highway-rail grade crossing warning system, the telephone report must be made.

It shall not constitute an activation failure if on-track railroad equipment is not designed, equipped, and relied upon to activate such highway-rail grade crossing warning system.

An activation failure is as defined in Section 234.5.

CLASSIFICATION OF DEFECTS

234 0007 01 Impact involving a highway-rail grade crossing warning system activation failure not reported to National Response Center by telephone within 24 hours after occurrence.

234 0007 02 Telephone 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 highway-rail grade crossing warning system.

This section requires that each activation failure, including those resulting in an accident/incident (as defined in Section 225.5(b)(1), be reported to FRA within 15 days on Form FRA F6180.83 in accordance with the instructions contained on the form. The completed form shall be submitted to the FRA Regional Administrator of the region in which the railroad is headquartered.

An 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, and relied upon to activate the highway-rail grade crossing warning system.

234 0009 01 Report of activation failure not submitted on prescribed form within 15 days.

234 0009 02 Report 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 of highway-rail grade crossing warning systems to a designated railroad employee or employees, and that such reports shall be made by the quickest means of communications available.

The intent of this section is that each railroad issue to its employees rules that require its employees to report by the quickest means available, any activation failure, partial activation or false activation of a highway-rail grade crossing warning system. The railroad must designate a person or persons to whom all such reports must be made. The railroad may do so by inserting the information in their timetable, special instructions, general orders, etc.

234 0101 01 Rules not issued requiring railroad employees to report any malfunction of highway-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 warning system has been received, the railroad having maintenance responsibility for the warning system shall promptly 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 Section 234.207.

A credible report of a highway-rail grade crossing warning system malfunction is defined in Section 234.5 as a report from a railroad employee, law enforcement officer, highway traffic official, or other employee of a public agency acting in an official capacity.

This section also requires that the railroad provide alternative means of warning highway traffic and railroad employees in accordance with Sections 234.105, 234.106 or 234.107, until such malfunction has been investigated and repair or correction of the warning system is completed, or the system is discontinued or dismantled.

This section specifies that nothing in these regulations forces a railroad to continually repair a warning system that, under state law, may be retired. However, a railroad must still comply with this Subpart during retirement proceedings. This section requires that until repair, correction, discontinuance, or dismantling of the system is completed, the railroad must comply with this part.

Each railroad must take prompt action to investigate any credible report of a malfunctioning highway-rail grade crossing warning system, and each malfunction shall be corrected without undue delay. This section does not require a railroad to continue to repair and maintain a highway-rail grade crossing warning system that might otherwise be discontinued under state laws. The railroad may elect to discontinue and disassemble the warning system, but until the warning system is physically removed, the railroad shall provide alternative means of warning the highway users and railroad employees.

234 0103 01 Credible report of highway-rail grade crossing warning system malfunction not promptly investigated.

234 0103 02 Action not taken to provide alternative means of warning highway users and railroad 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 prompt action to provide alternative means of warning highway users and railroad employees at a specific crossing where a credible report of a system malfunction involving an activation failure has been received. This section further requires specific actions to be followed to provide that alternative warning.

When a railroad receives a credible report of a system malfunction involving an activation failure, it is required to take prompt action to notify train crews, and other railroads operating over such crossing, prior to the next train operation over the crossing. Further, the railroad is also required to notify the law enforcement agency having jurisdiction over such crossing, or the railroad police who are capable of responding to control vehicular traffic at the crossing. Finally, the railroad must take action to assure that its employees or a law enforcement agency provide the required alternative means of warning for highway users at the crossing.

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 uniformed railroad police officer, or an appropriately equipped flagger for each direction of highway traffic at the crossing, trains may proceed over the crossing at normal speed. If an appropriately equipped flagger provides the alternative means of warning but there is less than one flagger for each direction of highway traffic available at the crossing, trains must not exceed 15 mph until the locomotive has passed over the crossing. If there is no appropriately equipped flagger, uniformed law enforcement officer, or uniformed railroad police officer to provide alternative warning, each train must stop and a member of the train crew must 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 with railroad rules when approaching a crossing where an activation failure has occurred. The reference to railroad rules has to do with the manner in which the horn is sounded. This section preempts any State or local "whistle bans" with respect to use of the horn under the circumstances addressed in the section.

234 0105 01 Train crew or other railroads operating over crossing not notified of activation failure prior to arrival of train at crossing.

234 0105 02 Law enforcement agency having jurisdiction or railroad police not promptly notified of activation failure.

234 0105 03 Alternate means of actively warning highway users not provided at crossing where credible report indicates activation failure has occurred.

234 0105 04 Train passed over crossing at normal speed without alternate means of warning being provided by the required number of appropriately equipped flaggers, uniformed law enforcement officer, or uniformed railroad police officer.

234 0105 05 Train passed over crossing at a speed of more than 15 mph with alternate means of warning not being provided by at least one appropriately equipped flagger for each direction of highway traffic.

234 0105 06 Flagger not equipped with required vest, shirt, or jacket.

234 0105 07 Flagger not equipped with required flagging equipment.

234 0105 08 Train failed to stop at crossing when the required alternate means of warning was not provided.

234 0105 09 After train stopped, crewmember failed to get off train and flag highway traffic to a stop when the required alternate means of warning was not provided.

234 0105 10 Locomotive audible warning device not sounded in accordance with the railroad's rules 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 prompt crossing 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.

When a railroad receives a credible report of a system malfunction involving a partial activation, it is required to take prompt action to notify train crews and other railroads operating over such crossing prior to the next train operation over the crossing. Further, the railroad is also required to notify the law enforcement agency having jurisdiction over such crossing, or the railroad police who are capable of responding to control vehicular traffic at the crossing. Finally, the railroad must take action to assure that

When the alternative warning that is provided consists of at least one uniformed law enforcement officer, or one uniformed railroad police officer, or an appropriately equipped flagger for each direction of highway traffic at the crossing, trains may proceed over the crossing at normal speed. If there is not an appropriately equipped flagger for each direction of highway traffic or at least one uniformed law enforcement officer or uniformed railroad police officer at the crossing, each train may proceed with caution through the crossing at a speed not exceeding 15 mph. A train may proceed at normal speed after its locomotive has passed over the crossing. Where a shoving movement is involved, a crewmember must be on the ground to flag the train through the crossing.

In lieu of complying with the alternative warning requirements listed above, a railroad may temporarily take the warning system out of service if the railroad complies with all requirements of Section 234.105, "Activation failure".

This section also requires that the locomotive audible warning device be activated in accordance with railroad rules when approaching a crossing where a partial activation has been reported. The reference to railroad rules has to do with the manner in which the horn is sounded. This section preempts any State or local "whistle bans" with respect to use of the horn under the circumstances addressed in the section.

234 0106 01 Train crew or other railroads operating over crossing not notified of partial activation prior to arrival of train at crossing.

234 0106 02 Law enforcement agency having jurisdiction or railroad police not promptly notified of partial activation.

234 0106 03 Alternate means of actively warning highway users not provided at crossing where credible report indicates partial activation has occurred.

234 0106 04 Train passed over crossing at a speed exceeding 15 mph without alternate means of warning being provided by the required number of appropriately equipped flaggers, uniformed law enforcement officers, or uniformed railroad police officers.

234 0106 05 Crewmember not on the ground at the crossing to flag train through the crossing in a shoving movement.

234 0106 06 Flagger not equipped with required vest, shirt, or jacket.

234 0106 07 Flagger not equipped with required flagging equipment.

234 0106 08 Warning system taken out of service without complying with the requirements of Section 234.105.

234 0106 09 Locomotive audible warning device not sounded in accordance with the railroad's rules as train approached crossing where partial activation has been identified by a credible report.

§ 234.107 False activation.

This section requires that a railroad having maintenance responsibility for a warning system take prompt crossing where a credible report of a system malfunction involving a false activation has been received.

This section further requires that specific actions be followed to provide that alternative warning.

When a railroad receives a credible report of a system malfunction involving a false activation, it is required to take prompt action to notify train crews and other railroads operating over such crossing prior to the next train operation over the crossing. Further, the railroad is also required to notify the law enforcement agency having jurisdiction over such crossing, or the railroad police who are capable of responding to control vehicular traffic at the crossing. Finally, the railroad must take action to assure that

This section also requires that the locomotive audible warning device be activated in accordance with railroad rules when approaching a crossing where a false activation has been reported. The reference to railroad rules has to do with the manner in which the horn is sounded. This section preempts any State or local "whistle bans" with respect to use of the horn under the circumstances addressed in the section.

234 0107 01 Train crew or other railroads operating over crossing not notified of false activation prior to arrival of train at crossing.

234 0107 02 Law enforcement agency having jurisdiction or railroad police not promptly notified of false activation.

234 0107 03 Alternate means of actively warning highway users not provided at crossing where credible report indicates false activation has occurred.

234 0107 04 Train passed over crossing at a speed exceeding 15 mph without alternate means of warning being provided by the required number of appropriately equipped flaggers, uniformed law enforcement officers, or uniformed railroad police officers.

234 0107 05 Crewmember not on the ground at the crossing to flag train through the crossing in a shoving movement.

234 0107 06 Flagger not equipped with required vest, shirt, or jacket.

234 0107 07 Flagger not equipped with required flagging equipment.

234 0107 08 Warning system taken out of service without complying with the requirements of Section 234.105.

234 0107 09 Locomotive audible warning device not sounded in accordance with the railroad's rules as train approached crossing where false activation has been identified by a credible report.

(Reference Technical Bulletin S-96-08)

§ 234.109 Recordkeeping.

This section requires the railroad to keep a record of each credible report of a warning system malfunction. This section specifies the information that is to be recorded, and that each record shall remain on file and available for inspection by the FRA for a period of at least one year from the date of the last railroad activity in connection with such report.

Each railroad is required to keep a record of each credible report of a highway-rail grade crossing warning system malfunction. Such record may be kept on a form provided by the railroad or electronically. Each record shall contain the following information: (1) Location of crossing (by highway name and DOT/AAR crossing inventory number); (2) Time and date that the railroad received the report; (3) Action taken by railroad to comply with Section 234.105, 234.106, or 234.107; and (4) Time and date of action taken to make final repair or correction. If the system is dismantled and removed instead of repaired, the date of removal should be recorded.

Each record of a credible report of a warning system malfunction shall be kept and made available for inspection by the FRA for one year from the last date of action taken on each report. Thus, if the warning system is repaired and put back in service, the record shall be kept for one year from the date of the last repair to reactivate the system. If the system is dismantled and removed, the record shall be kept for one year from the date of the removal. The records required by this section may be kept at division offices or at a central location somewhere on the railroad.

234 0109 01 Record not kept of credible report of malfunctioning highway-rail grade crossing warning system.

234 0109 02 Record of credible report of malfunctioning highway-rail grade crossing warning system incomplete.

234 0109 03 Record of credible report of malfunctioning highway-rail grade crossing warning system incorrect.

234 0109 04 Record of credible report of malfunctioning highway-rail grade crossing warning system not kept for at least one year…

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