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[Code of Federal Regulations]
[Title 49, Volume 4]
[Revised as of October 1, 2003]
[CITE: 49CFR235]

[Page 495-499]
 

TITLE 49--TRANSPORTATION
CHAPTER II--FEDERAL RAILROAD ADMINISTRATION, DEPARTMENT OF TRANSPORTATION
PART 235--INSTRUCTIONS GOVERNING APPLICATIONS FOR APPROVAL OF A DISCONTINUANCE OR MATERIAL MODIFICATION OF A SIGNAL SYSTEM OR RELIEF FROM THE REQUIREMENTS OF PART 236--Table of Contents



Sec.
235.1 Scope.
235.3 Application.
235.5 Changes requiring filing of application.
235.7 Changes not requiring filing of application.
235.8 Relief from the requirements of part 236 of this title.
235.9 Civil penalty.
235.10 Contents of application.
235.12 Additional required information-prints.
235.13 Filing procedure.
235.14 Notice.
235.20 Protests.

Appendix A to Part 235--Schedule of Civil Penalties

    Authority: 49 U.S.C. 20103, 20107, and 49 CFR 1.49.

    Source: 49 FR 3380, Jan. 26, 1984, unless otherwise noted.

Sec. 235.1  Scope.

    This part prescribes application for approval to discontinue or 
materially modify block signal systems, interlockings, traffic control 
systems, automatic train stop, train control, or cab signal systems, or 
other similar appliances, devices, methods, or systems, and provides for 
relief from part 236 of this title.

Sec. 235.3  Application.

    (a) Except as provided in paragraph (b) of this section, this part 
applies to railroads that operate on standard gage track which is part 
of the general railroad system of transportation.
    (b) This part does not apply to rail rapid transit operations 
conducted over track that is used exclusively for that purpose and that 
is not part of the general system of railroad transportation.

Sec. 235.5  Changes requiring filing of application.

    (a) Except as provided in Sec. 235.7, applications shall be filed to 
cover the following:
    (1) The discontinuance of a block signal system, interlocking, 
traffic control system, automatic train stop, train control, or cab 
signal system or other similar appliance or device;
    (2) The decrease of the limits of a block signal system, 
interlocking, traffic control system, automatic train stop, train 
control, or cab signal system; or
    (3) The modification of a block signal system, interlocking, traffic 
control system, automatic train stop, train control, or cab signal 
system.
    (b) [Reserved]

(Approved by the Office of Management and Budget under control number 
2130-0042)

Sec. 235.7  Changes not requiring filing of application.

    (a) It is not necessary to file an application for approval of the 
following discontinuances:

[[Page 496]]

    (1) Removal of block signal system, interlocking, traffic control 
system, automatic train stop, train control, or cab signal system from 
track approved for abandonment by formal proceeding;
    (2) Removal of devices and associated signals used to provide 
protection against unusual contingencies such as landslide, burned 
bridge, high water, high and wide load, or tunnel protection when the 
unusual contingency no longer exists;
    (3) Removal of an interlocking where a drawbridge has been 
permanently closed by the formal approval of another government agency; 
or
    (4) Removal from service not to exceed six months of block signal 
system, interlocking, or traffic control system necessitated by 
catastrophic occurrence such as derailment, flood, fire, or hurricane.
    (b) When the resultant arrangement will comply with part 236 of this 
title, it is not necessary to file for approval to decrease the limits 
of a system as follows:
    (1) Decrease of the limits of an interlocking when interlocked 
switches, derails, or movable-point frogs are not involved;
    (2) Removal of electric or mechanical lock from hand-operated switch 
in automatic block signal or traffic control territory where train speed 
over switch does not excess 20 miles per hour; or
    (3) Removal of electric or mechanical lock from hand-operated switch 
in automatic block signal or traffic control territory where trains are 
not permitted to clear the main track at such switch.
    (c) When the resultant arrangement will comply with part 236 of this 
title, it is not necessary to file an application for approval of the 
following modifications:
    (1) A modification that is required to comply with an order of the 
Federal Railroad Administration or any section of part 236 of this 
title;
    (2) The installation of an automatic block signal or a traffic 
control system to replace manual block or non-signaled territory;
    (3) The installation of a traffic control system to replace a 
roadway automatic block signal system (discontinuance of an automatic 
train stop, train control, or cab signal system is not permitted without 
FRA approval);
    (4) The installation of an automatic train stop, train control, or 
cab signal system in an existing automatic block or traffic control 
system;
    (5) The installation of a continuous inductive automatic train stop 
system to replace an existing intermittent inductive automatic train 
stop system;
    (6) The installation of a continuous inductive automatic train stop 
system to supplement an existing automatic cab signal system;
    (7) The installation of an automatic train control system to replace 
an existing automatic train stop system or to supplement an existing 
automatic cab signal system;
    (8) The installation of an interlocking to replace existing stop 
signs, gates, or pipe-connected derails protecting a railroad crossing 
at grade;
    (9) The installation of all relay type locking to replace existing 
mechanical or electromechanical locking of an interlocking;
    (10) The installation of an additional controlled point in existing 
traffic control system;
    (11) The installation of an interlocking in an existing block signal 
system;
    (12) The conversion of a hand-operated switch, a hand-operated 
switch locked either electrically or mechanically, or a spring switch to 
a power-operated switch;
    (13) The conversion of a spring switch to a hand-operated switch, or 
to a hand-operated switch locked either electrically or mechanically;
    (14) The removal or relocation of signals associated with a spring 
switch converted to hand operation;
    (15) The installation, relocation, or removal of signals to 
specifically provide adequate stopping distance;
    (16) The change of aspects;
    (17) The relocation of a signal to improve preview of signal aspect 
visibility;
    (18) To replace a signal with a signal of another type;
    (19) To change an approach signal to operative or inoperative 
signal, or remove an approach signal not required by Sec. 236.310 of 
this title;

[[Page 497]]

    (20) The change in location of a machine from which an interlocking 
or traffic control system is controlled;
    (21) The closing of a manual block station or the change in hours 
during which a manual block station is attended;
    (22) The change in hours during which a manual interlocking is 
attended provided the interlocking operates for all routes over which 
train movements are permitted;
    (23) The installation of devices used to provide protection against 
unusual contingencies such as landslide, burned bridges, high water, 
high and wide loads, or dragging equipment;
    (24) The installation, relocation, or removal of signals, 
interlocked switches, derails, movable-point frogs, or electric locks in 
an existing system directly associated with:
    (i) The installation of new track;
    (ii) The elimination of existing track other than a second main 
track;
    (iii) The extension or shortening of a passing siding;
    (iv) Elimination of second main track where signal system mn 
retained main track is arranged to provide both opposing and following 
protection for train movements provided second main track is physically 
removed; or
    (v) A line relocation; or
    (vi) The conversion of pole line circuits to electronic (coded) 
track circuits provided that the railroad gives notice and a profile 
plan of the change to the FRA regional office having jurisdiction over 
that territory at least 60 days in advance of the change. The railroad 
must also at the same time provide a copy of the notice and profile plan 
to representatives of employees responsible for maintenance, inspection 
and testing of the signal system under 49 CFR Part 236. The signal 
system modification will be deemed acceptable, unless within 60 days, 
the Regional Adminstrator stays action by written notice to the railroad 
and refers the issue to the Railroad Safety Board for decision.
    (25) The temporary or permanent arrangement of existing systems 
necessitated by highway rail separation construction. Temporary 
arrangements shall be removed within six months following completion of 
construction.

[49 FR 3380, Jan. 26, 1984, as amended at 61 FR 33873, July 1, 1996]

Sec. 235.8  Relief from the requirements of part 236 of this title.

    Relief from the requirements of the rules, standards and 
instructions contained in part 236 of this title will be granted upon a 
adequate showing by an individual carrier. Relief heretofore granted to 
any carrier shall constitute relief to the same extent as relief granted 
under the requirements of this part.

(Approved by the Office of Management and Budget under control number 
2130-0043)

Sec. 235.9  Civil penalty.

    Any person (an entity of any type covered under 1 U.S.C. 1, 
including but not limited to the following: a railroad; a manager, 
supervisor, official, or other employee or agent of a railroad; any 
owner, manufacturer, lessor, or lessee of railroad equipment, track, or 
facilities; any independent contractor providing goods or services to a 
railroad; and any employee of such owner, manufacturer, lessor, lessee, 
or independent contractor) who violates any requirement of this part or 
causes the violation of any such requirement is subject to a civil 
penalty of at least $500 and not more than $11,000 per violation, except 
that: Penalties may be assessed against individuals only for willful 
violations, and, where a grossly negligent violation or a pattern of 
repeated violations has created an imminent hazard of death or injury to 
persons, or has caused death or injury, a penalty not to exceed $22,000 
per violation may be assessed. Each day a violation continues shall 
constitute a separate offense. See appendix A to this part for a 
statement of agency civil penalty policy.

[63 FR 11623, Mar. 10, 1998]

Sec. 235.10  Contents of applications.

    (a) The application may be submitted by letter and shall contain the 
following information:
    (1) The corporate name of each applicant;

[[Page 498]]

    (2) The manner in which applicant is involved;
    (3) The location of the project, giving name of operating division 
and nearest station;
    (4) The track or tracks involved;
    (5) A complete description of proposed changes as they would affect 
the existing facilities or of the section from which relief is sought;
    (6) The reason for proposed changes or justification for relief from 
the requirements;
    (7) The approximate dates of beginning and completion of project;
    (8) Changes in operating practices, temporary or permanent;
    (9) Whether safety of operation will be affeced, and if so, how; and
    (10) Whether proposed changes will conform to the Federal Railroad 
Administration's Rules, Standards and Instructions (part 236 of this 
title).
    (b) [Reserved]

(Approved by the Office of Management and Budget under control number 
2130-0042)

Sec. 235.12  Additional required information-prints.

    (a) A print or prints, size 8 inches by 10\1/2\ inches, or 8\1/2\ 
inches by 11 inches, or folded to 8 inches by 10\1/2\ inches or to 8\1/
2\ inches by 11 inches, shall be furnished with each application.
    (b) The print or prints shall be to scale or by indicated 
dimensions, using Association of American Railroads graphic symbols.
    (c) The following information shall be shown on the print or prints:
    (1) Present and proposed arrangement of tracks and signal 
facilities;
    (2) Name of carrier;
    (3) Operating division;
    (4) Place and State; and
    (5) Timetable directions of movements.
    (d) If stopping distances are involved, the following information 
shall also be shown:
    (1) Curvature and grade;
    (2) Maximum authorized speeds of trains; and
    (3) Length of signal control circuits for each signal indication 
displayed.
    (e) The following color scheme is suggested on prints:
    (1) Installations, relocations, and added signal aspects should be 
colored, preferably in yellow;
    (2) Removals, discontinuances, and abandonments should be colored, 
preferably in red; and
    (3) Existing facilities not pertinent to change proposed in 
application should be shown uncolored.

(Approved by the Office of Management and Budget under control number 
2130-0042)

Sec. 235.13  Filing procedure.

    (a) Applications or requests for reconsideration of an application 
shall be submitted by an authorized officer of the carrier.
    (b) The original and two copies of each application with supporting 
papers should be filed.
    (c) The application and correspondence in reference thereto should 
be addressed to the Associate Administrator for Safety, Federal Railroad 
Administration, Washington, DC 20590.
    (d) A separate application shall be filed for each project.
    (e) At a joint facility where changes are proposed in the automatic 
block signal system, interlocking, traffic control system, automatic 
train stop, train control, or cab signal system on the tracks of more 
than one carrier, or if more than one carrier will be affected by the 
proposed changes or relief sought, a joint application signed by all 
carriers affected shall be filed.
    (f) Where only one carrier at a joint facility is affected by the 
discontinuance or modification of the installation or relief sought, it 
shall be responsible for filing the application. It shall also certify 
that the other joint carriers have been notified of the filing of its 
application.

(Approved by the Office of Management and Budget under control number 
2130-0042)

Sec. 235.14  Notice.

    The FRA will publish notice of the filing of an application or a 
request for reconsideration of an application in the Federal Register 
and a copy of such notice will be available at the Department of 
Transportation Central Docket Management System, Nassif Building, Room 
Pl-401, 400 Seventh Street, S.W., Washington, D.C. 20590, and on the

[[Page 499]]

Docket Management System's Web site at http://dms.dot.gov.

[64 FR 70195, Dec. 16, 1999]

Sec. 235.20  Protests.

    (a) A protest against the granting of an application shall set forth 
specifically the grounds upon which it is made, and contain a concise 
statement of the interest of protestant in the proceeding.
    (b) The original and two copies of any protest shall be filed with 
the Associate Administrator for Safety, Federal Railroad Administration, 
Washington, DC 20590, and one copy shall be furnished to each applicant.
    (c) Protests should be filed within the time limit set forth in the 
public notice.
    (d) The protestant shall certify that service of a copy of its 
protest was made upon each applicant.
    (e) Request for hearing must be accompanied with a showing why the 
protestant is unable to properly present his or her position by written 
statements.

    Effective Date Note: At 49 FR 3380, Jan. 26, 1984, part 235 was 
revised. This section contains information collection and recordkeeping 
requirements and will not become effective until approval has been given 
by the Office of Management and Budget.

         Appendix A to Part 235--Schedule of Civil Penalties\1\
---------------------------------------------------------------------------

    \1\ A penalty may be assessed against an individual only for a 
willful violation. The Administrator reserves the right to assess a 
penalty of up to $20,000 for any violation where circumstances warrant. 
See 49 CFR part 209, appendix A.

------------------------------------------------------------------------
                                                               Willful
                    Section                      Violation    violation
------------------------------------------------------------------------
235.5 Changes requiring filing of application        $5,000       $7,500
------------------------------------------------------------------------


[53 FR 52936, Dec. 29, 1988]