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236.1019—Main line track exceptions.
(a) Scope and procedure.
This section pertains exclusively to exceptions from the rule that trackage over which scheduled intercity and commuter passenger service is provided is considered main line track requiring installation of a PTC system. One or more intercity or commuter passenger railroads, or freight railroads conducting joint passenger and freight operation over the same segment of track may file a main line track exclusion addendum (“MTEA”) to its PTCIP requesting to designate track as not main line subject to the conditions set forth in paragraphs (b) or (c) of this section. No track shall be designated as yard or terminal unless it is identified in an MTEA that is part of an FRA approved PTCIP.
(b) Passenger terminal exception.
FRA will consider an exception in the case of trackage used exclusively as yard or terminal tracks by or in support of regularly scheduled intercity or commuter passenger service where the MTEA describes in detail the physical boundaries of the trackage in question, its use and characteristics (including track and signal charts) and all of the following apply:
(1)
The maximum authorized speed for all movements is not greater than 20 miles per hour, and that maximum is enforced by any available onboard PTC equipment within the confines of the yard or terminal;
(2)
Interlocking rules are in effect prohibiting reverse movements other than on signal indications without dispatcher permission; and
(ii)
Freight operations are permitted but no passengers will be aboard passenger trains within the defined limits.
(c) Limited operations exception.
FRA will consider an exception in the case of a track segment used for limited operations (at speeds not exceeding those permitted under § 236.0 of this part) under one of the following sets of conditions:
(1)
The trackage is used for limited operations by at least one passenger railroad subject to at least one of the following conditions:
(ii)
Temporal separation of passenger and other trains is maintained as provided in paragraph (e) of this section; or
(iii)
Passenger service is operated under a risk mitigation plan submitted by all railroads involved in the joint operation and approved by FRA. The risk mitigation plan must be supported by a risk assessment establishing that the proposed mitigations will achieve a level of safety not less than the level of safety that would obtain if the operations were conducted under paragraph (c)(1) or (c)(2) of this section.
(2)
Passenger service is operated on a segment of track of a freight railroad that is not a Class I railroad on which less than 15 million gross tons of freight traffic is transported annually and on which one of the following conditions applies:
(i)
If the segment is unsignaled and no more than four regularly scheduled passenger trains are operated during a calendar day, or
(ii)
If the segment is signaled (e.g., equipped with a traffic control system, automatic block signal system, or cab signal system) and no more than 12 regularly scheduled passenger trains are operated during a calendar day.
(3)
Not more than four passenger trains per day are operated on a segment of track of a Class I freight railroad on which less than 15 million gross tons of freight traffic is transported annually.
(d)
A limited operations exception under paragraph (c) is subject to FRA review and approval. FRA may require a collision hazard analysis to identify hazards and may require that specific mitigations be undertaken. Operations under any such exception shall be conducted subject to the terms and conditions of the approval. Any main line track exclusion is subject to periodic review.
(e) Temporal separation.
As used in this section, temporal separation means that limited passenger and freight operations do not operate on any segment of shared track during the same period and also refers to the processes or physical arrangements, or both, in place to ensure that temporal separation is established and maintained at all times. The use of exclusive authorities under mandatory directives is not, by itself, sufficient to establish that temporal separation is achieved. Procedures to ensure temporal separation shall include verification checks between passenger and freight operations and effective physical means to positively ensure segregation of passenger and freight operations in accordance with this paragraph.
(f) PTCSP requirement.
No PTCSP—filed after the approval of a PTCIP with an MTEA—shall be approved by FRA unless it attests that no changes, except for those included in an FRA approved RFA, have been made to the information in the PTCIP and MTEA required by paragraph (b) or (c) of this section.
(g) Designation modifications.
If subsequent to approval of its PTCIP or PTCSP the railroad seeks to modify which track or tracks should be designated as main line or not main line, it shall request modification of its PTCIP or PTCSP, as applicable, in accordance with § 236.1021.
Code of Federal Regulations
| Section | Violation | Willful violation |
|---|---|---|
| Subpart A—Rules and Instructions—All Systems | ||
| General: | ||
| 236.0Applicability, minimum requirements | $2,500 | $5,000 |
| 236.1Plans, where kept | 1,000 | 2,000 |
| 236.2Grounds | 1,000 | 2,000 |
| 236.3Locking of signal apparatus housings: | ||
| (a) Power interlocking machine cabinet not secured against unauthorized entry | 2,500 | 5,000 |
| (b) other violations | 1,000 | 2,000 |
| 236.4Interference with normal functioning of device | 5,000 | 7,500 |
| 236.5Design of control circuits on closed circuit principle | 1,000 | 2,000 |
| 236.6Hand-operated switch equipped with switch circuit controller | 1,000 | 2,000 |
| 236.7Circuit controller operated by switch-and-lock movement | 1,000 | 2,000 |
| 236.8Operating characteristics of electro-magnetic, electronic, or electrical apparatus | 1,000 | 2,000 |
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| 236.9Selection of circuits through indicating or annunciating instruments | 1,000 | 2,000 |
| 236.10Electric locks, force drop type; where required | 1,000 | 2,000 |
| 236.11Adjustment, repair, or replacement of component | 2,500 | 5,000 |
| 236.12Spring switch signal protection; where required | 1,000 | 2,000 |
| 236.13Spring switch; selection of signal control circuits through circuit controller | 1,000 | 2,000 |
| 236.14Spring switch signal protection; requirements | 1,000 | 2,000 |
| 236.15Timetable instructions | 1,000 | 2,000 |
| 236.16Electric lock, main track releasing circuit: | ||
| (a) Electric lock releasing circuit on main track extends into fouling circuit where turnout not equipped with derail at clearance point either pipe-connected to switch or independently locked, electrically | 2,500 | 5,000 |
| (b) other violations | 1,000 | 2,000 |
| 236.17Pipe for operating connections, requirements | 1,000 | 2,000 |
| 236.18Software management control plan: | ||
| Failure to develop and adopt a plan | $5,000 | $10,000 |
| Failure to fully implement plan | 5,000 | 10,000 |
| Inadequate plan | 2,500 | 10,000 |
| Roadway Signals and Cab Signals— | ||
| 236.21Location of roadway signals | 1,000 | 2,000 |
| 236.22Semaphore signal arm; clearance to other objects | 1,000 | 2,000 |
| 236.23Aspects and indications | 1,000 | 2,000 |
| 236.24Spacing of roadway signals | 2,500 | 5,000 |
| 236.26Buffing device, maintenance | 1,000 | 2,000 |
| Track Circuits— | ||
| 236.51Track circuit requirements: | ||
| (a) Shunt fouling circuit used where permissible speed through turnout greater than 45 m.p.h | 2,500 | 5,000 |
| (b) Track relay not in de-energized position or device that functions as track relay not in its most restrictive state when train, locomotive, or car occupies any part of track circuit, except fouling section of turnout of hand-operated main-track crossover | 2,500 | 5,000 |
| (c) other violations | 1,000 | 2,000 |
| 236.52Relayed cut-section | 1,000 | 2,000 |
| 236.53Track circuit feed at grade crossing | 1,000 | 2,000 |
| 236.54Minimum length of track circuit | 1,000 | 2,000 |
| 236.55Dead section; maximum length | 1,000 | 2,000 |
| 236.56Shunting sensitivity | 2,500 | 5,000 |
| 236.57Shunt and fouling wires: | ||
| (a) Shunt or fouling wires do not consist of at least two discrete conductors | 2,500 | 5,000 |
| (b) other violations | 1,000 | 2,000 |
| 236.58Turnout, fouling section: | ||
| (a) Rail joint in shunt fouling section not bonded | 2,500 | 5,000 |
| (b) other violations | 1,000 | 2,000 |
| 236.59Insulated rail joints | 1,000 | 2,000 |
| 236.60Switch shunting circuit; use restricted | 2,500 | 5,000 |
| Wires and Cables— | ||
| 236.71Signal wires on pole line and aerial cable | 1,000 | 2,000 |
| 236.73Open-wire transmission line; clearance to other circuits | 1,000 | 2,000 |
| 236.74Protection of insulated wire; splice in underground wire | 1,000 | 2,000 |
| 236.76Tagging of wires and interference of wires or tags with signal apparatus | 1,000 | 2,000 |
| Inspections and Tests; All Systems— | ||
| 236.101Purpose of inspection and tests; removal from service or relay or device failing to meet test requirements | 2,500 | 5,000 |
| 236.102Semaphore or search-light signal mechanism | 1,000 | 2,000 |
| 236.103Switch circuit controller or point detector | 1,000 | 2,000 |
| 236.104Shunt fouling circuit | 1,000 | 2,000 |
| 236.105Electric lock | 1,000 | 2,000 |
| 236.106Relays | 1,000 | 2,000 |
| 236.107Ground tests | 1,000 | 2,000 |
| 236.108Insulation resistance tests, wires in trunking and cables: | ||
| (a) Circuit permitted to function on a conductor having insulation resistance value less than 200,000 ohms | 2,500 | 5,000 |
| (b) other violations | 1,000 | 2,000 |
| 236.109Time releases, timing relays and timing devices | 1,000 | 2,000 |
| 236.110Results of tests | 1,000 | 2,000 |
| Subpart B—Automatic Block Signal Systems | ||
| 236.201Track circuit control of signals | 1,000 | 2,000 |
| 236.202Signal governing movements over hand-operated switch | 1,000 | 2,000 |
| 236.203Hand-operated crossover between main tracks; protection | 1,000 | 2,000 |
| 236.204Track signaled for movements in both directions, requirements | 1,000 | 2,000 |
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| 236.205Signal control circuits; requirements | 1,000 | 2,000 |
| 236.206Battery or power supply with respect to relay; location | 1,000 | 2,000 |
| Subpart C—Interlocking | ||
| 236.207Electric lock on hand-operated switch; control: | ||
| (a) Approach or time locking of electric lock on hand-operated switch can be defeated by unauthorized use of emergency device which is not kept sealed in the non-release position | 2,500 | 5,000 |
| (b) other violations | 1,000 | 2,000 |
| 236.301Where signals shall be provided | 1,000 | 2,000 |
| 236.302Track circuits and route locking | 1,000 | 2,000 |
| 236.303Control circuits for signals, selection through circuit controller operated by switch points or by switch locking mechanism | 1,000 | 2,000 |
| 236.304Mechanical locking or same protection effected by circuits | 1,000 | 2,000 |
| 236.305Approach or time locking | 1,000 | 2,000 |
| 236.306Facing point lock or switch-and-lock movement | 1,000 | 2,000 |
| 236.307Indication locking: | ||
| 236.308Mechanical or electric locking or electric circuits; requisites | 1,000 | 2,000 |
| 236.309Loss of shunt protection; where required: | ||
| (a) Loss of shunt of five seconds or less permits release of route locking of power-operated switch, movable point frog, or derail | 2,500 | 5,000 |
| (b) Other violations | 1,000 | 2,000 |
| 236.310Signal governing approach to home signal | 1,000 | 2,000 |
| 236.311Signal control circuits, selection through track relays or devices functioning as track relays and through signal mechanism contacts and time releases at automatic interlocking | 1,000 | 2,000 |
| 236.312Movable bridge, interlocking of signal appliances with bridge devices: | ||
| (a) Emergency bypass switch or device not locked or sealed | 2,500 | 5,000 |
| (b) other violations | 1,000 | 2,000 |
| 236.314Electric lock for hand-operated switch or derail: | ||
| (a) Approach or time locking of electric lock at hand-operated switch or derail can be defeated by unauthorized use of emergency device which is not kept sealed in non-release position | 2,500 | 5,000 |
| (b) other violations | 1,000 | 2,000 |
| Rules and Instructions— | ||
| 236.326Mechanical locking removed or disarranged; requirement for permitting train movements through interlocking | 1,000 | 2,000 |
| 236.327Switch, movable-point frog or split-point derail | 1,000 | 2,000 |
| 236.328Plunger of facing-point | 1,000 | 2,000 |
| 236.329Bolt lock | 1,000 | 2,000 |
| 236.330Locking dog of switch and lock movement | 1,000 | 2,000 |
| 236.334Point detector | 1,000 | 2,000 |
| 236.335Dogs, stops and trunnions of mechanical locking | 1,000 | 2,000 |
| 236.336Locking bed | 1,000 | 2,000 |
| 236.337Locking faces of mechanical locking; fit | 1,000 | 2,000 |
| 236.338Mechanical locking required in accordance with locking sheet and dog chart | 1,000 | 2,000 |
| 236.339Mechanical locking; maintenance requirements | 1,000 | 2,000 |
| 236.340Electromechanical interlocking machine; locking between electrical and mechanical levers | 1,000 | 2,000 |
| 236.341Latch shoes, rocker links, and quadrants | 1,000 | 2,000 |
| 236.342Switch circuit controller | 1,000 | 2,000 |
| Inspection and Tests— | ||
| 236.376Mechanical locking | 1,000 | 2,000 |
| 236.377Approach locking | 1,000 | 2,000 |
| 236.378Time locking | 1,000 | 2,000 |
| 236.379Route locking | 1,000 | 2,000 |
| 236.380Indication locking | 1,000 | 2,000 |
| 236.381Traffic locking | 1,000 | 2,000 |
| 236.382Switch obstruction test | 1,000 | 2,000 |
| 236.383Valve locks, valves, and valve magnets | 1,000 | 2,000 |
| 236.384Cross protection | ||
| 236.386Restoring feature on power switches | ||
| 236.387Movable bridge locking | 1,000 | 2,000 |
| Subpart D—Traffic Control Systems Standards | ||
| 236.401Automatic block signal system and interlocking standards applicable to traffic control systems: | ||
| 236.402Signals controlled by track circuits and control operator | 1,000 | 2,000 |
| 236.403Signals at controlled point | 1,000 | 2,000 |
| 236.404Signals at adjacent control points | 1,000 | 2,000 |
| 236.405Track signaled for movements in both directions, change of direction of traffic | 1,000 | 2,000 |
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| 236.407Approach or time locking; where required | 1,000 | 2,000 |
| 236.408Route locking | 1,000 | 2,000 |
| 236.410Locking, hand-operated switch; requirements: | ||
| (a) Hand-operated switch on main track not electrically or mechanically locked in normal position where signal not provided to govern movement to main track, movements made at speeds in excess of 20 m.p.h., and train or engine movements may clear main track | 2,500 | 5,000 |
| (b) Hand-operated switch on signaled siding not electrically or mechanically locked in normal position where signal not provided to govern movements to signaled siding, train movements made at speeds in excess of 30 m.p.h., and train or engine movements may clear signaled siding | 2,500 | 5,000 |
| (c) Approach or time locking of electric lock at hand-operated switch can be defeated by use of emergency release device of electric lock which is not kept sealed in non-release position | 2,500 | 5,000 |
| (d) other violations | 1,000 | 2,000 |
| Rules and Instructions— | ||
| 236.426Interlocking rules and instructions applicable to traffic control systems | 1,000 | 2,000 |
| 236.476Interlocking inspections and tests applicable to traffic control systems | 1,000 | 2,000 |
| Subpart E—Automatic Train Stop, Train Control and Cab Signal Systems Standards | ||
| 236.501Forestalling device and speed control | 1,000 | 2,000 |
| 236.502Automatic brake application, initiation by restrictive block conditions stopping distance in advance | 1,000 | 2,000 |
| 236.503Automatic brake application; initiation when predetermined rate of speed exceeded | 1,000 | 2,000 |
| 236.504Operations interconnected with automatic block-signal system | 1,000 | 2,000 |
| 236.505Proper operative relation between parts along roadway and parts on locomotive | 1,000 | 2,000 |
| 236.506Release of brakes after automatic application | 1,000 | 2,000 |
| 236.507Brake application; full service | 1,000 | 2,000 |
| 236.508Interference with application of brakes by means of brake valve | 1,000 | 2,000 |
| 236.509Two or more locomotives coupled | 1,000 | 2,000 |
| 236.511Cab signals controlled in accordance with block conditions stopping distance in advance | 1,000 | 2,000 |
| 236.512Cab signal indication when locomotive enters blocks | 1,000 | 2,000 |
| 236.513Audible indicator | 1,000 | 2,000 |
| 236.514Interconnection of cab signal system with roadway signal system | 1,000 | 2,000 |
| 236.515Visibility of cab signals | 1,000 | 2,000 |
| 236.516Power supply | 1,000 | 2,000 |
| Rules and Instructions; Roadway— | ||
| 236.526Roadway element not functioning properly | 2,500 | 5,000 |
| 236.527Roadway element insulation resistance | 1,000 | 2,000 |
| 236.528Restrictive condition resulting from open hand-operated switch; requirement | 1,000 | 2,000 |
| 236.529Roadway element inductor; height and distance from rail | 1,000 | 2,000 |
| 236.531Trip arm; height and distance from rail | 1,000 | 2,000 |
| 236.532Strap iron inductor; use restricted | 1,000 | 2,000 |
| 236.534Rate of pressure reduction; equalizing reservoir or brake pipe | 1,000 | 2,000 |
| 236.551Power supply voltage | 1,000 | 2,000 |
| 236.552Insulation resistance | 1,000 | 2,000 |
| 236.553Seal, where required | 2,500 | 5,000 |
| 236.554Rate of pressure reduction; equalizing reservoir or brake pipe | 1,000 | 2,000 |
| 236.555Repaired or rewound receiver coil | 1,000 | 2,000 |
| 236.556Adjustment of relay | 1,000 | 2,000 |
| 236.557Receiver; location with respect to rail | 1,000 | 2,000 |
| 236.560Contact element, mechanical trip type; location with respect to rail | 1,000 | 2,000 |
| 236.562Minimum rail current required | 1,000 | 2,000 |
| 236.563Delay time | 1,000 | 2,000 |
| 236.564Acknowledging time | 1,000 | 2,000 |
| 236.565Provision made for preventing operation of pneumatic brake-applying apparatus by double-heading clock; requirement | 1,000 | 2,000 |
| 236.566Locomotive of each train operating in train stop, train control or cab signal territory; equipped | 5,000 | 7,500 |
| 236.567Restrictions imposed when device fails and/or is cut out en route: | ||
| (a) Report not made to designated officer at next available point of communication after automatic train stop, train control, or cab signal device fails and/or is cut en route | 5,000 | 7,500 |
| (b) Train permitted to proceed at speed exceeding 79 m.p.h. where automatic train stop, train control, or cab signal device fails and/or is cut out en route when absolute block established in advance of train on which device is inoperative | 5,000 | 7,500 |
| (c) other violations | 1,000 | 2,000 |
| 236.568Difference between speeds authorized by roadway signal and cab signal; action | 1,000 | 2,000 |
| Inspection and Tests; Roadway— | ||
| 236.576Roadway element | 1,000 | 2,000 |
| 236.577Test, acknowledgement, and cut-in circuits | 1,000 | 2,000 |
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