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Use of Locomotive Horns at Highway-Rail Grade Crossings
Note: EPA no longer updates this information, but it may be useful as a reference or resource.
[Federal Register: August 17, 2006 (Volume 71, Number 159)]
[Rules and Regulations]
[Page 47613-47667]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr17au06-6]
[[Page 47614]]
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DEPARTMENT OF TRANSPORTATION
Federal Railroad Administration
49 CFR Parts 222 and 229
[Docket No. FRA-1999-6439, Notice No. 17]
RIN 2130-AB73
Use of Locomotive Horns at Highway-Rail Grade Crossings
AGENCY: Federal Railroad Administration (FRA), Department of
Transportation (DOT).
ACTION: Final rule; response to petitions for reconsideration.
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SUMMARY: This document responds to petitions for reconsideration of
FRA's April 27, 2005 final rule that required that the locomotive horn
be sounded while trains approach and enter public highway-rail grade
crossings. This document amends and clarifies the final rule, in
response to petitions for reconsideration and associated letters in
support that have been submitted by interested parties, including the
railroad industry, rail unions, and a manufacturer of traffic
channelization devices.
DATES: The effective date is September 18, 2006.
FOR FURTHER INFORMATION CONTACT: Ron Ries, Office of Safety, FRA, 1120
Vermont Avenue, NW, Washington, DC 20590 (telephone: 202-493-6299); or
Kathryn Shelton, Office of Chief Counsel, FRA, 1120 Vermont Avenue,
NW., Washington, DC 20590 (telephone: 202-493-6038).
SUPPLEMENTARY INFORMATION:
1. Background
On January 13, 2000, FRA published a Notice of Proposed Rulemaking
(NPRM) in the Federal Register (65 FR 2230) addressing the use of
locomotive horns at public highway-rail grade crossings. This
rulemaking was mandated by Public Law 103-440, which added section
20153 to title 49 of the United States Code. The statute requires the
Secretary of Transportation (whose authority in this area has been
delegated to the Federal Railroad Administrator under 49 CFR 1.49) to
issue regulations that require the use of locomotive horns at public
grade crossings, but gives the Secretary the authority to make
reasonable exceptions.
In accordance with the Administrative Procedure Act (5 U.S.C. 553),
FRA solicited written comments from the public. By the close of the
comment period on May 26, 2000, approximately 3,000 comments had been
filed with this agency regarding the NPRM and the associated Draft
Environmental Impact Statement. As is FRA's practice, FRA held the
public docket open for late filed comments and considered them to the
extent possible.
Due to the substantial and wide-ranging public interest in the
NPRM, FRA conducted a series of public hearings throughout the United
States in which local citizens, local and State officials, Congressmen,
and Senators provided testimony. Twelve hearings were held (Washington,
DC; Fort Lauderdale, Florida; Pendleton, Oregon; San Bernadino,
California; Chicago, Illinois (four hearings were held in the greater
Chicago area); Berea, Ohio; South Bend, Indiana; Salem, Massachusetts;
and Madison, Wisconsin) at which more than 350 people testified.
On December 18, 2003, FRA published an Interim Final Rule in the
Federal Register (68 FR 70586). Even though FRA could have proceeded
directly to the final rule stage, FRA chose to issue an interim final
rule in order to give the public an opportunity to comment on changes
that had been made to the rule. FRA also held a public hearing in
Washington, DC on February 4, 2004. By the close of the extended
comment period, over 1,400 comments had been filed with the agency
regarding the Interim Final Rule. As is FRA's practice, FRA held the
public docket open for late-filed comments and considered them to the
extent possible. In order to avoid imposing inconsistent regulatory
standards for quiet zone creation and establishment, FRA extended the
effective date of the Interim Final Rule on November 22, 2004 (69 FR
67858) and on March 18, 2005 (70 FR 13117) so that the Interim Final
Rule would not take effect before the final rule was issued.
On April 27, 2005, FRA published a Final Rule in the Federal
Register (70 FR 21844). After the final rule was published, FRA
received petitions for reconsideration and associated letters in
support from the Association of American Railroads, Mr. James Adams of
Placentia, California, GE Transportation-Rail, United Transportation
Union, Brotherhood of Locomotive Engineers and Trainmen, BNSF Railway
Company and Qwick Kurb, Inc. In addition, the Association of American
Railroads submitted a petition for Emergency Order, which was
subsequently denied.
2. Statutory Mandate
On November 2, 1994, Congress passed Public Law 103-440 (``Act'')
which added section 20153 to title 49 of the United States Code
(``title 49''). Subsections (I) and (j) were added on October 9, 1996
when section 20153 was amended by Public Law 104-264. The Act requires
the use of locomotive horns at public highway-rail grade crossings, but
gives FRA the authority to make reasonable exceptions.
FRA's Final Rule on the Use of Locomotive Horns at Highway-Rail
Grade Crossings (Final Rule) complied with the statutory mandate
contained within section 20153 of title 49. As required by section
20153(b) of title 49, the final rule requires locomotive horn sounding
by trains that approach and enter public highway-rail grade crossings.
(See rule Sec. 222.21.) However, as allowed by 49 U.S.C. 20153(c), the
final rule contains exceptions for certain categories of rail
operations and highway-rail grade crossings.
Section 222.33 of the rule provides that a railroad operating over
a public highway-rail grade crossing may, at its discretion, choose not
to sound the locomotive horn if the locomotive speed is 15 miles per
hour or less and the train crew or appropriately equipped flaggers
provide warning to motorists. FRA has determined that these limited
types of rail operations do not present a significant risk of loss of
life or serious personal injury.
Locomotive horn sounding is also not required within highway-rail
grade crossing corridors that are equipped with supplementary safety
measures (SSMs) at each public highway-rail grade crossing. In
addition, locomotive horn sounding is not required within highway-rail
grade crossing corridors that have a Quiet Zone Risk Index at or below
the Nationwide Significant Risk Threshold or the Risk Index With Horns.
These highway-rail grade crossing corridors have been deemed, by the
Administrator, to constitute categories of highway-rail grade crossings
that do not present a significant risk with respect to loss of life or
serious personal injury or that fully compensate for the absence of the
warning provided by the locomotive horn. Therefore, communities with
highway-rail grade crossing corridors that meet either of these
standards may silence the locomotive horn within the crossing corridor,
if all other applicable quiet zone requirements have been met. (See
Sec. 222.39.)
Section 20153(i) of title 49 requires FRA to ``take into account
the interest of communities that have in effect restrictions on the
sounding of a locomotive horn at highway-rail grade crossings.'' FRA
has complied with this requirement in several ways. Until December 24,
2005, the final rule
[[Page 47615]]
allowed communities to establish Pre-Rule Quiet Zones, if the Quiet
Zone Risk Index was at, or below, two times the Nationwide Significant
Risk Threshold and there were no relevant collisions within the quiet
zone since April 27, 2000. (See Sec. 222.41.) It should also be noted
that the final rule allows communities to establish Pre-Rule Quiet
Zones, if SSMs have been implemented at every public grade crossing
within the quiet zone or if the Quiet Zone Risk Index is at, or below,
the Nationwide Significant Risk Threshold.) Additionally, the rule
allows Pre-Rule Quiet Zone communities to take additional time (up to
eight years from the effective date of the final rule) within which to
implement safety improvements that will bring them into compliance with
the requirements of the rule. This ``grace period'' has been included
in the rule in order to comply with 49 U.S.C. 20153(i)(2), which
requires FRA to provide ``a reasonable amount of time for [pre-existing
whistle ban] communities to install SSMs''.
Section 20153 of title 49 prohibits FRA from entertaining single-
party petitions for waiver from the regulatory requirements issued
under the authority of 49 U.S.C. 20153, unless FRA determines that this
prohibition against single-party waiver petitions ``* * * is not likely
to contribute significantly to public safety.'' Therefore, Sec. 222.15
of the final rule, which governs the process for obtaining a waiver
from the requirements of 49 CFR Part 222, requires joint filing of
waiver petitions by the railroad and public authority, unless the
Associate Administrator makes the determination that joint submission
of an individual waiver petition would not be likely to significantly
contribute to public safety.
Section 222.55 of the final rule addresses the manner in which new
SSMs and ASMs are demonstrated and approved for use. Paragraph (c) of
this section, which reflects the requirements contained within 49
U.S.C. 20153(e), specifically provides that the Associate Administrator
may order railroad carriers operating over a crossing or crossings to
temporarily cease sounding the locomotive horn at the crossing(s) to
demonstrate proposed new SSMs and ASMs that have been subject to prior
testing and evaluation.
Section 20153(f) of title 49 explicitly gives discretion to the
Secretary as to whether private highway-rail grade crossings,
pedestrian crossings, and crossings utilized primarily by nonmotorized
and other special vehicles should be subject this regulation. FRA has
decided to refrain from exercising jurisdiction over crossings utilized
primarily by nonmotorized and other special vehicles in this final
rule. FRA has, however, exercised its jurisdiction, in a limited
manner, over private and pedestrian grade crossings. Under the final
rule amendments issued today, the sounding of locomotive audible
warning devices at private and pedestrian crossings will be governed by
this rule, if State law requires the sounding of locomotive audible
warning devices at these crossings. (Sec. Sec. 222.25 and 222.27)
However, routine locomotive horn sounding is prohibited at private and
pedestrian grade crossings located within quiet zones, even if other
locomotive audible warning devices must be sounded at these crossings
per State and local law.
Section 222.7 of the rule contains a concise statement of the
rule's impact with respect to 49 U.S.C. 20106 (national uniformity of
regulation). This statement of the rule's effect on State and local
law, which was required by 49 U.S.C. 20153(h), provides that the rule,
when effective, will preempt State and local laws that govern
locomotive horn use at public highway-rail grade crossings. Under the
final rule amendments issued today, State and local laws that require
the sounding of locomotive audible warning devices at public, private
and pedestrian grade crossings will be preempted to the limited extent
described in Sec. Sec. 222.21(e), 222.25 and 222.27 of the rule.
However, as stated in Sec. 222.7(b), this rule does not preempt State
and local laws governing the sounding of locomotive audible warning
devices at Chicago Region highway-rail grade crossings where railroads
were excused from sounding the locomotive horn by the Illinois Commerce
Commission, and where railroads did not sound the horn, as of December
18, 2003.
Lastly, the final rule also complied with the statutory one-year
delay requirement. Section 20153(j) of title 49 prohibits any
regulations issued under its authority from becoming effective before
the 365th day following the date of publication of the final rule. On
December 18, 2003, FRA published an Interim Final Rule on the Use of
Locomotive Horns at Highway-rail Grade Crossings, which had the same
force and effect as a final rule. After reviewing approximately 1,400
comments on the interim final rule, FRA issued a final rule that
granted additional relief to States and local communities and became
effective on June 24, 2005. The final rule has therefore complied with
49 U.S.C. 20153(j) because more than the required 365 days elapsed
between issuance of the interim final rule on December 18, 2003 and the
effective date of the rule on June 24, 2005.
3. Emergency Order 15
Emergency Order 15, issued in 1991, requires the Florida East Coast
Railway Company to sound locomotive horns at all public grade
crossings. The Emergency Order preempted State and local laws that
permitted nighttime bans on the use of locomotive horns. Amendments to
the Emergency Order did, however, permit the establishment of quiet
zones if supplementary safety measures were implemented at every
crossing within a proposed quiet zone. The supplementary safety
measures specified in the Emergency Order are similar, but are not
identical, to the supplementary safety measures contained in FRA's
Final Rule on the Use of Locomotive Horns at Highway-Rail Grade
Crossings (70 FR 21844).
FRA has not yet rescinded Emergency Order 15. Therefore, FRA's
Final Rule on the Use of Locomotive Horns at Highway-Rail Grade
Crossings does not apply to public highway-rail grade crossings within
the State of Florida that are currently subject to Emergency Order 15.
On April 15, 2005, a public conference was held in Florida, at which
FRA solicited comments on the appropriate excess risk estimate that
should be applied to public highway-rail grade crossings that are
currently subject to Emergency Order 15. While FRA intends to
specifically address this issue in the near future, comments that have
been received on this issue are still under consideration at this time.
4. Rule Changes
This brief overview of the major amendments that have been made to
the Final Rule is provided for the reader's convenience. Because this
section merely provides an overview, it should not be relied upon for a
comprehensive discussion of all final rule amendments. Indeed, this
full document should be read together with the previous documents
issued in the proceeding. Inasmuch as the Final Rule, Interim Final
Rule and Notice of Proposed Rulemaking contained extensive discussion
of both the background of the issues involved in this rulemaking and
the rationale behind decisions relating to those issues, FRA emphasizes
that these amendments should be read in conjunction with the Final
Rule, Interim Final Rule and Notice of Proposed Rulemaking. Unless the
positions and rationale expressed in those documents have explicitly
changed in the subsequent rulemaking documents, the reader should
understand that those
[[Page 47616]]
positions and rationale remain those of FRA.
Summary of Changes to the Final Rule
? These amendments extend the compliance date of the time-
based locomotive horn sounding requirements until December 15, 2006.
(See Sec. 222.21(b) for more information.)
? A ``good faith'' exception has been incorporated into the
time-based locomotive horn sounding requirements for locomotive
engineers who are unable to precisely estimate their time of arrival at
upcoming grade crossings. (See Sec. 222.21(b)(2) for more information.)
? An exception has been added to the 15-second minimum
locomotive horn sounding requirement for locomotives and trains that
re-initiate movement after having stopped in close proximity to a
public highway-rail grade crossing. (See Sec. 222.21(d) for more
information.)
? These amendments expand the scope of the time-based
locomotive horn sounding requirements to cover the sounding of any
locomotive audible warning device (i.e., locomotive bells) at public
highway-rail grade crossings. (See Sec. 222.21(e) for more information.)
? If State law requires the sounding of locomotive audible
warning devices at private and/or pedestrian crossings, these
amendments will require railroads to sound the locomotive audible
warning device in a time-based manner. (See Sec. Sec. 222.25 and
222.27 for more information.)
? An exception has been added to the locomotive horn
sounding requirements for locomotives equipped with defective horns
that are being moved for repair. (See Sec. 222.21(b)(2) for more
information.)
? The notification requirements for Pre-Rule Quiet Zones and
Pre-Rule Partial Quiet Zones have been streamlined by expanding the
scope of the Notice of Intent requirement and removing the Notice of
Detailed Plan requirement. (See Sec. 222.43 for more information.)
? These amendments extend the compliance date for the sound
level testing of new locomotives until September 18, 2006. (See Sec.
229.129(b) for more information.)
? These amendments provide clarification that locomotives
used in rapid transit operations on the general railroad system are
exempt from the locomotive horn sound level and testing requirements
contained in 49 CFR 229.129. (See Sec. 229.129 for more information.)
Section-by-Section Analysis
Section 222.1 What is the purpose of this regulation?
This section has not been revised.
Section 222.3 What areas does this regulation cover?
This section has not been revised.
Section 222.5 What railroads does this regulation apply to?
This section has not been revised.
Section 222.7 What is this regulation's effect on State and local laws
and ordinances?
In its petition for reconsideration, the Association of American
Railroads (AAR) noted that the Final Rule does not specifically address
the preemptive effect of the Final Rule on State and local laws that
effectively prohibit and/or restrict the sounding of locomotive horns
for testing purposes. Asserting that the Final Rule should preempt such
State and local laws, the AAR requested confirmation of FRA's position
on this issue.
FRA does not intend to preempt State and local noise ordinances
that may have the effect of restricting the time period during which
the locomotive horn may be sounded at locations other than grade
crossings. FRA was directed to issue regulations that govern the
sounding of locomotive horns at public highway-rail grade crossings,
provided the interests of communities with pre-existing restrictions on
locomotive horn sounding were taken into consideration. Given the
nature of this statutory directive, FRA is reluctant to disturb
longstanding State and local noise ordinances that may restrict
locomotive horn sounding at locations other than grade crossing
locations without additional information on the adverse impact of these
ordinances on the ability of locomotive manufacturers and railroads to
conduct locomotive horn testing in accordance with Sec. 229.129 of
this part.
Paragraph (b) of this section has been revised to reflect FRA's
intent to refrain from preempting any State law, rule, regulation, or
order governing the sounding of locomotive audible warning devices,
including the locomotive horn, at any highway-rail grade crossing
described in Sec. 222.3(c) of this part. Without this revision, FRA
might have inadvertently preempted State law by requiring the sounding
of the locomotive bell, at the highway-rail grade crossings described
in Sec. 222.3(c) of this part, in accordance with this part.
Paragraphs (c), (d), and (e) of this section have not been revised.
Section 222.9 Definitions
FRA is making a minor revision to the definition of
``channelization device'' in the Final Rule. FRA revised this
definition in the Final Rule to prohibit the use of surface-mounted
tubular markers and vertical panels within quiet zones as SSMs, where
the surface-mounted tubular markers or vertical panels are not used in
conjunction with a raised longitudinal channelizer. FRA did not,
however, intend to prohibit the use of surface-mounted tubular markers
or vertical panels, in conjunction with a raised longitudinal
channelizer. FRA recognizes that the use of surface-mounted tubular
markers and vertical panels, in conjunction with a raised longitudinal
channelizer, can effectively reduce quiet zone risk.
FRA is also correcting an inadvertent error in the preamble
discussion of the definition of ``channelization device'' in the Final
Rule. In that discussion, FRA stated that ``it would be highly
advisable to use raised longitudinal channelizers that are at least
four inches high.'' (See 70 FR 21854.) However, in its petition for
reconsideration, Qwick Kurb, Inc. (``Qwick Kurb'') noted that FRA
partially relied upon the results of state-sponsored tests on the
efficacy of Qwick Kurb installations, which consist of three and one-
half inch high longitudinal channelizers with vertical elliptical
markers attached, when determining that Qwick Kurb installations had an
effectiveness rating of at least .75. Qwick Kurb also noted that Qwick
Kurb installations were successfully tested by the Federal Highway
Administration (FHWA) under FHWA's NCHRP 350 criteria as a crashworthy
traffic control device.
FRA notes that the regulatory text itself does not require use of
raised longitudinal channelizers that are at least four inches high.
Indeed, FRA never intended to discourage the use of raised longitudinal
channelizers that are at least three and one-half inches high. Even
though Qwick Kurb subsequently withdrew its objection to the preamble
discussion of the definition of ``channelization device'' in the Final
Rule, FRA recognizes that there may be some communities that have
already purchased and installed raised longitudinal channelizers that
are three and one-half inches in height. Therefore, FRA is clarifying
that raised longitudinal channelizers of at least three and one-half
inches in height, when affixed with vertical panels or tubular
delineators, constitute acceptable channelization devices for
[[Page 47617]]
purposes of this part. Lastly, FRA is removing all references to
specific MUTCD sections from the definition of ``channelization
device'', in recognition of the somewhat transitory nature of MUTCD
section citations.
A definition of ``locomotive audible warning device'' has been
added to the Final Rule, in recognition of the expanded scope of the
Final Rule with respect to the sounding of locomotive audible warning
devices , as opposed to just locomotive horns, at public, private and
pedestrian grade crossings.
The definition of ``locomotive horn'' has been revised by adding a
specific reference to locomotive horns used in rapid transit operations.
The definition of ``MUTCD'' has been revised to correct an
inadvertent typographical error.
The definition of ``New Partial Quiet Zone'' has been revised to
correct an inadvertent typographical error.
The definition of ``pedestrian grade crossing'' has been revised in
order to clarify that the requirements for pedestrian crossings
contained within this part only apply to pedestrian grade crossings.
Nonetheless, despite the limited scope of these requirements, the terms
``pedestrian crossing'' and ``pedestrian grade crossing'' have been
used interchangeably for purposes of this part.
The definition of ``private highway-rail grade crossing'' has been
revised to correct an inadvertent typographical error.
Even though the definition of ``Pre-Rule Quiet Zone'' has not been
revised, FRA is providing further clarification on the definition of
this term. While reviewing Notices of Quiet Zone Continuation that have
been submitted by public authorities seeking to continue locomotive
horn restrictions in Pre-Rule Quiet Zones, it has come to FRA's
attention that disagreements have arisen between public authorities and
railroads on whether local ordinances that seem to prohibit locomotive
horn sounding at certain highway-rail grade crossings have, in fact,
been ``enforced or observed''. In these situations, the public
authority and railroad must determine whether locomotive horns were
routinely sounded at the grade crossings in question on October 9, 1996
and December 18, 2003, despite locomotive horn sounding restrictions
that were ostensibly imposed by State or local law. Railroad timetables
that reflect locomotive horn sounding practices on October 9, 1996 and
December 18, 2003 will provide dispositive proof on this issue.
Even though the definition of ``quiet zone'' has not been revised,
FRA is providing further clarification on the definition of this term.
A quiet zone may only contain consecutive public highway-rail grade
crossings located on a segment of a rail line. Therefore, a public
authority may find it necessary to establish more than one quiet zone
within the boundaries of a local community. For example, if there are
two railroad tracks running through a local community that are not
adjacent to each other and which do not share grade crossing warning
system devices, a community that wishes to silence the locomotive horn
at grade crossings along both tracks must create separate quiet zones
for each railroad track or right-of-way. Also, if there is both a main
line track and an industrial spur track within town limits, a community
that wishes to silence the locomotive horn at grade crossings located
on both tracks must create separate quiet zones for the main line track
and the industrial spur track, unless the main line track and the
industrial spur track share grade crossing warning system devices.
Section 222.11 What are the penalties for failure to comply with this
regulation?
This section has not been revised.
Section 222.13 Who is responsible for compliance?
This section has not been revised.
Section 222.15 How does one obtain a waiver of a provision of this
regulation?
This section has not been revised.
Section 222.17 How can a State agency become a recognized State agency?
This section has not been revised.
Section 222.21 When must a locomotive horn be used?
This section has been revised in order to address the movement of
locomotives with inoperative horns, extend the compliance date of
paragraph (b) of this section by 120 days, provide a good-faith
exception for locomotive engineers who sound the locomotive horn for
more than 20 seconds when approaching public crossings, address the
sounding of locomotive audible warning devices at public highway-rail
grade crossings when required by State and local law and provide a
limited exception to the minimum audible warning requirement for trains
and locomotives that have stopped in close proximity to a public
highway-rail grade crossing.
Paragraph (a) of this section requires locomotive engineers to
initiate locomotive horn sounding, in accordance with paragraph (b) of
this section, and to continue sounding the locomotive horn until the
lead locomotive blocks access to the crossing from all roadway
approaches. FRA received a petition for reconsideration on this issue
from James Adams, a resident of Placentia, California, who suggested
that FRA require the locomotive engineer to sound only those locomotive
horns which point in the direction of locomotive travel, in order to
reduce unnecessary horn noise impacts from the sounding of locomotive
horns that are pointed against the direction of travel. Most locomotive
horns, particularly in freight service, are designed to provide warning
in both directions of travel; and the engineer has no ability to select
warning only in the forward direction. FRA will, however, continue
research into more selective and effective means of providing audible
warnings and may make further proposals in subsequent proceedings.
Minor typographical revisions have been made in paragraph (a) of
this section. Paragraph (b) of this section has been revised to provide
an exception to the locomotive horn sounding requirements for
locomotive engineers who discover that the locomotive horn on the lead
locomotive has failed enroute. Should this situation occur, the
locomotive must be moved for repair in accordance with Sec. 229.9 of
this chapter. In addition, any movement of the locomotive with the
inoperative horn over highway-rail grade crossings must be made in
accordance with all applicable railroad operating rules.
Paragraph (b) of this section has also been revised in response to
petitions for reconsideration that were submitted by the AAR and the
BNSF Railway Company (BNSF), as well as letters that were submitted by
the Brotherhood of Locomotive Engineers and Trainmen (BLET) and the
United Transportation Union (UTU), which were submitted in support of
certain provisions contained within the AAR's petition for
reconsideration.
In the AAR's petition for reconsideration, the AAR asserted that
the current compliance date for the locomotive horn sounding
requirements set forth in this paragraph would require a rapid
transition from State law. The AAR asserted that such a transition
would not be in the public interest, as locomotive engineers would be
required to comply with time-based audible warning requirements without
the benefit of training and/or properly placed whistle posts.
Therefore, the AAR requested that FRA postpone the
[[Page 47618]]
compliance date of these requirements for one year.
FRA notes that railroads have been aware of the time-based audible
warning requirements of this section for some time, as FRA's Interim
Final Rule on the Use of Locomotive Horns at Highway-Rail Grade
Crossings, which was published on December 18, 2003, contained a 15-20
second audible warning requirement. While FRA is aware of the fact that
the AAR objected to the 15-20 second audible warning requirement in its
comments on the Interim Final Rule, the 15-20 second audible warning
requirement contained within the Final Rule should not have been a
complete surprise to the railroad industry. Nonetheless, in the
interest of railroad safety, FRA has added paragraph (b)(1) to this
section, which delays the compliance date of the time-based audible
warning requirement by 120 days from the date of publication of this
Notice in order to give railroads additional time within which to
adjust whistle posts and/or issue appropriate instructions to train
crews. In the interim, railroads must either comply with the locomotive
horn sounding requirements that were in effect immediately prior to
June 24, 2005 (i.e., State law or, in the absence of State law,
railroad operating rules) or this section.
The AAR, BNSF, BLET, and UTU also indicated significant concerns
that situations may arise in which engineers are unable to precisely
estimate the point at which sounding of the horn should be initiated in
order to meet the 15-20 second criterion of the final rule. The AAR,
BLET and UTU suggest that a good faith exception be employed where
circumstances make it difficult to estimate the time of arrival, citing
concerns about liability. This could include cases where whistle boards
are placed irregularly (confounding an engineer's attempt to begin a
``countdown'' at a fixed point), where weather conditions make
identification of landmarks difficult, where the train is accelerating
or braking on approach to the crossing, and under other circumstances.
In sum, AAR's petition appeared to focus on short and long audible
warnings, while the BLET and the UTU expressed concern with respect to
exceeding the 20-second audible warning requirement. On the other hand,
BNSF expressed concern with the time-based nature of the locomotive
horn sounding requirement and requested that the locomotive horn
continue to be sounded from a fixed point of reference, such as a
whistle post.
FRA appreciates these concerns. FRA is also cognizant that
previously existing State law requirements, and requirements of
railroad operating rules have required distance-based use of the horn
for many years, with attendant liability for non-compliance where
collisions occur. However, FRA believes that adjustment to a time-based
approach can, and should be readily accomplished, since locomotive
engineers are required to be familiar with their territory and are
accustomed to meeting these kinds of challenges. The time-based
approach will allow the railroads to provide effective warning without
incurring the animus of local communities associated with sounding the
horn for a full quarter-mile when trains are operated a low speed. The
time-based approach incorporates the strategy used by the locomotive
engineer who ``took mercy'' on the community by exercising discretion,
when operating a slow-moving train, to delay the onset of horn sounding
at grade crossings.
FRA believes that it is important that sufficient warning be
provided to the motorist who needs time to recognize the audible
signal, understand its message, initiate a reaction, and take
appropriate action when approaching the crossing. Other standards for
other active warning at highway-rail crossings call for at least 20
seconds of advance warning (see 49 CFR 234.225), and it is typical for
basic signal arrangements to provide 30 seconds' warning or more. At
crossings equipped with active warning devices, the locomotive horn
generally provides a last-minute, additional warning to the motorist of
the impending arrival of a train. Thus, it appears quite necessary and
appropriate to retain the minimum 15-second warning requirement, given
the need for uniformity and the wide range of conditions on the roadway
approach to highway-rail crossings (including road speeds as high as 55
miles per hour).
Nevertheless, FRA agrees that employees should err on the side of
safety when there is any uncertainty. In a case where situational
awareness is partially compromised, an employee should not hesitate to
begin a horn sounding sequence because of fear that excessive warning
might be provided. Accordingly, former paragraph (b)(1), which has been
renumbered as paragraph (b)(2) of this section, has been amended to
state explicitly that exceeding the maximum warning time up to a limit
of 25 seconds will not constitute a violation of this section if the
action is taken in good faith. This is intended to affirm the action of
an employee who errs on the side of safety in a particular instance,
and not to condone the actions of an engineer who willfully disregards
the 20-second limitation for normal operations. FRA will also utilize
enforcement discretion for cases in excess of 25 seconds where unusual
circumstances provide a justification.
Former paragraph (b)(2), which has been renumbered as paragraph
(b)(3) of this section, has also been revised in order to correct a
typographical error. Trains, locomotive consists (two or more
locomotives traveling together without any train cars attached), and
individual locomotives traveling at speeds in excess of 60 mph are
prohibited from providing an advance warning more than one-quarter mile
in advance of public grade crossings, even if this means that high-
speed trains, locomotive consists, and individual locomotives cannot
provide an advance warning of at least 15 seconds in duration.
Paragraph (c) of this section has not been revised.
Paragraph (d) has been added to this section to address locomotive
horn sounding when a train, locomotive consist, or individual
locomotive has stopped in close proximity to a public highway-rail
grade crossing. Trains and locomotives may stop in close proximity to
public grade crossings during switching and/or commuter rail
operations, especially when passenger stations are located in close
proximity to public highway-rail grade crossings. In light of the low
train speed associated with initiating train or locomotive movement
from a complete stop, as well as FRA's intent to minimize local noise
impacts where feasible, paragraph (d) will allow the locomotive
engineer to sound the locomotive horn for less than 15 seconds before
entering a public highway-rail grade crossing, when initiating movement
from a complete stop in the close proximity of a public highway-rail
grade crossing. Even though passenger stations located adjacent to
public highway-rail grade crossings were the impetus for this revision,
FRA notes that this limited exception may apply in other situations
where trains have stopped in close proximity to public highway-rail
grade crossings.
FRA is refraining from providing an exact distance that would
constitute ``close proximity'' as the length of time that it will take
for a train to reach the crossing will vary greatly depending on the
type and weight of the train. If a train is stopped at a location such
that it will take less than fifteen seconds for it to occupy the
crossing, it is deemed to be in close proximity.
[[Page 47619]]
Paragraph (e) has also been added to this section, in response to a
petition for reconsideration submitted by the AAR, in which the AAR
requested that 49 CFR Part 222 be revised to preempt State laws that
govern the sounding of all locomotive audible warning devices at public
highway-rail grade crossings. Without such preemption, the AAR asserted
that railroads would be required to initiate locomotive bell sounding
at a location specified by State law, which may be inconsistent with
the time-based locomotive horn sounding requirement set forth in this
section.
FRA is not exercising complete preemption of State laws on the
sounding of locomotive audible warning devices at public highway-rail
grade crossings. Complete preemption of State laws on this issue could
inadvertently remove the valuable warning currently provided by
locomotive audible warning devices other than the locomotive horn
because the Final Rule does not require the sounding of locomotive
audible warning devices, other than the locomotive horn, at public
highway-rail grade crossings.
FRA has, however, added this section to ensure that a consistent
locomotive audible warning will be provided at public highway-rail
grade crossings. Therefore, if State law requires the sounding of a
locomotive audible warning device other than the locomotive horn at
public highway-rail grade crossings, that locomotive audible warning
device must be sounded in accordance with paragraphs (b) and (d) of
this section. By exercising preemption in this limited manner, FRA
hopes to alleviate any potential confusion on the part of the
locomotive engineer who might otherwise have been forced to comply with
distance-based locomotive bell sounding requirements, as well as time-
based locomotive horn sounding requirements, at the same public
highway-rail grade crossing.
Section 222.23 How does this regulation affect sounding of a horn
during an emergency or other situations?
Paragraph (a) of this section has not been revised.
Paragraph (b) of this section has been revised to correct an
inadvertent omission from the list of situations in which locomotive
horn use at quiet zone crossings would be permissible. In the Final
Rule, FRA stated that locomotive horn use would be permitted at a quiet
zone crossing equipped with a wayside horn, in the event of a wayside
horn malfunction. Similarly, the Final Rule states that locomotive horn
use would be permitted at a quiet zone crossing when active grade
crossing warning devices installed at the grade crossing are
malfunctioning or out of service. As indicated by this list of
potential scenarios, FRA has always intended to permit railroads to
sound the locomotive horn at a quiet zone crossing whenever engineering
improvements installed at the grade crossing become non-compliant.
Therefore, FRA has added paragraph (b)(4) to this section to clarify
that railroads are not required to comply with the general prohibition
against routine locomotive horn sounding at a quiet zone crossing, when
an SSM, modified SSM or engineering SSM installed at the quiet zone
crossing fails to comply with the requirements set forth in appendix A
of this part or the conditions contained within the Associate
Administrator's decision to approve the quiet zone in accordance with
section 222.39(b) of this part. The railroad should, however, attempt
to contact the person responsible for monitoring quiet zone compliance
with this part (as designated in the Notice of Quiet Zone
Establishment), in order to inform the public authority of the non-
compliant condition of the quiet zone crossing.
Paragraph (c) of this section has not been revised.
Section 222.25 How does this rule affect private highway-rail grade
crossings?
This section has been revised in response to the AAR petition for
reconsideration. In its petition for reconsideration, the AAR expressed
support for FRA's decision to refrain from requiring locomotive horn
sounding at every private highway-rail grade crossing. However, noting
that some States require the sounding of a locomotive horn or the
ringing of the locomotive bell at private highway-rail grade crossings,
the AAR requested that FRA amend 49 CFR Part 222 by adding an explicit
statement of FRA's intent to preempt State law, to the extent that
State law requires the sounding of a locomotive audible warning device
for a period of time or in a pattern different from the locomotive horn
sounding requirements set forth in Sec. 222.21 of this part. After
considering this request, as well as the potential for confusion that
may result from requiring the locomotive engineer to provide a
different audible warning at public highway-rail grade crossings than
at private highway-rail grade crossings, FRA revised this section.
Thus, if State law requires the sounding of locomotive audible warning
devices at private highway-rail grade crossings, the locomotive audible
warning device must be sounded in accordance with the locomotive horn
sounding requirements set forth in Sec. 222.21 of this part as of
December 15, 2006. However, in recognition of the fact that some
locomotive audible warning devices (such as the locomotive bell) cannot
be sounded in accordance with the locomotive horn sounding pattern
required by Sec. 222.21(a) of this part (i.e., two long blasts, one
short blast, and one long blast), locomotive audible warning devices
other than the locomotive horn need only be sounded in accordance with
the time-based locomotive horn sounding requirements set forth in
Sec. Sec. 222.21(b) and (d) of this part.
Paragraph (a) of this section has also been revised, in response to
the AAR's petition for reconsideration. In its petition for
reconsideration, the AAR asserted that the permissive language in this
provision could mislead public authorities into thinking that they are
not required to address private highway-rail grade crossings when
establishing their quiet zones. After considering this assertion, FRA
noted that public authorities located in States that do not require
locomotive horn sounding at private highway-rail grade crossings might
erroneously assume that it will not be necessary to include and/or
improve private highway-rail grade crossings located within the
boundaries of their quiet zone. Therefore, FRA revised this paragraph
in order to clarify that all private highway-rail grade crossings
located within the boundaries of a quiet zone must be treated in
accordance with this part.
Paragraph (b)(1) of this section has been revised to clarify that
all private highway-rail grade crossings that are located in New Quiet
Zones or New Partial Quiet Zones must be evaluated by a diagnostic team
and then equipped or treated in accordance with the diagnostic team
recommendations, if the private highway-rail grade crossings allow
access to the public or provide access to active industrial or
commercial sites. Paragraph (b)(2) of this section has not been revised.
Paragraph (c) of this section has also been revised to clarify that
crossbucks and ``STOP'' signs must be installed at each approach to
private highway-rail grade crossings that are located within quiet zones.
Section 222.27 How does this rule affect pedestrian grade crossings?
This section has been revised in response to the AAR petition for
reconsideration. In its petition for reconsideration, the AAR expressed
[[Page 47620]]
support for FRA's decision to refrain from requiring locomotive horn
sounding at pedestrian grade crossings. However, after asserting that
some States may require the sounding of a locomotive audible warning
device at pedestrian grade crossings, the AAR requested that FRA amend
49 CFR Part 222 by adding an explicit statement of FRA's intent to
preempt State law, to the extent that State law requires the sounding
of a locomotive audible warning device for a period of time or in a
pattern different from the locomotive horn sounding requirements set
forth in Sec. 222.21 of this part. After considering this request, as
well as the potential for confusion that may result from requiring the
locomotive engineer to provide a different audible warning at public
highway-rail grade crossings than at pedestrian grade crossings, FRA
revised this section. Therefore, if State law requires the sounding of
a locomotive audible warning device at pedestrian grade crossings, the
locomotive audible warning device must be sounded in accordance with
the locomotive horn sounding requirements set forth in Sec. 222.21 of
this part as of December 15, 2006. However, in recognition of the fact
that some locomotive audible warning devices (such as the locomotive
bell) cannot be sounded in accordance with the locomotive horn sounding
pattern required by Sec. 222.21(a) of this part (i.e., two long
blasts, one short blast, and one long blast), locomotive audible
warning devices other than the locomotive horn need only be sounded in
accordance with the time-based locomotive horn sounding requirements
set forth in Sec. Sec. 222.21(b) and (d) of this part.
Paragraph (a) of this section has also been revised, in response to
the AAR's petition for reconsideration. In its petition for
reconsideration, the AAR expressed concern that the permissive language
contained in paragraph (a) of this section could mislead public
authorities into thinking that they are not required to address
pedestrian crossings when establishing their quiet zones. After
considering this assertion, FRA noted that public authorities located
in States that do not require locomotive horn sounding at pedestrian
grade crossings might erroneously assume that it will not be necessary
to include and/or improve pedestrian grade crossings located within the
boundaries of their quiet zone. Therefore, FRA revised this paragraph
in order to clarify that all pedestrian grade crossings located within
the boundaries of a quiet zone must be treated in accordance with this
part.
Paragraph (b) of this section has been revised to clarify that all
pedestrian grade crossings that are located in New Quiet Zones or New
Partial Quiet Zones must be evaluated by a diagnostic team and then
equipped or treated in accordance with the diagnostic team
recommendations, if the pedestrian grade crossings allow access to the
public or provide access to active industrial or commercial sites.
A minor typographical edit has been made to paragraph (c) of this
section.
Paragraph (d) of this section has also been revised in response to
the AAR petition for reconsideration. In its petition for
reconsideration, the AAR asserted that paragraph (d) of this section
requires the installation of signs at pedestrian crossings that could
potentially be misleading. In light of the fact that partial quiet
zones may be established in States that do not require locomotive horn
sounding at pedestrian grade crossings, the AAR expressed concern that
pedestrians encountering time-specific warning signs when the partial
quiet zone is not in effect might assume that the locomotive horn will
be sounded by approaching trains. After considering this issue, FRA
agreed that the Final Rule's warning sign requirement could be
misleading to pedestrians. Therefore, in order to minimize confusion,
paragraphs (d)(2) and (d)(4) of this section have been revised to give
public authorities the flexibility to install warning signs which
advise pedestrians that train horns will not be sounded, but do not
list the hours within which the partial quiet zone will be in effect.
Thus, if State law does not require locomotive horn sounding at
pedestrian grade crossings, signs that indicate that horns are not
sounded would be appropriate. However, if State law requires locomotive
horn sounding during non-quiet zone hours, then signs indicating that
horns are not sounded between stated hours of the partial quiet zone
would be appropriate. Paragraph (d) of this section has also been
revised to clarify that advance warning signs must be installed on each
approach to pedestrian grade crossings located within quiet zones.
Section 222.33 Can locomotive horns be silenced at an individual public
highway-rail grade crossing which is not within a quiet zone?
This section has not been revised.
Section 222.35 What are the minimum requirements for quiet zones?
Minor typographical revisions have been made throughout this section.
Paragraph (a)(1)(iii) has been added to this section to address the
configuration of multiple New Quiet Zones and New Partial Quiet Zones
along the same rail line within a single political jurisdiction. Even
though FRA has refrained from establishing a minimum distance between
neighboring quiet zones, there must be at least one public highway-rail
grade crossing between New Quiet Zones and New Partial Quiet Zones
located on the same rail line within a single political jurisdiction
unless a New Quiet Zone or New Partial Quiet Zone is being added onto
an existing quiet zone. While it is perfectly acceptable for a
community to create two quiet zones (each at least one-half mile long)
with a segment between them at which horns will sound, multiple New
Quiet Zones and New Partial Quiet Zones cannot be established on the
same rail line within the boundaries of a single political jurisdiction
unless they are separated by at least one public highway-rail grade
crossing.
By establishing a single New Quiet Zone or New Partial Quiet Zone
to incorporate all public highway-rail grade crossings at which routine
locomotive horn sounding will be restricted or prohibited, the
administrative burden associated with quiet zone establishment will be
lessened. In addition, FRA perceives no safety-related rationale for
dividing a multiple-crossing New Quiet Zone or New Partial Quiet Zone
along a single rail line into fragmented quiet zones. Therefore, unless
a New Quiet Zone or New Partial Quiet Zone is being added onto an
existing quiet zone, New Quiet Zones and New Partial Quiet Zones
created along the same rail line within a single political jurisdiction
must be separated by at least one public highway-rail grade crossing.
Paragraph (a)(2)(ii) of this section has been revised to correct an
inadvertent restriction on the number of Pre-Rule Quiet Zones that can
be combined. Under the revised language in paragraph (a)(2)(ii) of this
section, public authorities can combine more than two adjacent Pre-Rule
Quiet Zones or Pre-Rule Partial Quiet Zones.
Paragraph (a)(3) of this section, which states that grade crossings
on a segment of rail line that travels through more than one political
jurisdiction may be included within a single quiet zone, has been
revised. This paragraph has been revised in order to clarify that
pedestrian crossings, located on the same segment of rail line as
public highway-rail grade crossings, may also be included in multi-
jurisdictional quiet zones.
Paragraph (b) of this section has not been revised.
[[Page 47621]]
Paragraph (c) of this section has been revised in response to the
AAR's petition for reconsideration. In its petition for
reconsideration, the AAR asserted that paragraph (c) of this section
requires the installation of signs at private highway-rail grade
crossings that could potentially be misleading. In light of the fact
that partial quiet zones may be established in States that do not
require locomotive horn sounding at private highway-rail grade
crossings, the AAR expressed concern that motorists encountering time-
specific warning signs when the partial quiet zone is not in effect
might assume that the locomotive horn will be sounded by approaching
trains. After considering this issue, FRA agreed that the Final Rule's
warning sign requirement could be misleading to motorists. Therefore,
in order to minimize confusion, paragraphs (c)(2) and (c)(4) of this
section have been revised to give public authorities the flexibility to
install warning signs which advise motorists that train horns will not
be sounded, but do not list the hours within which the partial quiet
zone will be in effect. Thus, if State law does not require locomotive
horn sounding at private highway-rail grade crossings, signs that
indicate that horns are not sounded would be appropriate. However, if
State law requires locomotive horn sounding during non-quiet zone
hours, then signs indicating that horns are not sounded between stated
hours of the partial quiet zone would be appropriate. These warning
signs must be installed on each approach to public and private highway-
rail grade crossings.
Paragraph (c)(5) has been added to this section to clarify that FRA
does not intend to require public authorities to install advance
warning signs at highway-rail grade crossings that are equipped with
wayside horns that conform to the requirements set forth in Sec.
222.59 and Appendix E of this part, but are located within a quiet zone.
Paragraph (d) of this section has not been revised. Minor
typographical edits have, however, been made in paragraphs (e), (f),
and (g) of this section.
Section 222.37 Who may establish a quiet zone?
Paragraph (a) of this section addresses the situation that may
occur if a proposed quiet zone includes public highway-rail grade
crossings that are under the authority and control of more than one
public authority. This scenario could occur if the proposed quiet zone
contains county roads and State highways that intersect the railroad
tracks at adjacent crossings. This scenario could also occur if the
railroad tracks or the roadway run along the border between two
neighboring communities.
When faced with this scenario, paragraph (a) of this section states
that both public authorities must agree to establishment of the quiet
zone and must jointly, or by delegation, take such actions as are
required to comply with this part. Therefore, if two neighboring
communities are interested in quiet zone creation, the communities
might want to consider working together to create a multi-
jurisdictional quiet zone. If the neighboring communities are not,
however, interested in creating a single, multi-jurisdictional quiet
zone, any shared highway-rail grade crossing (i.e., a highway-rail
grade crossing that contains a roadway that runs along the border of
the neighboring communities) can only be attributed to one quiet zone.
Otherwise, the risk reduction credit associated with any safety
improvements at the shared highway-rail grade crossing would be
``double-counted'', if claimed by adjacent quiet zones.
A minor typographical revision has been made to paragraph (a) of
this section. However, paragraphs (b) and (c) of this section have not
been revised.
Section 222.38 Can a quiet zone be created in the Chicago Region?
This section has not been revised.
Section 222.39 How is a quiet zone established?
Paragraph (a) of this section has not been revised.
Minor typographical revisions have been made to paragraph (b) of
this section. In addition, paragraph (b) of this section has been
revised in response to the AAR's petition for reconsideration. In its
petition, the AAR asserted that it may be unclear, in certain
circumstances, as to what constitutes a pedestrian crossing. Therefore,
the AAR recommended that the Final Rule be revised to require public
authorities to indicate, in their quiet zone applications and
notification packages, where pedestrian crossings are located. The AAR
reasoned that this revision would eliminate any confusion as to where
crossing signs must be located, in accordance with Sec. 222.27.
Even though public authorities are required to identify pedestrian
crossings in their quiet zone notification packages, in accordance with
the requirements set forth in Sec. 222.43, FRA notes that it had
inadvertently failed to require public authorities to identify or
provide information on pedestrian grade crossings in their quiet zone
applications. Therefore, paragraph (b) of this section has been revised
to require public authorities to submit Grade Crossing Inventory Forms
for each pedestrian grade crossing located within a proposed quiet
zone, as well as information concerning present safety measures and
proposed improvements at these crossings. FRA also inadvertently failed
to require public authorities to provide information on current and
proposed safety improvements at private highway-rail grade crossings.
Therefore, paragraph (b) of this section has been revised to require
public authorities to submit information on present safety measures and
proposed improvements at private highway-rail grade crossings located
within the proposed quiet zone. With respect to public highway-rail
grade crossings, paragraph (b) of this section has been revised to
require public authorities to provide detailed information about all
safety improvements, as opposed to just SSMs and ASMs, that have been
proposed for implementation. In making these revisions, FRA hopes to
obtain better information as to the overall level of safety within the
proposed quiet zone.
Paragraph (b)(iv) of this section has been revised by inserting an
explicit reference to the Notice of Intent requirement contained within
Sec. 222.43 of this part. (An inadvertent omission of the State agency
responsible for highway and road safety has also been corrected.) The
public authority is required to provide a Notice of Intent, in
accordance with Sec. 222.43 of this part, at least 60 days prior to
the submission of its quiet zone application. All objections received
from any railroad operating within the proposed quiet zone, the State
agency responsible for grade crossing safety, and the State agency
responsible for highway and road safety in response to the Notice of
Intent must then be addressed by the public authority in the quiet zone
application, in accordance with paragraph (b)(iv) of this section.
Paragraph (b)(2) of this section addresses the inclusion of newly
established public and private highway-rail grade crossings in quiet
zones. Any proposed quiet zone that contains a newly established public
highway-rail grade crossing must be established through public
authority application, unless one or more SSMs will be implemented at
every public highway-rail grade crossing within the proposed quiet zone
in accordance with paragraph (a)(1) of this section. Quiet zones with
newly established public highway-rail grade crossings cannot be
established through comparison to
[[Page 47622]]
either the Nationwide Significant Risk Threshold or the Risk Index With
Horns because the Quiet Zone Risk Index cannot be computed without
historical vehicle and rail traffic counts for each public highway-rail
grade crossing within the quiet zone.
A minor typographical revision has been made in paragraph (b)(3) of
this section. However, paragraph (b)(4) of this section has not been
revised. Paragraph (c) of this section has also not been revised.
Section 222.41 How Does This Rule Affect Pre-Rule Quiet Zones and Pre-
Rule Partial Quiet Zones?
Minor typographical revisions have been made in paragraphs (a) and
(b) of this section.
Paragraph (c) of this section has been revised in order to clarify
the process that must be followed in order to continue existing
locomotive horn sounding restrictions within a Pre-Rule Quiet Zone or
Pre-Rule Partial Quiet Zone that will not be established by automatic
approval. Paragraph (c)(1) has been added to this section to clarify
that the public authority must provide a Notice of Quiet Zone
Continuation, in accordance with Sec. 222.43 of this part, in order to
retain existing locomotive horn sounding restrictions until June 24,
2008. Paragraph (c)(2) of this section explains the process that must
be followed, in order to continue existing locomotive horn sounding
restrictions until June 24, 2010. Paragraph (c)(3) of this section
explains the process that can be followed, in order to continue
existing locomotive horn sounding restrictions until June 24, 2013, by
providing a comprehensive State-wide implementation plan and funding
commitment for the establishment of Pre-Rule Quiet Zones and Pre-Rule
Partial Quiet Zones.
Paragraph (c)(2) of this section has been revised to clarify the
process for continuing existing locomotive horn sounding restrictions
beyond June 24, 2008 without interruption. As stated in paragraph
(c)(2)(i)(A) of this section, the public authority must mail a Notice
of Intent, in accordance with Sec. 222.43 of this part, by February
24, 2008. The mailing of the Notice of Intent, which will provide a
brief explanation of the public authority's plans for implementing
improvements within the quiet zone, will trigger a 60-day comment
period, within which affected railroads, the State agency responsible
for grade crossing safety, and the State agency responsible for highway
and road safety can provide comments on the proposed improvements. This
Notice of Intent replaces the Notice of Detailed Plan, which was
previously required by the Final Rule.
After the Notice of Intent has been mailed and the subsequent 60-
day comment period has run, paragraph (c)(2)(i)(B) requires the public
authority to file a detailed plan with the FRA Associate Administrator
by June 24, 2008. The detailed plan must include a detailed explanation
of each safety improvement that will be implemented at public, private,
and pedestrian crossings within the Pre-Rule Quiet Zone or Pre-Rule
Partial Quiet Zone, in order to comply with Sec. Sec. 222.25, 222.27,
222.35 and 222.39 of this part. (The public authority may also choose
to explain additional safety improvements that will be implemented
within the quiet zone, but are not being relied upon to achieve
compliance with this part.) The detailed plan must also include a
timetable for the implementation of these safety improvements.
If the public authority plans to implement ASMs within the quiet
zone, paragraph (c)(2)(ii) of this section (formerly paragraph (c)(4)
of the Final Rule) advises the public authority to apply for FRA
approval of the quiet zone by December 24, 2007, in order to ensure
that FRA will have ample time within which to review the quiet zone
application.
Providing a Notice of Intent and filing a detailed plan in
accordance with paragraph (c)(2) of this section will, however, only
postpone routine locomotive horn sounding at public highway-rail grade
crossings until June 24, 2010, unless the public authority establishes
a Pre-Rule Quiet Zone or Pre-Rule Partial Quiet Zone in accordance with
paragraph (c)(4) of this section. Paragraph (c)(2)(ii) in the Final
Rule, which specifically addressed the establishment of Pre-Rule Quiet
Zones and Pre-Rule Partial Quiet Zones during the three-year period
following June 24, 2005, has been removed. However, Pre-Rule Quiet
Zones and Pre-Rule Partial Quiet Zones that have Quiet Zone Risk
Indices that fall to a level at or below the Nationwide Significant
Risk Threshold during this three-year period are now governed by
paragraph (c)(4) of this section, which sets forth the procedure for
establishing Pre-Rule Quiet Zones and Pre-Rule Partial Quiet Zones that
will not be established by automatic approval.
Paragraph (c)(3) of this section explains the process that must be
followed by an appropriate State agency, in order to continue existing
locomotive horn sounding restrictions within Pre-Rule Quiet Zones and
Pre-Rule Partial Quiet Zones for an additional three years (until June
24, 2013) through the filing of a comprehensive State-wide
implementation plan and funding commitment. As stated in this
paragraph, existing locomotive horn sounding restrictions may remain in
place until June 24, 2013, if: a) a comprehensive State-wide
implementation plan and funding commitment is filed by the appropriate
State agency with the Associate Administrator by June 24, 2008; and b)
safety improvements are initiated within at least one Pre-Rule Quiet
Zone or Pre-Rule Partial Quiet Zone in the State by June 24, 2009. The
comprehensive State-wide implementation plan must include an
explanation of the process that will be used to assist Pre-Rule Quiet
Zones and Pre-Rule Partial Quiet Zones to come into compliance with
Sec. Sec. 222.25, 222.27, 222.35 and 222.39 of this part, as well as a
timetable for the implementation of necessary safety improvements. As
of June 24, 2013, locomotive horn sounding will resume unless each
public authority establishes a Pre-Rule Quiet Zone or Pre-Rule Partial
Quiet Zones, in accordance with paragraph (c)(4) of this section.
Paragraph (c)(4) of this section explains the process that must be
followed in order to establish a Pre-Rule Quiet Zone or Pre-Rule
Partial Quiet Zone. As stated in paragraph (c)(4) of this section, a
public authority can establish a Pre-Rule Quiet Zone or Pre-Rule
Partial Quiet Zone if: (a) The Pre-Rule Quiet Zone or Pre-Rule Partial
Quiet Zone complies with the Pre-Rule Quiet Zone requirements set forth
in Sec. Sec. 222.25, 222.27, and 222.35 of this part; (b) the Pre-Rule
Quiet Zone or Pre-Rule Partial Quiet Zone complies with the quiet zone
standards set forth in Sec. 222.39 of this part; and (c) the public
authority complies with all applicable notification and filing requirements
contained within this paragraph (c) and Sec. 222.43 of this part.
The notification and filing requirements contained within this
paragraph (c) and Sec. 222.43 of this part may include: a) mailing the
Notice of Intent, in accordance with Sec. 222.43 of this part, if new
SSMs or ASMs will be implemented within the Pre-Rule Quiet Zone or Pre-
Rule Partial Quiet Zone; b) filing a detailed plan with the Associate
Administrator by June 24, 2008, in accordance with paragraph (c)(2) of
this section, if the Pre-Rule Quiet Zone or Pre-Rule Partial Quiet Zone
will be established after that date; and c) providing a Notice of Quiet
Zone Establishment, in accordance with Sec. 222.43 of this part.
[[Page 47623]]
Paragraph (d) of this section has been revised in order to clarify
the process that must be followed in order to convert a Pre-Rule
Partial Quiet Zone into a 24-hour New Quiet Zone. While the final rule
simply stated that the public authority must provide ``notification of
the establishment of a New 24-hour Quiet Zone'', paragraph (d) of this
section has been revised to clarify that the public authority is
actually required to comply with all applicable notification and filing
requirements contained within paragraph (c) of this section and Sec.
222.43 of this part. These notification and filing requirements may
include: (a) Mailing the Notice of Intent, in accordance with Sec.
222.43 of this part; b) filing a detailed plan with the Associate
Administrator by June 24, 2008, in accordance with paragraph (c)(2) of
this section, if the Pre-Rule Partial Quiet Zone will be converted
after that date; and c) providing a Notice of Quiet Zone Establishment,
in accordance with Sec. 222.43 of this part.
Section 222.42 How does this rule affect Intermediate Quiet Zones and
Intermediate Partial Quiet Zones?
This section has been revised in order to clarify the process that
must be followed in order to continue existing locomotive horn sounding
restrictions in Intermediate Quiet Zones and Intermediate Partial Quiet
Zones until June 24, 2006. This section has also been revised in order
to clarify the process that must be followed in order to convert an
Intermediate Quiet Zone or Intermediate Partial Quiet Zone into a New
Quiet Zone or New Partial Quiet Zone on or before June 24, 2006, in
order to prevent the resumption of locomotive horn sounding on that date.
As stated in paragraph (a)(1) of this section, a public authority
may continue existing locomotive horn restrictions until June 24, 2006
by providing a Notice of Quiet Zone Continuation in accordance with
Sec. 222.43 of this part. An Intermediate Quiet Zone or Intermediate
Partial Quiet Zone must, however, be converted into a New Quiet Zone or
a New Partial Quiet Zone by June 24, 2006, in order to prevent the
resumption of locomotive horn sounding on that date.
Paragraph (a)(2) of this section explains the process for
converting an Intermediate Quiet Zone into a New Quiet Zone, or an
Intermediate Partial Quiet Zone into a New Partial Quiet Zone, by June
24, 2006. Paragraph (b) of this section explains the process for
converting an Intermediate Partial Quiet Zone into a 24-hour New Quiet
Zone by June 24, 2006.
While most of the requirements for converting an Intermediate Quiet
Zone or Intermediate Partial Quiet Zone remain unchanged, paragraph
(a)(2) of this section explains that the public authority is required
to: (a) Provide a Notice of Intent, in accordance with Sec. 222.43 of
this part; (b) bring the Intermediate Quiet Zone or Intermediate
Partial Quiet Zone into compliance with the standards set forth in
Sec. 222.39 of this part; (c) bring the Intermediate Quiet Zone or
Intermediate Partial Quiet Zone into compliance with the New Quiet Zone
requirements set forth in Sec. Sec. 222.25, 222.27, and 222.35 of this
part; and d) provide a Notice of Quiet Zone Establishment, in
accordance with Sec. 222.43 of this part, by June 3, 2006. It should
be noted that the Notice of Intent should be mailed prior to April 3,
2006, in order to allow at least 60 days for the submission of comments
and/or ``no-comment'' statements from each railroad operating over
public highway-rail grade crossings within the quiet zone, the State
agency responsible for grade crossing safety, and the State agency
responsible for highway and road safety before the mailing of the
Notice of Quiet Zone Establishment. (Please refer to Sec. 222.43(b)
for more information.) Even though these notification requirements were
contained within Sec. 222.43 of this part and were included in the
Paperwork Reduction Act analysis that FRA performed on the Final Rule,
FRA inadvertently omitted explicit reference to these requirements in
this section of the Final Rule.
Paragraph (b) of this section has been revised in order to clarify
the process that must be followed in order to convert an Intermediate
Partial Quiet Zone into a 24-hour New Quiet Zone. (Please note that the
requirements for converting an Intermediate Partial Quiet Zone into
either a 24-hour New Quiet Zone or a New Partial Quiet Zone are
identical.) While the Final Rule simply stated that the public
authority is required to provide ``notification of New Quiet Zone
establishment'', paragraph (b) of this section has been revised to
clarify that the public authority is actually required to provide two
different types of quiet zone notification--the Notice of Intent and
the Notice of Quiet Zone Establishment. In order to facilitate
conversion of the Intermediate Partial Quiet Zone before the end of the
one-year grace period for existing locomotive horn sounding
restrictions, paragraph (b) of this section has also been revised to
include a deadline for the submission of the Notice of Quiet Zone
Establishment, which mirrors the submission deadline contained within
paragraph (a)(2) of this section.
Section 222.43 What notices and other information are required to
create or continue a quiet zone?
Minor typographical revisions have been made throughout this section.
This section has also been revised by expanding the scope of the
Notice of Intent requirement to include Pre-Rule Quiet Zones and Pre-
Rule Partial Quiet Zones that will need to implement SSMs or ASMs in
order to qualify for quiet zone establishment under Sec. 222.41 (c) or
(d) of this part. The requirement to provide Notice of Detailed Plan,
which was virtually identical to the Notice of Intent, has therefore
been removed. Thus, Pre-Rule Quiet Zones and Pre-Rule Partial Quiet
Zones that were previously required to provide a Notice of Detailed
Plan are now required to provide a Notice of Intent on or before
February 24, 2008.
As stated in paragraph (a)(1) of this section, a Notice of Intent
must be provided by public authorities who wish to create a New Quiet
Zone or New Partial Quiet Zone by public authority designation or
application, in accordance with Sec. 222.39(a) or (b) of this part.
This includes public authorities who wish to convert Intermediate Quiet
Zones and Intermediate Partial Quiet Zones into a New Quiet Zone or New
Partial Quiet Zone. In addition, public authorities seeking to
implement new SSMs or ASMs within Pre-Rule Quiet Zones and Pre-Rule
Partial Quiet Zones are required to provide a Notice of Intent.
The Notice of Intent should be mailed early in the quiet zone
development process, as the submission of the Notice of Intent triggers
a 60-day comment period and provides State agencies and railroads with
an opportunity to provide input on the quiet zone to the public
authority. Therefore, paragraph (b)(1) was added to this section to
reiterate that a sixty-day period must elapse between the mailing of
the Notice of Intent and the mailing of the Notice of Quiet Zone
Establishment, unless the public authority has obtained written
comments and/or ``no-comment'' statements from each railroad operating
over public highway-rail grade crossings within the quiet zone, the
State agency responsible for grade crossing safety, and the State
agency responsible for highway and road safety, in accordance with
paragraph (b)(3)(ii) of this section. This provision is very similar to
language contained within paragraph (d)(1)(ii) of this section, which
[[Page 47624]]
addresses the timing of Notices of Quiet Zone Establishment.
With respect to Pre-Rule Quiet Zones and Pre-Rule Partial Quiet
Zones that will not be established by June 24, 2008, paragraph
(b)(1)(ii) of this section reminds public authorities that the Notice
of Intent, which provides a brief explanation of proposed quiet zone
improvements, must be provided by February 24, 2008, in order to
continue existing locomotive horn sounding restrictions beyond June 24,
2008 without interruption.
As for the Notice of Quiet Zone Continuation, it should be noted
that submission of the Notice of Quiet Zone Continuation was only
necessary if the public authority wanted to continue pre-existing
locomotive horn sounding restrictions after June 24, 2005. If a Pre-
Rule Quiet Zone or Pre-Rule Partial Quiet Zone was established under
the authority of this part before the Final Rule took effect on June
24, 2005, the public authority was not required to provide prior Notice
of Quiet Zone Continuation.
All Notices of Intent, Notices of Quiet Zone Continuation, and
Notices of Quiet Zone Establishment that complied with Sec. 222.43 of
the Final Rule and were mailed on or before August 17, 2006, shall be
deemed compliant with any revised notification requirements now
contained in this section.
Section 222.45 When Is a Railroad Required to Cease Routine Sounding of
Locomotive Horns at Crossings?
This section has been revised to clarify the required railroad
response to a valid Notice of Quiet Zone Continuation or Establishment.
Even though railroads have been required to refrain from, or cease,
routine sounding of the locomotive horn at all public, private, and
pedestrian crossings identified in a valid Notice of Quiet Zone
Continuation or Establishment on the date specified in the Notice,
reference to the Notice of Quiet Zone Continuation was inadvertently
omitted from this section in the Final Rule. Pedestrian grade crossings
were also inadvertently omitted from the description of grade crossings
at which railroads are required to cease routine use of the locomotive
horn.
Section 222.47 What periodic updates are required?
Minor typographical revisions have been made in this section.
Section 222.49 Who may file Grade Crossing Inventory Forms?
This section has not been revised.
Section 222.51 Under what conditions will quiet zone status be terminated?
This section has not been revised.
Section 222.53 What are the requirements for supplementary and
alternative safety measures?
This section has not been revised.
Section 222.55 How are new supplementary or alternative safety measures
approved?
This section has not been revised.
Section 222.57 Can parties seek review of the Associate Administrator's
actions?
This section has not been revised.
Section 222.59 When May a Wayside Horn Be Used?
It has come to FRA's attention that there may be some confusion in
the railroad industry as to whether the notification requirements
contained within this section apply to existing wayside horn
installations. As a result, we wish to clarify that railroads and/or
public authorities who are responsible for wayside horns that became
operational before June 24, 2005 and that meet the requirements set
forth in this part are not required to submit notification of
operational status, in accordance with paragraphs (b) and (c) of this
section. Thus, all railroads operating over highway-rail grade
crossings equipped with wayside horns that became operational before
June 24, 2005 were required to cease routine sounding of the locomotive
horn at those crossings on that date, even if notification of
operational status was not provided in accordance with this section.
Appendix A to Part 222--Approved Supplementary Safety Measures
Sections (A)(1), (A)(3), (A)(4), and (A)(5) of this Appendix have
not been revised. However, FRA has added a brief discussion of the
effectiveness rate assigned to four-quadrant gate systems equipped with
vehicle presence detection to Section (A)(2) of this Appendix.
As stated in the Note to section (A)(2) of the Appendix, the lower
effectiveness rate assigned to four-quadrant gate systems equipped with
presence detection does not mean that four-quadrant systems with
presence detection are inherently less safe. The lower effectiveness
rate merely reflects the fact that motorists who are intent on
circumventing the grade crossing warning system can take advantage of
presence detection by driving under the delayed exit gates to enter the
grade crossing. However, the public authority must weigh this risk
against site-specific risks, such as nearby highway intersections that
may cause traffic to back up on the grade crossing, when determining
which type of four-quadrant gate system should be installed at a
specific highway-rail grade crossing. FRA therefore recommends the use
of site-specific studies to determine the best application for each
installation.
Sections (B) and (C) of this Appendix have not been revised.
Appendix B to Part 222--Alternative Safety Measures
Minor revisions have been made to section I.A. of this appendix,
which contains a brief discussion of the requirements and effectiveness
rates for modified SSMs. Specifically, section I.A.2 of this appendix
has been revised in order to clarify that the public authority is
required to provide estimates of the effectiveness of its modified
SSMs, which can be based upon adjustments to the effectiveness levels
provided in appendix A or actual field data derived from the crossing
sites. These effectiveness rate estimates must be included in the quiet
zone application, as set forth in Sec. 222.39(b) of this part.
Sections (I)(B) and (I)(C) of this Appendix have not been revised.
Sections II and III of this Appendix have also not been revised.
Appendix C to Part 222--Guide to Establishing Quiet Zones
This appendix has been revised to incorporate changes that have
made been to the rule text.
Appendix D to Part 222--Determining Risk Levels
This appendix has not been revised.
Appendix E to Part 222--Requirements for Wayside Horns
This appendix has not been revised.
Appendix F to Part 222--Diagnostic Team Considerations
This appendix has not been revised.
Appendix G to Part 222--Schedule of Civil Penalties
This appendix has been revised to reflect the exception for fast-
moving trains (trains operating at speeds in excess of 60 mph) from the
15-second minimum horn sounding requirement contained in Sec.
222.21(b) of this part. As stated in Sec. 222.21(b)(3) of this part,
FRA will not issue civil penalties against railroads whose fast-moving
trains fail to sound the locomotive horn at least 15
[[Page 47625]]
seconds prior to their arrival at public highway-rail grade crossings,
if locomotive horn sounding was initiated one-quarter mile from the
public highway-rail grade crossing.
This appendix has also been revised to reflect revisions that have
been made to the audible warning requirement set forth in Sec.
222.21(b) of this part. When dealing with situations in which the
locomotive engineer provided an audible warning in excess of 20 seconds
before public grade crossings, FRA will try to determine whether the
locomotive engineer made a good faith attempt to comply with the 15-20
second audible warning requirement. However, if an audible warning in
excess of 25 seconds was provided before a public highway-rail grade
crossing and FRA determines that the locomotive engineer failed to make
a good faith attempt to comply with the 15-20 second audible warning
requirement set forth in Sec. 222.21(b) of this part, FRA may issue an
appropriate civil penalty.
Section 222.21(b)(3) of this part prohibits the initiation of
locomotive horn sounding from a location more than one-quarter mile
before a public highway-rail grade crossing. However, under the civil
penalty schedule contained within Appendix G to the Final Rule, a
$5,000 civil penalty could only have been assessed if locomotive horn
sounding was routinely initiated from a location more than one-quarter
mile before a public highway-rail grade crossing. FRA did not intend to
restrict its enforcement activity to habitual violations of the
locomotive horn sounding requirements contained within this part.
Therefore, FRA is amending this appendix in order to clarify that civil
penalties may be assessed against railroads for individual instances in
which locomotive horn sounding was initiated from a location more than
one-quarter mile before a public highway-rail grade crossing. However,
the recommended standard civil penalty has been reduced from $5,000 to
$1,000 and the recommended willful civil penalty has also been reduced
from $7,500 to $2,000.
This appendix has also been revised to clarify that routine
sounding of the locomotive horn at any grade crossing (i.e., public,
private or pedestrian grade crossing) located within a quiet zone is
prohibited.
Section 229.5 Definitions
The three definitions that are being added this section were
included in the Final Rule on the Use of Locomotive Horns at Highway-
Rail Grade Crossings. These definitions were, however, inadvertently
removed upon issuance of the Final Rule on Locomotive Event Recorders
(70 FR 37920).
Also, the definition of the term ``defective'' has been revised to
reflect FRA's intent to limit application of this specific definition
to Sec. 229.129 of this part.
Section 229.129 Locomotive Horn
The title of this section has been changed to reflect the fact that
the requirements contained within this section only pertain to one type
of locomotive audible warning device--the locomotive horn. Therefore,
all references to ``audible warning devices'' within this section have
been replaced with the term ``locomotive horn'.
This section has also been revised in response to petitions for
reconsideration that were submitted by GE Transportation Rail and the
AAR. In its petition for reconsideration, GE Transportation Rail
requested a 120-day extension of the compliance deadline set forth in
paragraph (b)(1) of this section for the sound level testing of new
locomotives. GE Transportation Rail asserted that, given the relatively
short period of time since the issuance of FRA's Final Rule on the Use
of Locomotive Horns at Highway-Rail Grade Crossings, it would be unable
to complete sound level testing on its first batch of new locomotives
prior to June 24, 2005 (the compliance deadline for sound level testing
of new locomotives). As a result, GE Transportation Rail asserted that
it would be forced to test every new locomotive, which would negatively
impact its ability to meet delivery commitments made to its customers.
After considering the assertions made by GE Transportation Rail
with respect to the practical limitations associated with testing new
locomotive sound levels, in accordance with the test parameters set
forth in Sec. 229.129, FRA revised paragraph (b) to extend the
compliance date of the new locomotive sound level testing requirements
to September 18, 2006. In light of the delay incidental to the
publication of these amendments, this revision will actually extend the
compliance date of the testing requirements contained in this section
by more than 120 days. Therefore, any locomotives built on or after
September 18, 2006 must comply with the minimum and maximum locomotive
horn sound level requirements set forth in paragraph (a) of this
section. However, locomotives built before September 18, 2006 must be
tested and brought into compliance with the minimum and maximum
locomotive horn sound level requirements set forth in paragraph (a) of
this section by June 24, 2010.
Paragraph (b)(3) of this section has been revised to clarify FRA's
original intent to require the sound level testing of remanufactured
locomotives, in accordance with this section. Even though the Final
Rule required sound level testing of ``each locomotive when rebuilt, as
determined pursuant to 49 CFR 232.5'', FRA has received comments noting
that this provision is somewhat ambiguous and difficult to interpret.
Since FRA had actually intended to apply the sound level testing
requirements contained within this section to those locomotives that
have been rebuilt or refurbished from a previously used or refurbished
underframe (``deck'') and contain fewer than 25 percent of previously
used components (weighted by the dollar value of the components),
paragraph (b)(3) of this section has been revised to refer only to
those locomotives that meet the definition of ``remanufactured
locomotive'', as set forth in Sec. 229.5 of this part. (Please refer
to FRA's Final Rule on Locomotive Crashworthiness, which was published
in the Federal Register on June 28, 2006 (71 FR 36888), for further
discussion of the term ``remanufactured locomotive''.)
The AAR also submitted a petition for reconsideration that
addressed a number of provisions contained within Sec. 229.129 of this
part. First, the AAR asserted that Sec. 229.129 of this part was
ambiguous as to what additional testing, if any, must be conducted when
locomotive horns are replaced. If additional testing would be
necessary, the AAR proposed that railroads be allowed to use the
sampling scheme set forth in paragraph (b)(1) of this section to
qualify replacement horns, with no additional testing necessary.
However, if a replacement horn was not model qualified through
acceptance sampling, the AAR proposed that railroads be required to
test the replacement horn at the time of the next periodic inspection
or by June 24, 2010, whichever is later.
FRA has not, however, revised this section to allow acceptance
sampling of replacement horns. Given the level of variation that exists
in the different types of locomotive/locomotive horn configurations,
FRA is concerned that acceptance sampling would not ensure that the
replacement horn, when installed on the locomotive, would generate an
audible warning commensurate with the sound level parameters
established by paragraph (a) of this section. FRA believes that
locomotive horns should not be tested in isolation--the sound level
must be tested after the horn has been installed
[[Page 47626]]
on the locomotive. FRA notes that there are a variety of factors that
can influence locomotive horn sound levels, such as the placement,
mounting, air pressure and actual condition of the locomotive horn.
However, should railroads develop data from field testing to
demonstrate that some form of acceptance sampling would be appropriate,
FRA would be willing to reconsider its position on this issue.
Paragraph (b)(4) has been added to this section to require sound
level testing of locomotives equipped with replacement horns, in
accordance with paragraph (c) of this section. As stated in paragraph
(b)(4) of this section, locomotives equipped with replacement horns
must be tested unless: (a) The locomotive has already been individually
tested or tested through acceptance sampling, in accordance with
paragraphs (b)(1), (b)(2), or (b)(3) of this section; (b) the
replacement horn is the same locomotive horn model as the locomotive
horn that was replaced; and (c) the replacement horn was mounted in the
same manner and location as the locomotive horn that was replaced. This
sound level testing must be performed before the next two annual tests
required by Sec. 229.27 of this part are completed.
In its petition for reconsideration, the AAR also requested that
railroads be allowed to use acceptance sampling to qualify the sound
level output of existing locomotives. In support of this request, the
AAR asserted that there is a great deal of standardization with respect
to locomotive horn and locomotive models. However, FRA has not revised
this section to allow acceptance sampling of the sound level output of
existing locomotives, as the considerations that militate against
acceptance sampling of replacement locomotive horns apply equally, if
not more so, to the acceptance sampling of existing locomotives. FRA
notes that there are many factors that can influence the sound level
output of existing locomotives, including the actual condition of the
locomotive horn, as well as the placement, mounting and air pressure of
the locomotive horn. FRA may, however, reconsider this issue, should
railroads develop data from field testing that demonstrates that some
form of acceptance sampling would be appropriate.
Paragraph (c)(1) of this section has not been revised.
By e-mail dated September 20, 2005, the AAR submitted a request for
modification of the locomotive horn testing requirements in paragraph
(c)(2) of this section. In its e-mail, the AAR requested permission to
use electronic calibrators, in addition to approved acoustic
calibrators, to conduct compliance testing in accordance with this
section. If such a change were made, the AAR asserted that railroads
could use an acoustic calibrator during the initial setup of an
``environmental noise monitoring system'' and then store the results in
an electronic calibrator which could, conceivably, have an accuracy of
± 0.1 dB.
FRA has not, however, revised paragraph (c)(2) of this section.
Acoustical calibration has been incorporated into the recommended
practice for monitoring aircraft noise in the vicinity of airports,
unlike electronic calibration, which is mainly used to identify sound
level measurement system failure. See SAE Aerospace Recommended
Practice (ARP) 4721--Monitoring Aircraft Noise and Operations in the
Vicinity of Airports and ISO/DIS 20906--Unattended Monitoring of
Aircraft Sound in the Vicinity of Airports. Thus, while FRA will permit
the use of environmental noise monitoring systems to conduct compliance
testing under this section, FRA cannot permit electronic calibration of
sound level measurement systems.
Apart from the correction of a typographical error in paragraph
(c)(5), paragraphs (c)(3) through (c)(8) of this section have not been
revised.
In its e-mail dated September 20, 2005, the AAR also requested that
FRA relax the requirement in paragraph (c)(9) of this section that
calibration be done before and after each compliance test. However, FRA
would like to clarify that calibration is not required before and after
each compliance test. Acoustical calibration must be performed, at a
minimum, before and after each session of compliance tests within an 8-
hour period, unless a physical change in the environment (such as a
drop or rise in temperature, atmospheric pressure or wind) or damage to
the instrument may cause changes in microphone response. Therefore,
paragraph (c)(9) of this section has not been revised.
In its petition for reconsideration, the AAR asserted that the
requirement to record air flow measurements when testing locomotive
sound levels would not only be extremely burdensome, but would fail to
provide any useful information. Noting that Sec. 229.129 does not
contain any regulatory requirement pertinent to air flow, the AAR
stated that no regulatory purpose would be served by recording air flow
measurements. In addition, the AAR asserted that railroads would need
to employ extra personnel and/or utilize specialized equipment during
locomotive sound level testing, for the sole purpose of reading the air
flow meter.
After considering these assertions, FRA revised paragraph (c)(10)
of this section by removing the requirement to retain written records
of air flow measurements taken during locomotive sound level testing.
FRA was persuaded that this requirement would impose an unnecessary
burden on railroads and locomotive manufacturers.
Lastly, the AAR objected to the written signature requirement
contained within paragraph (c)(10) of this section. Noting that the
Interim Final Rule did not provide any rationale for requiring the
signature of the person who performs the locomotive horn sound level
test, the AAR expressed concern that railroads would be unable to use a
fully automated test procedure under consideration which would record
and send sound level test results to a database without any human
intervention. Nonetheless, if signatures will be required, the AAR
asserted that FRA will have to allow railroads to use electronic
signatures, in accordance with the Government Paperwork Elimination Act.
While FRA recognizes the paperwork burdens associated with an
additional recordkeeping requirement, FRA notes that the written
signature of the person who performs the locomotive sound level test
will provide accountability, should questions arise as to the quality
of the test that was performed. However, FRA acknowledges that an
electronic recordkeeping system could be designed to provide an
equivalent level of accountability, while reducing associated paperwork
burdens. Therefore, even though FRA has not revised paragraph (c)(10)
of this section to remove the written signature requirements, FRA looks
forward to the implementation of electronic recordkeeping in the near
future, at which time FRA intends to review all of the recordkeeping
requirements contained within 49 CFR Part 229.
Paragraph (d) of this section has not been revised. However, in
light of the confusion generated by the preamble discussion of this
section in the Final Rule, FRA would like to clarify the intent of this
section.
Contrary to the discussion of this section in the preamble to the
Final Rule, rapid transit operations that share track with general
system railroads are not subject to this section. (This category of
rapid transit operations includes ``light rail'' vehicles that are
operated on general system track pursuant to an FRA-approved Temporal
Separation Plan.) Thus, rapid transit
[[Page 47627]]
operations that share track with general system railroads need not file
waiver petitions to obtain relief from the locomotive horn volume and
testing requirements contained in this section.
It should, however, be noted that rapid transit operations that
share track with general system railroads remain subject to the
locomotive horn sounding requirements contained in 49 CFR Part 222,
absent relief granted in the form of an FRA waiver. Thus, rapid transit
operations that share track with general system railroads are required
to sound the locomotive horn when approaching and entering public
highway-rail grade crossings located outside quiet zones. However,
these rapid transit operations need not comply with the minimum and
maximum locomotive horn sound level requirements contained in this
section, nor do they need to conduct locomotive horn testing in
accordance with this section.
Rapid transit operations that operate within a common corridor with
general system railroads and traverse shared public highway-rail grade
crossings are also exempt from the requirements contained in this
section. However, these rapid transit operations remain subject to the
locomotive horn sounding requirements contained in 49 CFR Part 222,
absent relief granted in the form of an FRA waiver.
Therefore, rapid transit operations that operate within a common
corridor with general system railroads are required to sound the
locomotive horn when approaching and entering public highway-rail grade
crossings that are shared with general system railroads and located
outside quiet zones. However, these rapid transit operations need not
comply with the minimum and maximum locomotive horn sound level
requirements contained in this section, nor do they need to conduct
locomotive horn testing in accordance with this section.
Appendix B to Part 229--Schedule of Civil Penalties
This appendix has been revised to reflect changes that have been
made to section 229.129 of this part, which clarify that the sound
level and testing requirements contained within section 229.129 of this
part only pertain to one type of locomotive audible warning device--the
locomotive horn. In addition to other minor clarifying revisions, this
appendix has also been revised by assigning a civil penalty
recommendation to the failure of a railroad or locomotive manufacturer
to complete and/or retain a proper locomotive horn sound level test
record in accordance with section 229.129(c)(10) of this part.
5. Regulatory Impact
A. Executive Order 12866 and DOT Regulatory Policies and Procedures
This revised Final Rule has been evaluated in accordance with
existing policies and procedures and is considered to be significant
under both Executive Order 12866 and DOT policies and procedures. FRA
has prepared and placed in the docket a regulatory evaluation of the
rule. Following is a summary of the findings.
FRA identified 1,598 existing whistle ban or no-horn crossings that
would qualify for inclusion in Pre-Rule Quiet Zones. FRA also
identified 372 potential New Quiet Zone crossings and 71 potential
Intermediate Quiet Zone crossings. Using information available about
the crossing characteristics and the number of persons that would be or
currently are severely affected by the sounding of train horns, FRA
estimated the costs and benefits of the actions that communities would
take in response to this revised Final Rule. FRA believes that many
communities will take advantage of the many options available to
establish quiet zones. FRA also estimated the costs associated with the
revised horn sound level testing requirements.
After the release of the Final Rule, FRA received petitions for
reconsideration on various issues of concern to the railroads, railroad
suppliers, and other affected entities. After careful consideration,
FRA is revising the Final Rule to address some of the issues raised in
the petitions for reconsideration. FRA is also taking the opportunity
to clean up the rule by correcting a few inadvertent errors and
omissions which are necessary for the rule to function as intended.
These revisions to the Final Rule will result in approximately $184,873
in additional costs. These additional costs are reflected in the cost
table below. For a complete discussion of the costs of the revisions,
please see the Economic and Regulatory Flexibility Analyses of the
Revisions to the Final Rule.
The table below presents estimated twenty-year monetary costs
associated with complying with the requirements contained in the Final
Rule revisions using a 7 percent discount rate.
Total Twenty-Year Costs (PV, 7%) \1\
------------------------------------------------------------------------
------------------------------------------------------------------------
Extension of Compliance Date for Sound Level Testing of $34,203
New Locomotives........................................
Notice and Comment Requirements......................... $150,670
---------------
Total Twenty-Year Costs associated with *$184,873
implementation of the Final Rule revisions are
estimated to total.................................
------------------------------------------------------------------------
\1\ Present Value (PV) provides a way of converting future benefits and
costs into equivalent dollars today so that benefit and cost streams
that involve different time paths may be compared. The formula used to
calculate these flows is: 1/(1+I)\t\ where ``I'' is the discount rate,
and ``t'' is the year. Per guidance from the Office of Management and
Budget, a discount rate of .07 is used in this analysis.
*(PV, 20 Years, 7%).
FRA extended the compliance deadline for the sound level testing of
new locomotives at the request of a major locomotive manufacturer, who
was not prepared to meet the original compliance deadline without major
disruption. This extension of the compliance deadline has, however,
resulted in $34,203 in additional costs. FRA believes that this small
additional cost is justified by the benefit (not quantified) of
avoiding either substantial non-compliance or disruptions to the
manufacturing process.
The remaining additional costs are associated with the notice and
comment provisions of the Final Rule. These provisions have been
revised, in order to streamline the quiet zone notification process and
facilitate communication between interested parties prior to the
expenditure of significant funds for projects such as crossing safety
improvements. Even though we do not have the information necessary to
estimate the amount of ``waste'' which may be avoided through early
disclosure of planned crossing safety improvements, FRA believes that
this small increase in total cost will prevent additional cost outlays
associated with potential problems arising from projects requiring a
substantial investment for needed safety improvements.
The direct safety benefit of this revised Final Rule is the
reduction in casualties that result from collisions between trains and
highway users at
[[Page 47628]]
public at-grade highway-rail crossings. Implementation of this rule
will ensure that (1) locomotive horns are sounded to warn highway users
of approaching trains; or (2) rail corridors where train horns do not
sound will have a level of risk that is no higher than the average risk
level at gated crossings nationwide where locomotive horns are sounded
regularly; or (3) the effectiveness of horns is compensated for in rail
corridors where train horns do not sound.
Some of the unquantified benefits of this revised Final Rule
include reductions in freight and passenger train delays, both of which
can be very significant when grade crossing collisions occur, and
collision investigation efforts. Although these benefits are not
quantified in this analysis, their monetary value is significant.
Maximum horn sound level requirements will limit community
disruption by not allowing horns to be sounded any louder than
necessary to provide motorists with adequate warning of a train's
approach. The benefit in noise reduction due to this change in maximum
horn loudness is not readily quantifiable.
Another unquantified benefit of this rule is elimination of some
locomotive horn noise disruption to some railroad employees and those
who may reside near industrial areas served by railroads. Locomotive
horns do not have to be sounded at individual highway-rail grade
crossings at which the maximum authorized operating speed for that
segment of track is 15 miles per hour or less and properly equipped
flaggers (as defined in by 49 CFR 234.5, but who for purposes of this
rule can also be crew members) provide warning to motorists. This rule
will allow engineers, who were probably already exercising some level
of discretion as to the duration and sound level of locomotive horn
sounding, to stop sounding the horn under these circumstances at no
additional cost. In addition, under the Final Rule revisions,
locomotive horns need not be sounded for a minimum of 15 seconds by
trains that re-initiate movement from locations, such as passenger
stations, that are in close proximity to public highway-rail grade
crossings, provided certain specified conditions are met.
The Final Rule revisions will also facilitate railroad compliance
with required time-based locomotive horn sounding. By extending the
compliance deadline for time-based locomotive horn sounding, FRA will
ensure that locomotive engineers have sufficient time to adapt to time-
based locomotive horn sounding. In addition, by expanding the scope of
these time-based audible warning requirements to cover audible warnings
provided at public, private and pedestrian crossings, locomotive
engineers will no longer be required to comply with potentially
inconsistent State and Federal requirements governing locomotive-based
audible warnings at grade crossings. Improved railroad compliance is
not, however, readily quantifiable.
This analysis does not quantify the benefit of eliminating
community disruption caused by the sounding of train horns, nor does it
quantify costs from increased noise at crossings where horns will sound
where they were previously silent. FRA is, however, confident that the
benefits in terms of lives saved and injuries prevented will exceed the
costs imposed on society by this rule.
B. Regulatory Flexibility Act
The Regulatory Flexibility Act of 1980 (5 U.S.C. 601 et seq.)
requires a review of final rules to assess their impact on small
entities unless the Secretary certifies that a final rule will not have
a significant economic impact on a substantial number of small
entities. Data available to FRA indicates that this rule may have
minimal economic impact on a substantial number of small entities
(railroads) and possibly a significant economic impact on a few small
entities (government jurisdictions and small businesses). However,
there is no indication that this rule will have a significant economic
impact on a substantial number of small entities. The Small Business
Administration (SBA) did not submit comments to the docket for this
rulemaking in response to the Initial Regulatory Flexibility Assessment
that accompanied the NPRM or the Regulatory Flexibility Assessment that
accompanied the Interim Final Rule. FRA certifies that this rule will
not have a significant economic impact on a substantial number of small
entities.
FRA has performed a Final Regulatory Flexibility Assessment (FRFA)
on small entities that potentially can be affected by this revised
Final Rule. The FRFA is summarized in this preamble as required by the
Regulatory Flexibility Act. The full FRFA is included in the Regulatory
Evaluation, which is available in the public docket of this proceeding.
This is essentially a safety rule that implements as well as
minimizes the potential negative impacts of a Congressional mandate to
blow train whistles and horns at all public crossings. Some communities
believe that the sounding of train whistles at every crossing is
excessive and an infringement on community quality of life, and
therefore have enacted ``whistle bans'' that prevent the trains from
sounding their whistles entirely, or during particular times (usually
at night). Some communities would like to establish ``quiet zones''
where train horns would not be routinely sounded and have been awaiting
issuance of this rule to do so. FRA is concerned that with the
increased risk at grade crossings where train whistles are not sounded,
or another means of warning utilized, collisions and casualties may
increase significantly. The rule contains low risk based provisions for
communities to establish quiet zones. Some crossing corridors may
already be at risk levels that are permissible under this rule and
would not need to reduce risk levels any further to establish quiet
zones. Otherwise, communities establishing Pre-Rule Quiet Zones may
implement sufficient safety measures along whistle-ban corridors to
reduce risk to permissible levels. In addition to having permissible
risk levels, all crossings in New Quiet Zones will have to be equipped
with gates and flashing lights. If a community elects to simply follow
the mandate, horn sounding will resume and there will be a noise impact
on small businesses that exist along crossings where horns are not
currently routinely sounded. If a community elects to implement
sufficient safety measures to comply with the requirements for
establishing a quiet zone, then the governmental jurisdiction will be
impacted by the cost of such program or system. To the extent that
potential quiet zone crossing corridors already have average risk
levels permissible under this rule, and, in the case of New Quiet
Zones, every crossing is equipped with gates and flashing lights,
communities will only incur administrative costs associated with
establishing and maintaining quiet zones.
The costs of implementing this revised Final Rule will
predominately be on the governmental jurisdictions of communities some
of which are ``small governmental jurisdictions.'' As defined by the
SBA this term means governments of cities, counties, towns, townships,
villages, school districts, or special districts with a population of
less than fifty thousand. The most significant impacts from this rule
will be on about 260 governmental jurisdictions whose communities
currently have either formal or informal whistle bans in place. FRA
estimates
[[Page 47629]]
that approximately 70 percent (i.e. 193 communities) of these
governmental jurisdictions are considered to be small entities.
FRA has recently published a final policy which establishes ``small
entity'' as being railroads which meet the line haulage revenue
requirements of a Class III railroad. As defined by 49 CFR 1201.1-1,
Class III railroads are those railroads who have annual operating
revenues of $20 million per year or less. Hazardous material shippers
or contractors that meet this income level will also be considered as
small entities. FRA is using this definition of small entity for this
rulemaking. FRA believes that approximately 640 small railroads would
be minimally impacted by train horn sound level testing requirements
contained in this rule. In addition, some small businesses that operate
along or nearby rail lines that currently have whistle bans in place
that potentially may not after the implementation of this rule, could
be moderately impacted. Alternative options for complying with this
rule include allowing the train whistle to be blown. This alternative
has no direct costs associated with it for the governmental
jurisdiction. Other alternatives include ``gates with median barriers''
which are estimated to cost between $13,000 and $15,000 for simple
installations; upgrade two-quadrant gate systems to four-quadrant gate
systems at an estimated cost of $100,000-$300,000 plus annual
maintenance costs of $2,500-$3,000; and ``Photo enforcement'' which is
estimated to cost $28,000-$65,500 per crossing, and have annual
maintenance costs of $6,600-$24,000 per crossing. Finally, FRA has not
limited compliance to the lists provided in appendix A or appendix B of
the rule. The rule provides for supplementary safety measures that
might be unique or different. For such an alternative, an analysis
would have to accompany the option that would demonstrate that the
number of motorists that violate the crossing is equivalent or less
than that of blowing the whistle. FRA intends to rely on the creativity
of communities to formulate solutions which will work for that community.
FRA does not know how many small businesses are located within a
distance of the affected highway-rail crossings where the noise from
the whistle blowing could be considered to be a nuisance and bad for
business. Concerns have been advanced by owners and operators of
hotels, motels and some other establishments as a result of numerous
town meetings and other outreach sessions in which FRA has participated
during development of this rule. If supplementary safety measures are
implemented to create a quiet zone then such small entities should not
be impacted. FRA held 12 public hearings nationwide following issuance
of the NPRM and requested comments to the docket from small businesses
that feel they will be adversely impacted by the requirements contained
in the NPRM. FRA received no comments in response.
C. Paperwork Reduction Act
The information collection requirements in these amendments to the
final rule, which respond to petitions for reconsideration, have been
submitted for approval to the Office of Management and Budget (OMB)
under the Paperwork Reduction Act of 1995, 44 U.S.C. 3501 et seq., and
have been assigned OMB control no. 2130-0560. The sections that contain
the new information collection requirements and the estimated time to
fulfill each requirement are as follows:
BILLING CODE 4910-06-P
[[Page 47630]]
[GRAPHIC]
[TIFF OMITTED]
TR17AU06.000
[[Page 47631]]
[GRAPHIC]
[TIFF OMITTED]
TR17AU06.001
[[Page 47632]]
[GRAPHIC]
[TIFF OMITTED]
TR17AU06.002
BILLING CODE 4910-06-C
All estimates include the time for reviewing instructions;
searching existing data sources; gathering or maintaining the needed
data; and reviewing the information. For information or a copy of the
paperwork package submitted to OMB, contact Robert Brogan at 202-493-
6292.
OMB is required to make a decision concerning the collection of
information requirements contained in these amendments to the final
rule between 30 and 60 days after publication of this document in the
Federal Register.
FRA cannot impose a penalty on persons for violating information
collection requirements which do not display a current OMB control
number, if required. FRA has obtained OMB control number 2130-0560 for
the new information collection requirements resulting from the
amendments to this rulemaking.
D. Environmental Impact
A Record of Decision has been prepared and is available in the
public docket.
E. Federalism Implications
Executive Order 13132, entitled, ``Federalism,'' issued on August
4, 1999, requires that each agency ``in a separately identified portion
of the preamble to the regulation as it is to be issued in the Federal
Register, provides to the Director of the Office of Management and
Budget a Federalism summary impact statement, which consists of a
description of the extent of the agency's prior consultation with State
and local officials, a summary of the nature of their concerns and the
agency's position supporting the need to issue the regulation, and a
statement of the extent to which the concerns of State and local
officials have been met. * * *''
FRA has complied with E.O. 13132 in issuing this rule. FRA
consulted extensively with State and local officials prior to issuance
of the NPRM, and we have taken very seriously the concerns and views
expressed by State and local officials as expressed in written comments
and testimony at the various public hearings throughout the country.
FRA staff provided briefings to many State and local officials and
organizations during the comment period to encourage full public
participation in this rulemaking. As discussed earlier in this
preamble, because of the great interest in this subject throughout
various areas of the country, FRA was involved in an extensive outreach
program to inform communities which presently have whistle bans of the
effect of the Act and the regulatory process. Since the passage of the
Act, FRA headquarters and regional staff have met with a large number
of local officials. FRA also held a number of public meetings to
discuss the issues and to receive information from the public. In
addition to local citizens, both local and State officials attended and
participated in the public
[[Page 47633]]
meetings. Additionally, FRA took the unusual step of establishing a
public docket before formal initiation of rulemaking proceedings in
order to enable citizens and local officials to comment on how FRA
might implement the Act and to provide insight to FRA. FRA received
comments from representatives of Portland, Maine; Maine Department of
Transportation; Acton, Massachusetts; Wisconsin's Office of the
Commissioner of Railroads; a Wisconsin State representative; a
Massachusetts State senator; the Town of Ashland, Massachusetts;
Bellevue, Iowa; and the mayor of Batavia, Illinois.
Since passage of the Act in 1994, FRA has consulted and briefed
representatives of the American Association of State Highway and
Transportation Officials (AASHTO), the National League of Cities,
National Association of Regulatory Utility Commissioners, National
Conference of State Legislatures, and others. Additionally we have
provided extensive written information to all United States Senators
and a large number of Representatives with the expectation that the
information would be shared with interested local officials and
constituents.
Prior to issuance of the NPRM, FRA had been in close contact with,
and has received many comments from Chicago area municipal groups
representing suburban areas in which, for the most part, locomotive
horns are not routinely sounded. The Chicago area Council of Mayors,
which represents over 200 cities and villages with over four million
residents outside of Chicago, provided valuable information to FRA as
did the West Central Municipal Conference and the West Suburban Mass
Transit District, both of suburban Chicago.
Another association of suburban Chicago local governments, the
DuPage [County] Mayors and Managers Conference, provided comments and
information. Additionally, FRA officials met with many Members of
Congress, who have invited FRA to their districts and have provided
citizens and local officials with the opportunity to express their
views on this rulemaking process. These exchanges, and others conducted
directly through FRA's regional crossing managers, have been very
valuable in identifying the need for flexibility in preparing the
revised Final Rule.
Under 49 U.S.C. 20106, issuance of this regulation preempts any
State law, rule, regulation, order, or standard covering the same
subject matter, except a provision necessary to eliminate or reduce an
essentially local safety hazard, that is not incompatible with Federal
law or regulation and does not unreasonably burden interstate commerce.
For further discussion of the effect of this rule on State and local
laws and ordinances, see Sec. 222.7 and its accompanying discussion.
As noted, this rulemaking is required by 49 U.S.C. 20153. The
statute both requires that the Department issue this rule and sets out
clear guidance as to the structure of such rule. The statute clearly
and unambiguously requires the Department to issue rules requiring
locomotive horns to be sounded at every public grade crossing. The
Department has no discretion as to this aspect of the rule. The statute
also makes clear that the Federal government must have a leading role
in establishing the framework for providing exceptions to the
requirement that horns sound at every public crossing. While some
States and communities expressed opposition to Federal involvement in
this area which historically has been subject to State regulation, the
majority of State and local community commenters recognized and
accepted the statutorily required Federal involvement. Of concern to
many of these commenters, however, was the issue as to whether States
or local communities should have primary responsibility for creation of
quiet zones. As further discussed in the section-by-section analysis
regarding ``Who may establish a quiet zone?'', States generally felt
that they should have a primary role in establishing quiet zones and in
administering a quiet zone. Comments from local governments tended to
support the contrary view that local political subdivisions should
establish quiet zones. A review of 49 U.S.C. 20153 indicates a clear
Congressional preference that decision-makers be local authorities.
This revised Final Rule provides non-Federal parties extensive
involvement in decision-making pertaining to the creation of quiet
zones. Through issuance of the Final Rule, FRA increased the role of
States in creation of quiet zones and provided more opportunities for
non-Federal parties, including States to have input in decisions made
regarding creation and termination of quiet zones. However, given the
nature of the competing interests of State and local governments in
this area, FRA could not fully meet the concerns of both groups. For
the reasons detailed in the section-by-section analyses of the Interim
Final Rule, the Final Rule, and these Final Rule amendments, FRA
asserts that the concerns of local communities have been substantially met.
F. Compliance With the Unfunded Mandates Reform Act of 1995
Pursuant to the Unfunded Mandates Reform Act of 1995 (Pub. L. 104-
4) each Federal agency ``shall, unless otherwise prohibited by law,
assess the effects of Federal regulatory actions on State, local, and
tribal governments, and the private sector (other than to the extent
that such regulations incorporate requirements specifically set forth
in law).'' Unfunded Mandates Reform Act section 201, 2 U.S.C. 1531
(1995). Section 202 of the Unfunded Mandates Reform Act further
requires that ``before promulgating any general notice of proposed
rulemaking that is likely to result in promulgation of any rule that
includes any Federal mandate that may result in the expenditure by
State, local, and tribal governments, in the aggregate, or by the
private sector, of $100,000,000 or more (adjusted annually for
inflation)[currently $120,700,000]
in any one year, and before
promulgating any final rule for which a general notice of proposed
rulemaking was published, the agency shall prepare a written statement
* * *'' detailing the effect on State, local and tribal governments and
the private sector. The rule issued today will not result in the
expenditure, in the aggregate, of $120,700,000 or more in any one year,
and thus preparation of a statement is not required.
G. Energy Impact
Executive Order 13211 requires Federal agencies to prepare a
Statement of Energy Effects for any ``significant energy action.'' 66
FR 28355 (May 22, 2001). Under the Executive Order, a ``significant
energy action'' is defined as any action by an agency (normally
published in the Federal Register) that promulgates or is expected to
lead to the promulgation of a final rule or regulation, including
notices of inquiry, advance notices of proposed rulemaking, and notices
of proposed rulemaking: (1)(i) That is a significant regulatory action
under Executive Order 12866 or any successor order, and (ii) is likely
to have a significant adverse effect on the supply, distribution, or
use of energy; or (2) that is designated by the Administrator of the
Office of Information and Regulatory Affairs as a significant energy
action. FRA has evaluated this revised Final Rule in accordance with
Executive Order 13211 and has determined that this revised Final Rule
is not likely to have a significant adverse effect on the supply,
distribution, or use of energy. Consequently, FRA has determined that
this regulatory action is not a
[[Page 47634]]
``significant energy action'' within the meaning of Executive Order 13211.
6. Privacy Act Statement
Anyone is able to search the electronic form of all comments
received into any of our dockets by the name of the individual
submitting the comment (or signing the comment), if submitted on behalf
of an association, business, labor union, etc.). You may review DOT's
complete Privacy Act Statement in the Federal Register published on
April 11, 2000 (volume 65, Number 70; Pages 19477-78) or you may visit
http://dms.dot.gov.
List of Subjects
49 CFR Part 222
Administrative practice and procedure, Penalties, Railroad safety,
Reporting and recordkeeping requirements.
49 CFR Part 229
Locomotives, Penalties, Railroad safety.
? In consideration of the foregoing, FRA is amending chapter II, subtitle
B of title 49, Code of Federal Regulations as follows:
? 1. Part 222 is revised to read as follows:
PART 222--USE OF LOCOMOTIVE HORNS AT PUBLIC HIGHWAY-RAIL GRADE CROSSINGS
Subpart A--General
Sec.
222.1 What is the purpose of this regulation?
222.3 What areas does this regulation cover?
222.5 What railroads does this regulation apply to?
222.7 What is this regulation's effect on State and local laws and
ordinances?
222.9 Definitions.
222.11 What are the penalties for failure to comply with this regulation?
222.13 Who is responsible for compliance?
222.15 How does one obtain a waiver of a provision of this regulation?
222.17 How can a State agency become a recognized State agency?
Subpart B--Use of Locomotive Horns
222.21 When must a locomotive horn be used?
222.23 How does this regulation affect sounding of a horn during an
emergency or other situations?
222.25 How does this rule affect private highway-rail grade crossings?
222.27 How does this rule affect pedestrian grade crossings?
Subpart C--Exceptions to the Use of the Locomotive Horn
222.31 [Reserved]
Silenced Horns at Individual Crossings
222.33 Can locomotive horns be silenced at an individual public
highway-rail grade crossing which is not within a quiet zone?
Silenced Horns at Groups of Crossings--Quiet Zones
222.35 What are minimum requirements for quiet zones?
Sec. 222.37 Who may establish a quiet zone?
Sec. 222.38 Can a quiet zone be created in the Chicago Region?
Sec. 222.39 How is a quiet zone established?
Sec. 222.41 How does this rule affect Pre-Rule Quiet Zones and Pre-
Rule Partial Quiet Zones?
Sec. 222.42 How does this rule affect Intermediate Quiet Zones and
Intermediate Partial Quiet Zones?
Sec. 222.43 What notices and other information are required to
create or continue a quiet zone?
Sec. 222.45 When is a railroad required to cease routine sounding
of locomotive horns at crossings?
Sec. 222.47 What periodic updates are required?
Sec. 222.49 Who may file Grade Crossing Inventory Forms?
Sec. 222.51 Under what conditions will quiet zone status be terminated?
Sec. 222.53 What are the requirements for supplementary and
alternative safety measures?
Sec. 222.55 How are new supplementary or alternative safety
measures approved?
Sec. 222.57 Can parties seek review of the Associate
Administrator's actions?
Sec. 222.59 When may a wayside horn be used?
Appendix A to Part 222--Approved Supplementary Safety Measures
Appendix B to Part 222--Alternative Safety Measures
Appendix C to Part 222--Guide to Establishing Quiet Zones
Appendix D to Part 222--Determining Risk Levels
Appendix E to Part 222--Requirements for Wayside Horns
Appendix F to Part 222--Diagnostic Team Considerations
Appendix G to Part 222--Schedule of Civil Penalties
Authority: 28 U.S.C. 2461, note; 49 U.S.C. 20103, 20107, 20153,
21301, 21304; 49 CFR 1.49.
Subpart A--General
Sec. 222.1 What is the purpose of this regulation?
The purpose of this part is to provide for safety at public
highway-rail grade crossings by requiring locomotive horn use at public
highway-rail grade crossings except in quiet zones established and
maintained in accordance with this part.
Sec. 222.3 What areas does this regulation cover?
(a) This part prescribes standards for sounding locomotive horns
when locomotives approach and pass through public highway-rail grade
crossings. This part also provides standards for the creation and
maintenance of quiet zones within which locomotive horns need not be
sounded.
(b) The provisions of this part are separate and severable from one
another. If any provision is stayed or determined to be invalid, it is
the intent of FRA that the remaining provisions shall continue in effect.
(c) This part does not apply to any Chicago Region highway-rail
grade crossing where the railroad was excused from sounding the
locomotive horn by the Illinois Commerce Commission, and where the
railroad did not sound the horn, as of December 18, 2003.
Sec. 222.5 What railroads does this regulation apply to?
This part applies to all railroads except:
(a) A railroad that exclusively operates freight trains only on
track which is not part of the general railroad system of
transportation;
(b) Passenger railroads that operate only on track which is not
part of the general railroad system of transportation and that operate
at a maximum speed of 15 miles per hour over public highway-rail grade
crossings; and
(c) Rapid transit operations within an urban area that are not
connected to the general railroad system of transportation. See 49 CFR
part 209, appendix A for the definitive statement of the meaning of the
preceding sentence.
Sec. 222.7 What is this regulation's effect on State and local laws
and ordinances?
(a) Except as provided in paragraph (b) of this section, issuance
of this part preempts any State law, rule, regulation, or order
governing the sounding of the locomotive horn at public highway-rail
grade crossings, in accordance with 49 U.S.C. 20106.
(b) This part does not preempt any State law, rule, regulation, or
order governing the sounding of locomotive audible warning devices at
any highway-rail grade crossing described in Sec. 222.3(c) of this part.
(c) Except as provided in Sec. Sec. 222.25 and 222.27, this part
does not preempt any State law, rule, regulation, or order governing
the sounding of locomotive horns at private highway-rail grade
crossings or pedestrian crossings.
(d) Inclusion of SSMs and ASMs in this part or approved subsequent
to issuance of this part does not constitute federal preemption of
State law regarding whether those measures may be used for traffic
control. Individual
[[Page 47635]]
states may continue to determine whether specific SSMs or ASMs are
appropriate traffic control measures for that State, consistent with
Federal Highway Administration regulations and the MUTCD. However,
except for the SSMs and ASMs implemented at highway-rail grade
crossings described in Sec. 222.3(c) of this part, inclusion of SSMs
and ASMs in this part does constitute federal preemption of State law
concerning the sounding of the locomotive horn in relation to the use
of those measures.
(e) Issuance of this part does not constitute federal preemption of
administrative procedures required under State law regarding the
modification or installation of engineering improvements at highway-
rail grade crossings.
Sec. 222.9 Definitions.
As used in this part--
Administrator means the Administrator of the Federal Railroad
Administration or the Administrator's delegate.
Alternative safety measures (ASM) means a safety system or
procedure, other than an SSM, established in accordance with this part
which is provided by the appropriate traffic control authority or law
enforcement authority and which, after individual review and analysis
by the Associate Administrator, is determined to be an effective
substitute for the locomotive horn in the prevention of highway-rail
casualties at specific highway-rail grade crossings. Appendix B to this
part lists such measures.
Associate Administrator means the Associate Administrator for
Safety of the Federal Railroad Administration or the Associate
Administrator's delegate.
Channelization device means a traffic separation system made up of
a raised longitudinal channelizer, with vertical panels or tubular
delineators, that is placed between opposing highway lanes designed to
alert or guide traffic around an obstacle or to direct traffic in a
particular direction. ``Tubular markers'' and ``vertical panels'', as
described in the MUTCD, are acceptable channelization devices for
purposes of this part. Additional design specifications are determined
by the standard traffic design specifications used by the governmental
entity constructing the channelization device.
Chicago Region means the following six counties in the State of
Illinois: Cook, DuPage, Lake, Kane, McHenry and Will.
Crossing Corridor Risk Index means a number reflecting a measure of
risk to the motoring public at public grade crossings along a rail
corridor, calculated in accordance with the procedures in appendix D of
this part, representing the average risk at each public crossing within
the corridor. This risk level is determined by averaging among all
public crossings within the corridor, the product of the number of
predicted collisions per year and the predicted likelihood and severity
of casualties resulting from those collisions at each public crossing
within the corridor.
Diagnostic team as used in this part, means a group of
knowledgeable representatives of parties of interest in a highway-rail
grade crossing, organized by the public authority responsible for that
crossing, who, using crossing safety management principles, evaluate
conditions at a grade crossing to make determinations or recommendations
for the public authority concerning safety needs at that crossing.
Effectiveness rate means a number between zero and one which
represents the reduction of the likelihood of a collision at a public
highway-rail grade crossing as a result of the installation of an SSM
or ASM when compared to the same crossing equipped with conventional
active warning systems of flashing lights and gates. Zero effectiveness
means that the SSM or ASM provides no reduction in the probability of a
collision, while an effectiveness rating of one means that the SSM or
ASM is totally effective in eliminating collision risk. Measurements
between zero and one reflect the percentage by which the SSM or ASM
reduces the probability of a collision.
FRA means the Federal Railroad Administration.
Grade Crossing Inventory Form means the U.S. DOT National Highway-
Rail Grade Crossing Inventory Form, FRA Form F6180.71. This form is
available through the FRA's Office of Safety, or on FRA's Web site at
http://www.fra.dot.gov.
Intermediate Partial Quiet Zone means a segment of a rail line
within which is situated one or a number of consecutive public highway-
rail grade crossings at which State statutes or local ordinances
restricted the routine sounding of locomotive horns for a specified
period of time during the evening or nighttime hours, or at which
locomotive horns did not sound due to formal or informal agreements
between the community and the railroad or railroads for a specified
period of time during the evening and/or nighttime hours, and at which
such statutes, ordinances or agreements were in place and enforced or
observed as of December 18, 2003, but not as of October 9, 1996.
Intermediate Quiet Zone means a segment of a rail line within which
is situated one or a number of consecutive public highway-rail grade
crossings at which State statutes or local ordinances restricted the
routine sounding of locomotive horns, or at which locomotive horns did
not sound due to formal or informal agreements between the community
and the railroad or railroads, and at which such statutes, ordinances
or agreements were in place and enforced or observed as of December 18,
2003, but not as of October 9, 1996.
Locomotive means a piece of on-track equipment other than hi-rail,
specialized maintenance, or other similar equipment--
(1) With one or more propelling motors designed for moving other
equipment;
(2) With one or more propelling motors designed to carry freight or
passenger traffic or both; or
(3) Without propelling motors but with one or more control stands.
Locomotive audible warning device means a horn, whistle, siren, or
bell affixed to a locomotive that is capable of producing an audible signal.
Locomotive horn means a locomotive air horn, steam whistle, or
similar audible warning device (see 49 CFR 229.129) mounted on a
locomotive or control cab car. The terms ``locomotive horn'', ``train
whistle'', ``locomotive whistle'', and ``train horn'' are used
interchangeably in the railroad industry. For purposes of this part,
locomotive horns used in rapid transit operations must be suitable for
street usage and/or designed in accordance with State law requirements.
Median means the portion of a divided highway separating the travel
ways for traffic in opposite directions.
MUTCD means the Manual on Uniform Traffic Control Devices published
by the Federal Highway Administration.
Nationwide Significant Risk Threshold means a number reflecting a
measure of risk, calculated on a nationwide basis, which reflects the
average level of risk to the motoring public at public highway-rail
grade crossings equipped with flashing lights and gates and at which
locomotive horns are sounded. For purposes of this rule, a risk level
above the Nationwide Significant Risk Threshold represents a
significant risk with respect to loss of life or serious personal
injury. The Nationwide Significant Risk Threshold is calculated in
accordance with the procedures in appendix D of this part.
[[Page 47636]]
Unless otherwise indicated, references in this part to the Nationwide
Significant Risk Threshold reflect its level as last published by FRA
in the Federal Register.
New Partial Quiet Zone means a segment of a rail line within which
is situated one or a number of consecutive public highway-rail
crossings at which locomotive horns are not routinely sounded between
the hours of 10 p.m. and 7 a.m., but are routinely sounded during the
remaining portion of the day, and which does not qualify as a Pre-Rule
Partial Quiet Zone or an Intermediate Partial Quiet Zone.
New Quiet Zone means a segment of a rail line within which is
situated one or a number of consecutive public highway-rail grade
crossings at which routine sounding of locomotive horns is restricted
pursuant to this part and which does not qualify as either a Pre-Rule
Quiet Zone or Intermediate Quiet Zone.
Non-traversable curb means a highway curb designed to discourage a
motor vehicle from leaving the roadway. Non-traversable curbs are used
at locations where highway speeds do not exceed 40 miles per hour and
are at least six inches high. Additional design specifications are
determined by the standard traffic design specifications used by the
governmental entity constructing the curb.
Partial Quiet Zone means a segment of a rail line within which is
situated one or a number of consecutive public highway-rail grade
crossings at which locomotive horns are not routinely sounded for a
specified period of time during the evening and/or nighttime hours.
Pedestrian grade crossing means, for purposes of this part, a
separate designed sidewalk or pathway where pedestrians, but not
vehicles, cross railroad tracks. Sidewalk crossings contiguous with, or
separate but adjacent to, public highway-rail grade crossings are
presumed to be part of the public highway-rail grade crossing and are
not considered pedestrian grade crossings.
Power-out indicator means a device which is capable of indicating
to trains approaching a grade crossing equipped with an active warning
system whether commercial electric power is activating the warning
system at that crossing. This term includes remote health monitoring of
grade crossing warning systems if such monitoring system is equipped to
indicate power status.
Pre-existing Modified Supplementary Safety Measure (Pre-existing
Modified SSM) means a safety system or procedure that is listed in
appendix A to this Part, but is not fully compliant with the standards
set forth therein, which was installed before December 18, 2003 by the
appropriate traffic control or law enforcement authority responsible
for safety at the highway-rail grade crossing. The calculation of risk
reduction credit for pre-existing modified SSMs is addressed in
appendix B of this part.
Pre-existing Supplementary Safety Measure (Pre-existing SSM) means
a safety system or procedure established in accordance with this part
before December 18, 2003 which was provided by the appropriate traffic
control or law enforcement authority responsible for safety at the
highway-rail grade crossing. These safety measures must fully comply
with the SSM requirements set forth in appendix A of this part. The
calculation of risk reduction credit for qualifying pre-existing SSMs
is addressed in appendix A.
Pre-Rule Partial Quiet Zone means a segment of a rail line within
which is situated one or a number of consecutive public highway-rail
crossings at which State statutes or local ordinances restricted the
routine sounding of locomotive horns for a specified period of time
during the evening and/or nighttime hours, or at which locomotive horns
did not sound due to formal or informal agreements between the
community and the railroad or railroads for a specified period of time
during the evening and/or nighttime hours, and at which such statutes,
ordinances or agreements were in place and enforced or observed as of
October 9, 1996 and on December 18, 2003.
Pre-Rule Quiet Zone means a segment of a rail line within which is
situated one or a number of consecutive public highway-rail crossings
at which State statutes or local ordinances restricted the routine
sounding of locomotive horns, or at which locomotive horns did not
sound due to formal or informal agreements between the community and
the railroad or railroads, and at which such statutes, ordinances or
agreements were in place and enforced or observed as of October 9, 1996
and on December 18, 2003.
Private highway-rail grade crossing means, for purposes of this
part, a highway-rail grade crossing which is not a public highway-rail
grade crossing.
Public authority means the public entity responsible for traffic
control or law enforcement at the public highway-rail grade or
pedestrian crossing.
Public highway-rail grade crossing means, for purposes of this
part, a location where a public highway, road, or street, including
associated sidewalks or pathways, crosses one or more railroad tracks
at grade. If a public authority maintains the roadway on both sides of
the crossing, the crossing is considered a public crossing for purposes
of this part.
Quiet zone means a segment of a rail line, within which is situated
one or a number of consecutive public highway-rail crossings at which
locomotive horns are not routinely sounded.
Quiet Zone Risk Index means a measure of risk to the motoring
public which reflects the Crossing Corridor Risk Index for a quiet
zone, after adjustment to account for increased risk due to lack of
locomotive horn use at the crossings within the quiet zone (if horns
are presently sounded at the crossings) and reduced risk due to
implementation, if any, of SSMs and ASMs with the quiet zone. The
calculation of the Quiet Zone Risk Index, which is explained in
appendix D of this part, does not differ for partial quiet zones.
Railroad means any form of non-highway ground transportation that
runs on rails or electromagnetic guideways and any entity providing
such transportation, including:
(1) Commuter or other short-haul railroad passenger service in a
metropolitan or suburban area and commuter railroad service that was
operated by the Consolidated Rail Corporation on January 1, 1979; and
(2) High speed ground transportation systems that connect
metropolitan areas, without regard to whether those systems use new
technologies not associated with traditional railroads; but does not
include rapid transit operations in an urban area that are not
connected to the general railroad system of transportation.
Recognized State agency means, for purposes of this part, a State
agency, responsible for highway-rail grade crossing safety or highway
and road safety, that has applied for and been approved by FRA as a
participant in the quiet zone development process.
Relevant collision means a collision at a highway-rail grade
crossing between a train and a motor vehicle, excluding the following:
a collision resulting from an activation failure of an active grade
crossing warning system; a collision in which there is no driver in the
motor vehicle; or a collision in which the highway vehicle struck the
side of the train beyond the fourth locomotive unit or rail car. With
respect to Pre-Rule Partial Quiet Zones, a relevant collision shall not
include collisions that occur during the time period within which the
locomotive horn is routinely sounded.
[[Page 47637]]
Risk Index With Horns means a measure of risk to the motoring
public when locomotive horns are routinely sounded at every public
highway-rail grade crossing within a quiet zone. In Pre-Rule Quiet
Zones and Pre-Rule Partial Quiet Zones, the Risk Index With Horns is
determined by adjusting the Crossing Corridor Risk Index to account for
the decreased risk that would result if locomotive horns were routinely
sounded at each public highway-rail grade crossing.
Supplementary safety measure (SSM) means a safety system or
procedure established in accordance with this part which is provided by
the appropriate traffic control authority or law enforcement authority
responsible for safety at the highway-rail grade crossing, that is
determined by the Associate Administrator to be an effective substitute
for the locomotive horn in the prevention of highway-rail casualties.
Appendix A of this part lists such SSMs.
Waiver means a temporary or permanent modification of some or all
of the requirements of this part as they apply to a specific party
under a specific set of facts. Waiver does not refer to the process of
establishing quiet zones or approval of quiet zones in accordance with
the provisions of this part.
Wayside horn means a stationary horn located at a highway rail
grade crossing, designed to provide, upon the approach of a locomotive
or train, audible warning to oncoming motorists of the approach of a train.
Sec. 222.11 What are the penalties for failure to comply with this
regulation?
Any person who violates any requirement of this part or causes the
violation of any such requirement is subject to a civil penalty of
least $550 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
$27,000 per violation may be assessed. Each day a violation continues
shall constitute a separate offense. Any person who knowingly and
willfully falsifies a record or report required by this part may be
subject to criminal penalties under 49 U.S.C. 21311. Appendix G of this
part contains a schedule of civil penalty amounts used in connection
with this part.
Sec. 222.13 Who is responsible for compliance?
Any person, including but not limited to a railroad, contractor for
a railroad, or a local or State governmental entity that performs any
function covered by this part, must perform that function in accordance
with this part.
Sec. 222.15 How does one obtain a waiver of a provision of this
regulation?
(a) Except as provided in paragraph (b) of this section, two
parties must jointly file a petition (request) for a waiver. They are
the railroad owning or controlling operations over the railroad tracks
crossing the public highway-rail grade crossing and the public authority
which has jurisdiction over the roadway crossing the railroad tracks.
(b) If the railroad and the public authority cannot reach agreement
to file a joint petition, either party may file a request for a waiver;
however, the filing party must specify in its petition the steps it has
taken in an attempt to reach agreement with the other party, and
explain why applying the requirement that a joint submission be made in
that instance would not be likely to contribute significantly to public
safety. If the Associate Administrator determines that applying the
requirement for a jointly filed submission to that particular petition
would not be likely to significantly contribute to public safety, the
Associate Administrator shall waive the requirement for joint
submission and accept the petition for consideration. The filing party
must also provide the other party with a copy of the petition filed
with FRA.
(c) Each petition for waiver must be filed in accordance with 49
CFR part 211.
(d) If the Administrator finds that a waiver of compliance with a
provision of this part is in the public interest and consistent with
the safety of highway and railroad users, the Administrator may grant
the waiver subject to any conditions the Administrator deems necessary.
Sec. 222.17 How can a State agency become a recognized State agency?
(a) Any State agency responsible for highway-rail grade crossing
safety and/or highway and road safety may become a recognized State
agency by submitting an application to the Associate Administrator that
contains:
(1) A detailed description of the proposed scope of involvement in
the quiet zone development process;
(2) The name, address, and telephone number of the person(s) who
may be contacted to discuss the State agency application; and
(3) A statement from State agency counsel which affirms that the
State agency is authorized to undertake the responsibilities proposed
in its application.
(b) The Associate Administrator will approve the application if, in
the Associate Administrator's judgment, the proposed scope of State
agency involvement will facilitate safe and effective quiet zone
development. The Associate Administrator may include in any decision of
approval such conditions as he/she deems necessary and appropriate.
Subpart B--Use of Locomotive Horns
Sec. 222.21 When must a locomotive horn be used?
(a) Except as provided in this part, the locomotive horn on the
lead locomotive of a train, lite locomotive consist, individual
locomotive or lead cab car shall be sounded when such locomotive or
lead cab car is approaching a public highway-rail grade crossing.
Sounding of the locomotive horn with two long blasts, one short blast
and one long blast shall be initiated at a location so as to be in
accordance with paragraph (b) of this section and shall be repeated or
prolonged until the locomotive occupies the crossing. This pattern may
be varied as necessary where crossings are spaced closely together.
(b)(1) Railroads to which this part applies shall comply with all
the requirements contained in this paragraph (b) beginning on December
15, 2006. On and after June 24, 2005, but prior to December 15, 2006, a
railroad shall, at its option, comply with this section or shall sound
the locomotive horn in the manner required by State law, or in the
absence of State law, in the manner required by railroad operating
rules in effect immediately prior to June 24, 2005.
(2) Except as provided in paragraphs (b)(3) and (d) of this
section, or when the locomotive horn is defective and the locomotive is
being moved for repair consistent with section 229.9 of this chapter,
the locomotive horn shall begin to be sounded at least 15 seconds, but
no more than 20 seconds, before the locomotive enters the crossing. It
shall not constitute a violation of this section if, acting in good
faith, a locomotive engineer begins sounding the locomotive horn not
more than 25 seconds before the locomotive enters the crossing, if the
locomotive engineer is unable to precisely estimate the time of arrival
of the train at the crossing for whatever reason.
(3) Trains, locomotive consists and individual locomotives
traveling at
[[Page 47638]]
speeds in excess of 60 mph shall not begin sounding the horn more than
one-quarter mile (1,320 feet) in advance of the nearest public highway-
rail grade crossing, even if the advance warning provided by the
locomotive horn will be less than 15 seconds in duration.
(c) As stated in Sec. 222.3(c) of this part, this section does not
apply to any Chicago Region highway-rail grade crossing at which
railroads were excused from sounding the locomotive horn by the
Illinois Commerce Commission, and where railroads did not sound the
horn, as of December 18, 2003.
(d) Trains, locomotive consists and individual locomotives that
have stopped in close proximity to a public highway-rail grade crossing
may approach the crossing and sound the locomotive horn for less than
15 seconds before the locomotive enters the highway-rail grade
crossing, if the locomotive engineer is able to determine that the
public highway-rail grade crossing is not obstructed and either:
(1) The public highway-rail grade crossing is equipped with
automatic flashing lights and gates and the gates are fully lowered; or
(2) There are no conflicting highway movements approaching the
public highway-rail grade crossing.
(e) Where State law requires the sounding of a locomotive audible
warning device other than the locomotive horn at public highway-rail
grade crossings, that locomotive audible warning device shall be
sounded in accordance with paragraphs (b) and (d) of this section.
Sec. 222.23 How does this regulation affect sounding of a horn during
an emergency or other situations?
(a)(1) Notwithstanding any other provision of this part, a
locomotive engineer may sound the locomotive horn to provide a warning
to animals, vehicle operators, pedestrians, trespassers or crews on
other trains in an emergency situation if, in the locomotive engineer's
sole judgment, such action is appropriate in order to prevent imminent
injury, death, or property damage.
(2) Notwithstanding any other provision of this part, including
provisions addressing the establishment of a quiet zone, limits on the
length of time in which a horn may be sounded, or installation of
wayside horns within quiet zones, this part does not preclude the
sounding of locomotive horns in emergency situations, nor does it
impose a legal duty to sound the locomotive horn in such situations.
(b) Nothing in this part restricts the use of the locomotive horn
in the following situations:
(1) When a wayside horn is malfunctioning;
(2) When active grade crossing warning devices have malfunctioned
and use of the horn is required by one of the following sections of
this chapter: Sec. Sec. 234.105, 234.106, or 234.107;
(3) When grade crossing warning systems are temporarily out of
service during inspection, maintenance, or testing of the system; or
(4) When SSMs, modified SSMs or engineering SSMs no longer comply
with the requirements set forth in appendix A of this part or the
conditions contained within the Associate Administrator's decision to
approve the quiet zone in accordance with section 222.39(b) of this part.
(c) Nothing in this part restricts the use of the locomotive horn
for purposes other than highway-rail crossing safety (e.g., to announce
the approach of a train to roadway workers in accordance with a program
adopted under part 214 of this chapter, or where required for other
purposes under railroad operating rules).
Sec. 222.25 How does this rule affect private highway-rail grade
crossings?
This rule does not require the routine sounding of locomotive horns
at private highway-rail grade crossings. However, where State law
requires the sounding of a locomotive horn at private highway-rail
grade crossings, the locomotive horn shall be sounded in accordance
with Sec. 222.21 of this part. Where State law requires the sounding
of a locomotive audible warning device other than the locomotive horn
at private highway-rail grade crossings, that locomotive audible
warning device shall be sounded in accordance with Sec. Sec. 222.21(b)
and (d) of this part.
(a) Private highway-rail grade crossings located within the
boundaries of a quiet zone must be included in the quiet zone.
(b)(1) Private highway-rail grade crossings that are located in New
Quiet Zones or New Partial Quiet Zones and allow access to the public,
or which provide access to active industrial or commercial sites, must
be evaluated by a diagnostic team and equipped or treated in accordance
with the recommendations of such diagnostic team.
(2) The public authority shall provide the State agency responsible
for grade crossing safety and all affected railroads an opportunity to
participate in the diagnostic team review of private highway-rail grade
crossings.
(c)(1) At a minimum, each approach to every private highway-rail
grade crossing within a New Quiet Zone or New Partial Quiet Zone shall
be marked by a crossbuck and a ``STOP'' sign, which are compliant with
MUTCD standards unless otherwise prescribed by State law, and shall be
equipped with advance warning signs in compliance with Sec. 222.35(c)
of this part.
(2) At a minimum, each approach to every private highway-rail grade
crossing within a Pre-Rule Quiet Zone or Pre-Rule Partial Quiet Zone
shall, by June 24, 2008, be marked by a crossbuck and a ``STOP'' sign,
which are compliant with MUTCD standards unless otherwise prescribed by
State law, and shall be equipped with advance warning signs in
compliance with Sec. 222.35(c) of this part.
Sec. 222.27 How does this rule affect pedestrian grade crossings?
This rule does not require the routine sounding of locomotive horns
at pedestrian grade crossings. However, where State law requires the
sounding of a locomotive horn at pedestrian grade crossings, the
locomotive horn shall be sounded in accordance with Sec. 222.21 of
this part. Where State law requires the sounding of a locomotive
audible warning device other than the locomotive horn at pedestrian
grade crossings, that locomotive audible warning device shall be
sounded in accordance with Sec. Sec. 222.21(b) and (d) of this part.
(a) Pedestrian grade crossings located within the boundaries of a
quiet zone must be included in the quiet zone.
(b) Pedestrian grade crossings that are located in New Quiet Zones
or New Partial Quiet Zones must be evaluated by a diagnostic team and
equipped or treated in accordance with the recommendations of such
diagnostic team.
(c) The public authority shall provide the State agency responsible
for grade crossing safety and all affected railroads an opportunity to
participate in diagnostic team reviews of pedestrian grade crossings.
(d) Advance warning signs. (1) Each approach to every pedestrian
grade crossing within a New Quiet Zone shall be equipped with a sign
that advises the pedestrian that train horns are not sounded at the
crossing. Such sign shall conform to the standards contained in the MUTCD.
(2) Each approach to every pedestrian grade crossing within a New
Partial Quiet Zone shall be equipped with a sign that advises the
pedestrian that train horns are not sounded at the crossing or that
train horns are not
[[Page 47639]]
sounded at the crossing between the hours of 10 p.m. and 7 a.m.,
whichever is applicable. Such sign shall conform to the standards
contained in the MUTCD.
(3) Each approach to every pedestrian grade crossing within a Pre-
Rule Quiet Zone shall be equipped by June 24, 2008 with a sign that
advises the pedestrian that train horns are not sounded at the
crossing. Such sign shall conform to the standards contained in the MUTCD.
(4) Each approach to every pedestrian grade crossing within a Pre-
Rule Partial Quiet Zone shall be equipped by June 24, 2008 with a sign
that advises the pedestrian that train horns are not sounded at the
crossing or that train horns are not sounded at the crossing for a
specified period of time, whichever is applicable. Such sign shall
conform to the standards contained in the MUTCD.
Subpart C--Exceptions to the Use of the Locomotive Horn
Sec. 222.31 [Reserved]
Silenced Horns at Individual Crossings
Sec. 222.33 Can locomotive horns be silenced at an individual public
highway-rail grade crossing which is not within a quiet zone?
(a) A railroad operating over an individual public highway-rail
crossing may, at its discretion, cease the sounding of the locomotive
horn if the locomotive speed is 15 miles per hour or less and train
crew members, or appropriately equipped flaggers, as defined in 49 CFR
234.5, flag the crossing to provide warning of approaching trains to
motorists.
(b) This section does not apply where active grade crossing warning
devices have malfunctioned and use of the horn is required by 49 CFR
234.105, 234.106, or 234.107.
Silenced Horns at Groups of Crossings--Quiet Zones
Sec. 222.35 What are the minimum requirements for quiet zones?
The following requirements apply to quiet zones established in
conformity with this part.
(a) Minimum length. (1)(i) Except as provided in paragraph
(a)(1)(ii) of this section, the minimum length of a New Quiet Zone or
New Partial Quiet Zone established under this part shall be one-half
mile along the length of railroad right-of-way.
(ii) The one-half mile minimum length requirement shall be waived
for any New Quiet Zone or New Partial Quiet Zone that is added onto an
existing quiet zone, provided there is no public highway-rail grade
crossing at which locomotive horns are routinely sounded within one-
half mile of the New Quiet Zone or New Partial Quiet Zone.
(iii) New Quiet Zones and New Partial Quiet Zones established along
the same rail line within a single political jurisdiction shall be
separated by at least one public highway-rail grade crossing, unless a
New Quiet Zone or New Partial Quiet Zone is being added onto an
existing quiet zone.
(2)(i) The length of a Pre-Rule Quiet Zone or Pre-Rule Partial Quiet
Zone may continue unchanged from that which existed as of October 9, 1996.
(ii) With the exception of combining adjacent Pre-Rule Quiet Zones
or Pre-Rule Partial Quiet Zones, the addition of any public highway-
rail grade crossing to a Pre-Rule Quiet Zone or Pre-Rule Partial Quiet
Zone shall end the grandfathered status of that quiet zone and
transform it into a New Quiet Zone or New Partial Quiet Zone that must
comply with all requirements applicable to New Quiet Zones and New
Partial Quiet Zones.
(iii) The deletion of any public highway-rail grade crossing from a
Pre-Rule Quiet Zone or Pre-Rule Partial Quiet Zone, with the exception
of a grade separation or crossing closure, must result in a quiet zone
of at least one-half mile in length in order to retain Pre-Rule Quiet
Zone or Pre-Rule Partial Quiet Zone status.
(3) A quiet zone may include grade crossings on a segment of rail
line crossing more than one political jurisdiction.
(b) Active grade crossing warning devices. (1) Each public highway-
rail grade crossing in a New Quiet Zone established under this part
must be equipped, no later than the quiet zone implementation date,
with active grade crossing warning devices comprising both flashing
lights and gates which control traffic over the crossing and that
conform to the standards contained in the MUTCD. Such warning devices
shall be equipped with constant warning time devices, if reasonably
practical, and power-out indicators.
(2) With the exception of public highway-rail grade crossings that
will be temporarily closed in accordance with appendix A of this part,
each public highway-rail grade crossing in a New Partial Quiet Zone
established under this part must be equipped, no later than the quiet
zone implementation date, with active grade crossing warning devices
comprising both flashing lights and gates which control traffic over
the crossing and that conform to the standards contained in the MUTCD.
Such warning devices shall be equipped with constant warning time
devices, if reasonably practical, and power-out indicators.
(3) Pre-Rule Quiet Zones and Pre-Rule Partial Quiet Zones must
retain, and may upgrade, the grade crossing safety warning system which
existed as of December 18, 2003. Any upgrade involving the installation
or renewal of an automatic warning device system shall include constant
warning time devices, where reasonably practical, and power-out
indicators. In no event may the grade crossing safety warning system,
which existed as of December 18, 2003, be downgraded. Risk reduction
resulting from upgrading to flashing lights or gates may be credited in
calculating the Quiet Zone Risk Index.
(c) Advance warning signs. (1) Each highway approach to every
public and private highway-rail grade crossing within a New Quiet Zone
shall be equipped with an advance warning sign that advises the
motorist that train horns are not sounded at the crossing. Such sign
shall conform to the standards contained in the MUTCD.
(2) Each highway approach to every public and private highway-rail
grade crossing within a New Partial Quiet Zone shall be equipped with
an advance warning sign that advises the motorist that train horns are
not sounded at the crossing or that train horns are not sounded at the
crossing between the hours of 10 p.m. and 7 a.m., whichever is applicable.
Such sign shall conform to the standards contained in the MUTCD.
(3) Each highway approach to every public and private highway-rail
grade crossing within a Pre-Rule Quiet Zone shall be equipped by June
24, 2008 with an advance warning sign that advises the motorist that
train horns are not sounded at the crossing. Such sign shall conform to
the standards contained in the MUTCD.
(4) Each highway approach to every public and private highway-rail
grade crossing within a Pre-Rule Partial Quiet Zone shall be equipped
by June 24, 2008 with an advance warning sign that advises the motorist
that train horns are not sounded at the crossing or that train horns
are not sounded at the crossing for a specified period of time,
whichever is applicable. Such sign shall conform to the standards
contained in the MUTCD.
(5) This paragraph (c) does not apply to public and private
highway-rail grade crossings equipped with wayside horns that conform
to the requirements set forth in Sec. 222.59 and Appendix E of this part.
(d) Bells. (1) Each public highway-rail grade crossing in a New
Quiet Zone or New Partial Quiet Zone that is subjected to pedestrian
traffic and equipped with
[[Page 47640]]
one or more automatic bells shall retain those bells in working condition.
(2) Each public highway-rail grade crossing in a Pre-Rule Quiet
Zone or Pre-Rule Partial Quiet Zone that is subjected to pedestrian
traffic and equipped with one or more automatic bells shall retain
those bells in working condition.
(e) All private highway-rail grade crossings within the quiet zone
must be treated in accordance with this section and Sec. 222.25 of
this part.
(f) All pedestrian grade crossings within a quiet zone must be
treated in accordance with Sec. 222.27 of this part.
(g) All public highway-rail grade crossings within the quiet zone
must be in compliance with the requirements of the MUTCD.
Sec. 222.37 Who may establish a quiet zone?
(a) A public authority may establish quiet zones that are
consistent with the provisions of this part. If a proposed quiet zone
includes public highway-rail grade crossings under the authority and
control of more than one public authority (such as a county road and a
State highway crossing the railroad tracks at different crossings),
both public authorities must agree to establishment of the quiet zone,
and must jointly, or by delegation provided to one of the authorities,
take such actions as are required by this part.
(b) A public authority may establish quiet zones irrespective of
State laws covering the subject matter of sounding or silencing
locomotive horns at public highway-rail grade crossings. Nothing in
this part, however, is meant to affect any other applicable role of
State agencies or the Federal Highway Administration in decisions
regarding funding or construction priorities for grade crossing safety
projects, selection of traffic control devices, or engineering
standards for roadways or traffic control devices.
(c) A State agency may provide administrative and technical
services to public authorities by advising them, acting on their
behalf, or acting as a central contact point in dealing with FRA;
however, any public authority eligible to establish a quiet zone under
this part may do so.
Sec. 222.38 Can a quiet zone be created in the Chicago Region?
Public authorities that are eligible to establish quiet zones under
this part may create New Quiet Zones or New Partial Quiet Zones in the
Chicago Region, provided the New Quiet Zone or New Partial Quiet Zone
does not include any highway-rail grade crossing described in Sec.
222.3(c) of this part.
Sec. 222.39 How is a quiet zone established?
(a) Public authority designation. This paragraph (a) describes how
a quiet zone may be designated by a public authority without the need
for formal application to, and approval by, FRA. If a public authority
complies with either paragraph (a)(1), (a)(2), or (a)(3) of this
section, and complies with the information and notification provisions
of Sec. 222.43 of this part, a public authority may designate a quiet
zone without the necessity for FRA review and approval.
(1) A quiet zone may be established by implementing, at every
public highway-rail grade crossing within the quiet zone, one or more
SSMs identified in appendix A of this part.
(2) A quiet zone may be established if the Quiet Zone Risk Index is
at, or below, the Nationwide Significant Risk Threshold, as follows:
(i) If the Quiet Zone Risk Index is already at, or below, the
Nationwide Significant Risk Threshold without being reduced by
implementation of SSMs; or
(ii) If SSMs are implemented which are sufficient to reduce the
Quiet Zone Risk Index to a level at, or below, the Nationwide
Significant Risk Threshold.
(3) A quiet zone may be established if SSMs are implemented which
are sufficient to reduce the Quiet Zone Risk Index to a level at or
below the Risk Index With Horns.
(b) Public authority application to FRA. (1) A public authority may
apply to the Associate Administrator for approval of a quiet zone that
does not meet the standards for public authority designation under
paragraph (a) of this section, but in which it is proposed that one or
more safety measures be implemented. Such proposed quiet zone may
include only ASMs, or a combination of ASMs and SSMs at various
crossings within the quiet zone. Note that an engineering improvement
which does not fully comply with the requirements for an SSM under
appendix A of this part, is considered to be an ASM. The public
authority's application must:
(i) Contain an accurate, complete and current Grade Crossing
Inventory Form for each public, private and pedestrian grade crossing
within the proposed quiet zone;
(ii) Contain sufficient detail concerning the present safety
measures at each public, private and pedestrian grade crossing proposed
to be included in the quiet zone to enable the Associate Administrator
to evaluate their effectiveness;
(iii) Contain detailed information about diagnostic team reviews of
any crossing within the proposed quiet zone, including a membership
list and a list of recommendations made by the diagnostic team;
(iv) Contain a statement describing efforts taken by the public
authority to address comments submitted by each railroad operating the
public highway-rail grade crossings within the quiet zone, the State
agency responsible for highway and road safety, and the State agency
responsible for grade crossing safety in response to the Notice of
Intent. This statement shall also list any objections to the proposed
quiet zone that were raised by the railroad(s) and State agencies;
(v) Contain detailed information as to which safety improvements
are proposed to be implemented at each public, private, or pedestrian
grade crossing within the proposed quiet zone;
(vi) Contain a commitment to implement the proposed safety
improvements within the proposed quiet zone; and
(vii) Demonstrate through data and analysis that the proposed
implementation of these measures will reduce the Quiet Zone Risk Index
to a level at, or below, either the Risk Index With Horns or the
Nationwide Significant Risk Threshold.
(2) If the proposed quiet zone contains newly established public or
private highway-rail grade crossings, the public authority's
application for approval must also include five-year projected vehicle
and rail traffic counts for each newly established grade crossing;
(3) 60-day comment period. (i) The public authority application for
FRA approval of the proposed quiet zone shall be provided, by certified
mail, return receipt requested, to: all railroads operating over the
public highway-rail grade crossings within the quiet zone; the highway
or traffic control or law enforcement authority having jurisdiction
over vehicular traffic at grade crossings within the quiet zone; the
landowner having control over any private highway-rail grade crossings
within the quiet zone; the State agency responsible for highway and
road safety; the State agency responsible for grade crossing safety;
and the Associate Administrator.
(ii) Except as provided in paragraph (b)(3)(iii) of this section,
any party that receives a copy of the public authority application may
submit comments on the public authority application to the Associate
Administrator during the 60-day period after the date on which the
public authority application was mailed.
[[Page 47641]]
(iii) If the public authority application for FRA approval contains
written statements from each railroad operating over the public
highway-rail grade crossings within the quiet zone, the highway or
traffic control authority or law enforcement authority having
jurisdiction over vehicular traffic at grade crossings within the quiet
zone, the State agency responsible for grade crossing safety, and the
State agency responsible for highway and road safety stating that the
railroad, vehicular traffic authority and State agencies have waived
their rights to provide comments on the public authority application,
the 60-day comment period under paragraph (b)(3)(ii) of this section
shall be waived.
(4)(i) After reviewing any comments submitted under paragraph
(b)(3)(ii) of this section, the Associate Administrator will approve
the quiet zone if, in the Associate Administrator's judgment, the
public authority is in compliance with paragraphs (b)(1) and (b)(2) of
this section and has satisfactorily demonstrated that the SSMs and ASMs
proposed by the public authority result in a Quiet Zone Risk Index that
is either:
(A) At or below the Risk Index With Horns or
(B) At or below the Nationwide Significant Risk Threshold.
(ii) The Associate Administrator may include in any decision of
approval such conditions as may be necessary to ensure that the
proposed safety improvements are effective. If the Associate
Administrator does not approve the quiet zone, the Associate
Administrator will describe, in the decision, the basis upon which the
decision was made. Decisions issued by the Associate Administrator on
quiet zone applications shall be provided to all parties listed in
paragraph (b)(3)(i) of this section and may be reviewed as provided in
Sec. Sec. 222.57(b) and (d) of this part.
(c) Appendix C of this part contains guidance on how to create a
quiet zone.
Sec. 222.41 How does this rule affect Pre-Rule Quiet Zones and Pre-
Rule Partial Quiet Zones?
(a) Pre-Rule Quiet Zones that will be established by automatic
approval. (1) A Pre-Rule Quiet Zone may be established by automatic
approval and remain in effect, subject to Sec. 222.51, if the Pre-Rule
Quiet Zone is in compliance with Sec. Sec. 222.35 (minimum
requirements for quiet zones) and 222.43 of this part (notice and
information requirements) and:
(i) The Pre-Rule Quiet Zone has at every public highway-rail grade
crossing within the quiet zone one or more SSMs identified in appendix
A of this part; or
(ii) The Quiet Zone Risk Index is at, or below, the Nationwide
Significant Risk Threshold, as last published by FRA in the Federal
Register; or
(iii) The Quiet Zone Risk Index is above the Nationwide Significant
Risk Threshold, as last published by FRA in the Federal Register, but
less than twice the Nationwide Significant Risk Threshold and there
have been no relevant collisions at any public highway-rail grade
crossing within the quiet zone since April 27, 2000 or
(iv) The Quiet Zone Risk Index is at, or below, the Risk Index with
Horns.
(2) The public authority shall provide Notice of Quiet Zone
Establishment, in accordance with Sec. 222.43 of this part, no later
than December 24, 2005.
(b) Pre-Rule Partial Quiet Zones that will be established by
automatic approval. (1) A Pre-Rule Partial Quiet Zone may be
established by automatic approval and remain in effect, subject to
Sec. 222.51, if the Pre-Rule Partial Quiet Zone is in compliance with
Sec. Sec. 222.35 (minimum requirements for quiet zones) and 222.43 of
this part (notice and information requirements) and:
(i) The Pre-Rule Partial Quiet Zone has at every public highway-
rail grade crossing within the quiet zone one or more SSMs identified
in appendix A of this part; or
(ii) The Quiet Zone Risk Index is at, or below, the Nationwide
Significant Risk Threshold, as last published by FRA in the Federal
Register; or
(iii) The Quiet Zone Risk Index is above the Nationwide Significant
Risk Threshold, as last published by FRA in the Federal Register, but
less than twice the Nationwide Significant Risk Threshold and there
have been no relevant collisions at any public highway-rail grade
crossing within the quiet zone since April 27, 2000. With respect to
Pre-Rule Partial Quiet Zones, collisions that occurred during the time
period within which the locomotive horn was routinely sounded shall not
be considered ``relevant collisions''; or
(iv) The Quiet Zone Risk Index is at, or below, the Risk Index with
Horns.
(2) The public authority shall provide Notice of Quiet Zone
Establishment, in accordance with Sec. 222.43 of this part, no later
than December 24, 2005.
(c) Pre-Rule Quiet Zones and Pre-Rule Partial Quiet Zones that will
not be established by automatic approval. (1) If a Pre-Rule Quiet Zone
or Pre-Rule Partial Quiet Zone will not be established by automatic
approval under paragraph (a) or (b) of this section, existing
restrictions may, at the public authority's discretion, remain in place
until June 24, 2008, if a Notice of Quiet Zone Continuation is provided
in accordance with Sec. 222.43 of this part.
(2)(i) Existing restrictions on the routine sounding of the
locomotive horn may remain in place until June 24, 2010, if:
(A) Notice of Intent is mailed, in accordance with Sec. 222.43 of
this part, by February 24, 2008; and
(B) A detailed plan for quiet zone improvements is filed with the
Associate Administrator by June 24, 2008. The detailed plan shall
include a detailed explanation of, and timetable for, the safety
improvements that will be implemented at each public, private and
pedestrian grade crossing located within the Pre-Rule Quiet Zone or
Pre-Rule Partial Quiet Zone which are necessary to comply with
Sec. Sec. 222.25, 222.27, 222.35 and 222.39 of this part.
(ii) In the event that the safety improvements planned for the
quiet zone require approval of FRA under Sec. 222.39(b) of this part,
the public authority should apply for such approval prior to December
24, 2007, to ensure that FRA has ample time in which to review such
application prior to the end of the extension period.
(3) Locomotive horn restrictions may continue for an additional
three years beyond June 24, 2010, if:
(i) Prior to June 24, 2008, the appropriate State agency provides
to the Associate Administrator: A comprehensive State-wide
implementation plan and funding commitment for implementing
improvements at Pre-Rule Quiet Zones and Pre-Rule Partial Quiet Zones
which, when implemented, would enable them to qualify as quiet zones
under this part; and
(ii) Prior to June 24, 2009, either safety improvements are
initiated at a portion of the crossings within the quiet zone, or the
appropriate State agency has participated in quiet zone improvements in
one or more Pre-Rule Quiet Zones or Pre-Rule Partial Quiet Zones
elsewhere within the State.
(4) A public authority may establish a Pre-Rule Quiet Zone or Pre-
Rule Partial Quiet Zone upon compliance with:
(A) The Pre-Rule Quiet Zone or Pre-Rule Partial Quiet Zone
requirements contained within Sec. Sec. 222.25, 222.27, and 222.35 of
this part;
(B) The quiet zone standards set forth in Sec. 222.39 of this
part; and
(C) All applicable notification and filing requirements contained
within this paragraph (c) and Sec. 222.43 of this part.
(d) Pre-Rule Partial Quiet Zones that will be converted to 24-hour
New Quiet Zones. A Pre-Rule Partial Quiet Zone
[[Page 47642]]
may be converted into a 24-hour New Quiet Zone, if:
(1) The quiet zone is brought into compliance with the New Quiet
Zone requirements set forth in Sec. Sec. 222.25, 222.27, and 222.35 of
this part;
(2) The quiet zone is brought into compliance with the quiet zone
standards set forth in Sec. 222.39 of this part; and
(3) The public authority complies with all applicable notification
and filing requirements contained within this paragraph (c) and Sec.
222.43 of this part.
Sec. 222.42 How does this rule affect Intermediate Quiet Zones and
Intermediate Partial Quiet Zones?
(a)(1) Existing restrictions may, at the public authority's
discretion, remain in place within the Intermediate Quiet Zone or
Intermediate Partial Quiet Zone until June 24, 2006, if the public
authority provides Notice of Quiet Zone Continuation, in accordance
with Sec. 222.43 of this part.
(2) A public authority may continue locomotive horn sounding
restrictions beyond June 24, 2006 by establishing a New Quiet Zone or
New Partial Quiet Zone. A public authority may establish a New Quiet
Zone or New Partial Quiet Zone if:
(i) Notice of Intent is mailed, in accordance with Sec. 222.43 of
this part;
(ii) The quiet zone complies with the standards set forth in Sec.
222.39 of this part;
(iii) The quiet zone complies with the New Quiet Zone standards set
forth in Sec. Sec. 222.25, 222.27, and 222.35 of this part;
(iv) Notice of Quiet Zone Establishment is mailed, in accordance
with Sec. 222.43 of this part, by June 3, 2006.
(b) Conversion of Intermediate Partial Quiet Zones into 24-hour New
Quiet Zones. An Intermediate Partial Quiet Zone may be converted into a
24-hour New Quiet Zone if:
(1) Notice of Intent is mailed, in accordance with Sec. 222.43 of
this part;
(2) The quiet zone complies with the standards set forth in Sec.
222.39 of this part;
(3) The quiet zone is brought into compliance with the New Quiet
Zone requirements set forth in Sec. Sec. 222.25, 222.27, and 222.35 of
this part; and
(4) Notice of Quiet Zone Establishment is mailed, in accordance
with Sec. 222.43 of this part, by June 3, 2006.
Sec. 222.43 What notices and other information are required to create
or continue a quiet zone?
(a)(1) The public authority shall provide written notice, by
certified mail, return receipt requested, of its intent to create a New
Quiet Zone or New Partial Quiet Zone under Sec. 222.39 of this part or
to implement new SSMs or ASMs within a Pre-Rule Quiet Zone or Pre-Rule
Partial Quiet Zone under Sec. 222.41(c) or (d) of this part. Such
notification shall be provided to: All railroads operating over the
public highway-rail grade crossings within the quiet zone; the State
agency responsible for highway and road safety; and the State agency
responsible for grade crossing safety.
(2) The public authority shall provide written notification, by
certified mail, return receipt requested, to continue a Pre-Rule Quiet
Zone or Pre-Rule Partial Quiet Zone under Sec. 222.41 of this part or
to continue an Intermediate Quiet Zone or Intermediate Partial Quiet
Zone under Sec. 222.42 of this part. Such notification shall be
provided to: All railroads operating over the public highway-rail grade
crossings within the quiet zone; the highway or traffic control or law
enforcement authority having jurisdiction over vehicular traffic at
grade crossings within the quiet zone; the landowner having control
over any private highway-rail grade crossings within the quiet zone;
the State agency responsible for highway and road safety; the State agency
responsible for grade crossing safety; and the Associate Administrator.
(3) The public authority shall provided written notice, by
certified mail, return receipt requested, of the establishment of a
quiet zone under Sec. 222.39 or 222.41 of this part. Such notification
shall be provided to: All railroads operating over the public highway-
rail grade crossings within the quiet zone; the highway or traffic
control or law enforcement authority having jurisdiction over vehicular
traffic at grade crossings within the quiet zone; the landowner having
control over any private highway-rail grade crossings within the quiet
zone; the State agency responsible for highway and road safety; the
State agency responsible for grade crossing safety; and the Associate
Administrator.
(b) Notice of Intent. (1) Timing. (i) The Notice of Intent shall be
mailed at least 60 days before the mailing of the Notice of Quiet Zone
Establishment, unless the public authority obtains written comments
and/or ``no-comment'' statements from each railroad operating over
public highway-rail grade crossings within the quiet zone, the State
agency responsible for grade crossing safety, and the State agency
responsible for highway and road safety, in accordance with paragraph
(b)(3)(ii) of this section.
(ii) The Notice of Intent shall be mailed no later than February
24, 2008 for all Pre-Rule Quiet Zones and Pre-Rule Partial Quiet Zones
governed by Sec. Sec. 222.41(c) and (d) of this part, in order to
continue existing locomotive horn sounding restrictions beyond June 24,
2008 without interruption.
(2) Required Contents. The Notice of Intent shall include the following:
(i) A list of each public, private, and pedestrian grade crossing
within the quiet zone, identified by both U.S. DOT National Highway-
Rail Grade Crossing Inventory Number and street or highway name, if
applicable.
(ii) A statement of the time period within which restrictions would
be imposed on the routine sounding of the locomotive horn (i.e., 24
hours or from 10 p.m. until 7 a.m.).
(iii) A brief explanation of the public authority's tentative plans
for implementing improvements within the proposed quiet zone.
(iv) The name and title of the person who will act as point of
contact during the quiet zone development process and the manner in
which that person can be contacted.
(v) A list of the names and addresses of each party that will
receive notification in accordance with paragraph (a)(1) of this section.
(3) 60-day comment period. (i) A party that receives a copy of the
public authority's Notice of Intent may submit information or comments
about the proposed quiet zone to the public authority during the 60-day
period after the date on which the Notice of Intent was mailed.
(ii) The 60-day comment period established under paragraph
(b)(3)(i) of this section may terminate when the public authority
obtains from each railroad operating over public highway-rail grade
crossings within the proposed quiet zone, the State agency responsible
for grade crossing safety, and the State agency responsible for highway
and road safety:
(A) Written comments; or
(B) Written statements that the railroad and State agency do not
have any comments on the Notice of Intent (``no-comment statements'').
(c) Notice of Quiet Zone Continuation. (1) Timing. (i) In order to
prevent the resumption of locomotive horn sounding on June 24, 2005,
the Notice of Quiet Zone Continuation under Sec. 222.41 or 222.42 of
this part shall be served no later than June 3, 2005.
[[Page 47643]]
(ii) If the Notice of Quiet Zone Continuation under Sec. 222.41 or
222.42 of this part is mailed after June 3, 2005, the Notice of Quiet
Zone Continuation shall state on which date locomotive horn use at
grade crossings within the quiet zone shall cease, but in no event
shall that date be earlier than 21 days after the date of mailing.
(2) Required Contents. The Notice of Quiet Zone Continuation shall
include the following:
(i) A list of each public, private, and pedestrian grade crossing
within the quiet zone, identified by both U.S. DOT National Highway-
Rail Grade Crossing Inventory Number and street or highway name.
(ii) A specific reference to the regulatory provision that provides
the basis for quiet zone continuation, citing as appropriate, Sec.
222.41 or 222.42 of this part.
(iii) A statement of the time period within which restrictions on
the routine sounding of the locomotive horn will be imposed (i.e., 24
hours or nighttime hours only.)
(iv) An accurate and complete Grade Crossing Inventory Form for
each public, private, and pedestrian grade crossing within the quiet
zone that reflects conditions currently existing at the crossing.
(v) The name and title of the person responsible for monitoring
compliance with the requirements of this part and the manner in which
that person can be contacted.
(vi) A list of the names and addresses of each party that will
receive notification in accordance with paragraph (a)(2) of this section.
(vii) A statement signed by the chief executive officer of each
public authority participating in the continuation of the quiet zone,
in which the chief executive officer certifies that the information
submitted by the public authority is accurate and complete to the best
of his/her knowledge and belief.
(d) Notice of Quiet Zone Establishment. (1) Timing. (i) The Notice
of Quiet Zone Establishment shall provide the date upon which the quiet
zone will be established, but in no event shall the date be earlier
than 21 days after the date of mailing.
(ii) If the public authority was required to provide a Notice of
Intent, in accordance with paragraph (a)(1) of this section, the Notice
of Quiet Zone Establishment shall not be mailed less than 60 days after
the date on which the Notice of Intent was mailed, unless the Notice of
Quiet Zone Establishment contains a written statement affirming that
written comments and/or ``no-comment'' statements have been received
from each railroad operating over public highway-rail grade crossings
within the proposed quiet zone, the State agency responsible for grade
crossing safety, and the State agency responsible for highway and road
safety, in accordance with paragraph (b)(3)(ii) of this section.
(2) Required contents. The Notice of Quiet Zone Establishment shall
include the following:
(i) A list of each public, private, and pedestrian grade crossing
within the quiet zone, identified by both U.S. DOT National Highway-
Rail Grade Crossing Inventory Number and street or highway name, if
applicable.
(ii) A specific reference to the regulatory provision that provides
the basis for quiet zone establishment, citing as appropriate, Sec.
222.39(a)(1), 222.39(a)(2)(i), 222.39(a)(2)(ii), 222.39(a)(3),
222.39(b), 222.41(a)(1)(i), 222.41(a)(1)(ii), 222.41(a)(1)(iii),
222.41(a)(1)(iv), 222.41(b)(1)(i), 222.41(b)(1)(ii), 222.41(b)(1)(iii),
or 222.41(b)(1)(iv) of this part.
(A) If the Notice contains a specific reference to Sec.
222.39(a)(2)(i), 222.39(a)(2)(ii), 222.39(a)(3), 222.41(a)(1)(ii),
222.41(a)(1)(iii), 222.41(a)(1)(iv), 222.41(b)(1)(ii),
222.41(b)(1)(iii), or 222.41(b)(1)(iv) of this part, it shall include a
copy of the FRA Web page that contains the quiet zone data upon which
the public authority is relying (http://www.fra.dot.gov/us/content/1337).
(B) If the Notice contains a specific reference to Sec. 222.39(b)
of this part, it shall include a copy of FRA's notification of approval.
(iii) If a diagnostic team review was required under Sec. 222.25
or 222.27 of this part, the Notice shall include a statement affirming
that the State agency responsible for grade crossing safety and all
affected railroads were provided an opportunity to participate in the
diagnostic team review. The Notice shall also include a list of
recommendations made by the diagnostic team.
(iv) A statement of the time period within which restrictions on
the routine sounding of the locomotive horn will be imposed (i.e., 24
hours or from 10 p.m. until 7 a.m.).
(v) An accurate and complete Grade Crossing Inventory Form for each
public, private, and pedestrian grade crossing within the quiet zone
that reflects the conditions existing at the crossing before any new
SSMs or ASMs were implemented.
(vi) An accurate, complete and current Grade Crossing Inventory
Form for each public, private, and pedestrian grade crossing within the
quiet zone that reflects SSMs and ASMs in place upon establishment of
the quiet zone. SSMs and ASMs that cannot be fully described on the
Inventory Form shall be separately described.
(vii) If the public authority was required to provide a Notice of
Intent, in accordance with paragraph (a)(1) of this section, the Notice
of Quiet Zone Establishment shall contain a written statement affirming
that the Notice of Intent was provided in accordance with paragraph
(a)(1) of this section. This statement shall also state the date on
which the Notice of Intent was mailed.
(viii) If the public authority was required to provide a Notice of
Intent, in accordance with paragraph (a)(1) of this section, and the
Notice of Intent was mailed less than 60 days before the mailing of the
Notice of Quiet Zone Establishment, the Notice of Quiet Zone
Establishment shall also contain a written statement affirming that
written comments and/or ``no-comment'' statements have been received
from each railroad operating over public highway-rail grade crossings
within the proposed quiet zone, the State agency responsible for grade
crossing safety, and the State agency responsible for highway and road
safety, in accordance with paragraph (b)(3)(ii) of this section.
(ix) The name and title of the person responsible for monitoring
compliance with the requirements of this part and the manner in which
that person can be contacted.
(x) A list of the names and addresses of each party that shall be
notified in accordance with paragraph (a)(3) of this section.
(xi) A statement signed by the chief executive officer of each
public authority participating in the establishment of the quiet zone,
in which the chief executive officer shall certify that the information
submitted by the public authority is accurate and complete to the best
of his/her knowledge and belief.
Sec. 222.45 When is a railroad required to cease routine sounding of
locomotive horns at crossings?
On the date specified in a Notice of Quiet Zone Continuation or
Notice of Quiet Zone Establishment that complies with the requirements
set forth in Sec. 222.43 of this part, a railroad shall refrain from,
or cease, routine sounding of the locomotive horn at all public,
private and pedestrian grade crossings identified in the Notice.
Sec. 222.47 What periodic updates are required?
(a) Quiet zones with SSMs at each public crossing. This paragraph
[[Page 47644]]
addresses quiet zones established pursuant to Sec. Sec. 222.39(a)(1),
222.41(a)(1)(i), and 222.41(b)(1)(i) (quiet zones with an SSM
implemented at every public crossing within the quiet zone) of this
part. Between 4\1/2\ and 5 years after the date of the quiet zone
establishment notice provided by the public authority under Sec.
222.43 of this part, and between 4\1/2\ and 5 years after the last
affirmation under this section, the public authority must:
(1) Affirm in writing to the Associate Administrator that the SSMs
implemented within the quiet zone continue to conform to the
requirements of appendix A of this part. Copies of such affirmation
must be provided by certified mail, return receipt requested, to the
parties identified in Sec. 222.43(a)(3) of this part; and
(2) Provide to the Associate Administrator an up-to-date, accurate,
and complete Grade Crossing Inventory Form for each public highway-rail
grade crossing, private highway-rail grade crossing, and pedestrian
crossing within the quiet zone.
(b) Quiet zones which do not have a supplementary safety measure at
each public crossing. This paragraph addresses quiet zones established
pursuant to Sec. Sec. 222.39(a)(2) and (a)(3), Sec. 222.39(b),
Sec. Sec. 222.41(a)(1)(ii), (a)(1)(iii), and (a)(1)(iv), and
Sec. Sec. 222.41(b)(1)(ii), (b)(1)(iii), and (b)(1)(iv) (quiet zones
which do not have an SSM at every public crossing within the quiet
zone) of this part. Between 2\1/2\ and 3 years after the date of the
quiet zone establishment notice provided by the public authority under
Sec. 222.43 of this part, and between 2\1/2\ and 3 years after the
last affirmation under this section, the public authority must:
(1) Affirm in writing to the Associate Administrator that all SSMs
and ASMs implemented within the quiet zone continue to conform to the
requirements of Appendices A and B of this part or the terms of the
Quiet Zone approval. Copies of such notification must be provided to
the parties identified in Sec. 222.43(a)(3) of this part by certified
mail, return receipt requested; and
(2) Provide to the Associate Administrator an up-to-date, accurate,
and complete Grade Crossing Inventory Form for each public highway-rail
grade crossing, private highway-rail grade crossing, and pedestrian
grade crossing within the quiet zone.
Sec. 222.49 Who may file Grade Crossing Inventory Forms?
(a) Grade Crossing Inventory Forms required to be filed with the
Associate Administrator in accordance with Sec. Sec. 222.39, 222.43
and 222.47 of this part may be filed by the public authority if, for
any reason, such forms are not timely submitted by the State and railroad.
(b) Within 30 days after receipt of a written request of the public
authority, the railroad owning the line of railroad that includes
public or private highway rail grade crossings within the quiet zone or
proposed quiet zone shall provide to the State and public authority
sufficient current information regarding the grade crossing and the
railroad's operations over the grade crossing to enable the State and
public authority to complete the Grade Crossing Inventory Form.
Sec. 222.51 Under what conditions will quiet zone status be
terminated?
(a) New Quiet Zones--Annual risk review. (1) FRA will annually
calculate the Quiet Zone Risk Index for each quiet zone established
pursuant to Sec. Sec. 222.39(a)(2) and 222.39(b) of this part, and in
comparison to the Nationwide Significant Risk Threshold. FRA will
notify each public authority of the Quiet Zone Risk Index for the
preceding calendar year. FRA will not conduct annual risk reviews for
quiet zones established by having an SSM at every public crossing
within the quiet zone or for quiet zones established by reducing the
Quiet Zone Risk Index to the Risk Index With Horns.
(2) Actions to be taken by public authority to retain quiet zone.
If the Quiet Zone Risk Index is above the Nationwide Significant Risk
Threshold, the quiet zone will terminate six months from the date of
receipt of notification from FRA that the Quiet Zone Risk Index exceeds
the Nationwide Significant Risk Threshold, unless the public authority
takes the following actions:
(i) Within six months after the date of receipt of notification
from FRA that the Quiet Zone Risk Index exceeds the Nationwide
Significant Risk Threshold, provide to the Associate Administrator a
written commitment to lower the potential risk to the traveling public
at the crossings within the quiet zone to a level at, or below, the
Nationwide Significant Risk Threshold or the Risk Index With Horns.
Included in the commitment statement shall be a discussion of the
specific steps to be taken by the public authority to increase safety
at the crossings within the quiet zone; and
(ii) Within three years after the date of receipt of notification
from FRA that the Quiet Zone Risk Index exceeds the Nationwide
Significant Risk Threshold, complete implementation of SSMs or ASMs
sufficient to reduce the Quiet Zone Risk Index to a level at, or below,
the Nationwide Significant Risk Threshold, or the Risk Index With
Horns, and receive approval from the Associate Administrator, under the
procedures set forth in Sec. 222.39(b) of this part, for continuation
of the quiet zone. If the Quiet Zone Risk Index is reduced to the Risk
Index With Horns, the quiet zone will be considered to have been
established pursuant to Sec. 222.39(a)(3) of this part and subsequent
annual risk reviews will not be conducted for that quiet zone.
(iii) Failure to comply with paragraph (a)(2)(i) of this section
shall result in the termination of the quiet zone six months after the
date of receipt of notification from FRA that the Quiet Zone Risk Index
exceeds the Nationwide Significant Risk Threshold. Failure to comply
with paragraph (a)(2)(ii) of this section shall result in the
termination of the quiet zone three years after the date of receipt of
notification from FRA that the Quiet Zone Risk Index exceeds the
Nationwide Significant Risk Threshold.
(b) Pre-Rule Quiet Zones--Annual risk review. (1) FRA will annually
calculate the Quiet Zone Risk Index for each Pre-Rule Quiet Zone and
Pre-Rule Partial Quiet Zone that qualified for automatic approval
pursuant to Sec. Sec. 222.41(a)(1)(ii), 222.41(a)(1)(iii),
222.41(b)(1)(ii), and 222.41(b)(1)(iii) of this part. FRA will notify
each public authority of the Quiet Zone Risk Index for the preceding
calendar year. FRA will also notify each public authority if a relevant
collision occurred at a grade crossing within the quiet zone during the
preceding calendar year.
(2) Pre-Rule Quiet Zones and Pre-Rule Partial Quiet Zones
authorized under Sec. Sec. 222.41(a)(1)(ii) and 222.41(b)(1)(ii). (i)
If a Pre-Rule Quiet Zone or Pre-Rule Partial Quiet Zone originally
qualified for automatic approval because the Quiet Zone Risk Index was
at, or below, the Nationwide Significant Risk Threshold, the quiet zone
may continue unchanged if the Quiet Zone Risk Index as last calculated
by the FRA remains at, or below, the Nationwide Significant Risk Threshold.
(ii) If the Quiet Zone Risk Index as last calculated by FRA is
above the Nationwide Significant Risk Threshold, but is lower than
twice the Nationwide Significant Risk Threshold and no relevant
collisions have occurred at crossings within the quiet zone within the
five years preceding the annual risk review, then the quiet zone may
continue as though it originally received automatic approval pursuant
to Sec. 222.41(a)(1)(iii) or 222.41(b)(1)(iii) of this part.
[[Page 47645]]
(iii) If the Quiet Zone Risk Index as last calculated by FRA is at,
or above, twice the Nationwide Significant Risk Threshold, or if the
Quiet Zone Risk Index is above the Nationwide Significant Risk
Threshold, but is lower than twice the Nationwide Significant Risk
Threshold and a relevant collision occurred at a crossing within the
quiet zone within the preceding five calendar years, the quiet zone
will terminate six months after the date of receipt of notification
from FRA of the Nationwide Significant Risk Threshold level, unless the
public authority takes the actions specified in paragraph (b)(4) of
this section.
(3) Pre-Rule Quiet Zones and Pre-Rule Partial Quiet Zones
authorized under Sec. Sec. 222.41(a)(1)(iii) and 222.41(b)(1)(iii).
(i) If a Pre-Rule Quiet Zone or Pre-Rule Partial Quiet Zone originally
qualified for automatic approval because the Quiet Zone Risk Index was
above the Nationwide Significant Risk Threshold, but below twice the
Nationwide Significant Risk Threshold, and no relevant collisions had
occurred within the five-year qualifying period, the quiet zone may
continue unchanged if the Quiet Zone Risk Index as last calculated by
FRA remains below twice the Nationwide Significant Risk Threshold and
no relevant collisions occurred at a public grade crossing within the
quiet zone during the preceding calendar year.
(ii) If the Quiet Zone Risk Index as last calculated by FRA is at,
or above, twice the Nationwide Significant Risk Threshold, or if a
relevant collision occurred at a public grade crossing within the quiet
zone during the preceding calendar year, the quiet zone will terminate
six months after the date of receipt of notification from FRA that the
Quiet Zone Risk Index is at, or exceeds twice the Nationwide
Significant Risk Threshold or that a relevant collision occurred at a
crossing within the quiet zone, unless the public authority takes the
actions specified in paragraph (b)(4) of this section.
(4) Actions to be taken by the public authority to retain a quiet zone.
(i) Within six months after the date of FRA notification, the
public authority shall provide to the Associate Administrator a written
commitment to lower the potential risk to the traveling public at the
crossings within the quiet zone by reducing the Quiet Zone Risk Index
to a level at, or below, the Nationwide Significant Risk Threshold or
the Risk Index With Horns. Included in the commitment statement shall
be a discussion of the specific steps to be taken by the public
authority to increase safety at the public crossings within the quiet
zone; and
(ii) Within three years of the date of FRA notification, the public
authority shall complete implementation of SSMs or ASMs sufficient to
reduce the Quiet Zone Risk Index to a level at, or below, the
Nationwide Significant Risk Threshold, or the Risk Index With Horns,
and receive approval from the Associate Administrator, under the
procedures set forth in Sec. 222.39(b) of this part, for continuation
of the quiet zone. If the Quiet Zone Risk Index is reduced to a level
that fully compensates for the absence of the train horn, the quiet
zone will be considered to have been established pursuant to Sec.
222.39(a)(3) of this part and subsequent annual risk reviews will not
be conducted for that quiet zone.
(iii) Failure to comply with paragraph (b)(4)(i) of this section
shall result in the termination of the quiet zone six months after the
date of receipt of notification from FRA. Failure to comply with
paragraph (b)(4)(ii) of this section shall result in the termination of
the quiet zone three years after the date of receipt of notification
from FRA.
(c) Review at FRA's initiative. (1) The Associate Administrator
may, at any time, review the status of any quiet zone.
(2) If the Associate Administrator makes any of the following
preliminary determinations, the Associate Administrator will provide
written notice to the public authority, all railroads operating over
public highway-rail grade crossings within the quiet zone, the highway
or traffic control authority or law enforcement authority having
control over vehicular traffic at the crossings within the quiet zone,
the landowner having control over any private crossings within the
quiet zone, the State agency responsible for grade crossing safety, and
the State agency responsible for highway and road safety and will
publish a notice of the determination in the Federal Register:
(i) Safety systems and measures implemented within the quiet zone
do not fully compensate for the absence of the locomotive horn due to a
substantial increase in risk;
(ii) Documentation relied upon to establish the quiet zone contains
substantial errors that may have an adverse impact on public safety; or
(iii) Significant risk with respect to loss of life or serious
personal injury exists within the quiet zone.
(3) After providing an opportunity for comment, the Associate
Administrator may require that additional safety measures be taken or
that the quiet zone be terminated. The Associate Administrator will
provide a copy of his/her decision to the public authority and all
parties listed in paragraph (c)(2) of this section. The public
authority may appeal the Associate Administrator's decision in
accordance with Sec. 222.57(c) of this part. Nothing in this section
is intended to limit the Administrator's emergency authority under 49
U.S.C. 20104 and 49 CFR part 211.
(d) Termination by the public authority. (1) Any public authority
that participated in the establishment of a quiet zone under the
provisions of this part may, at any time, withdraw its quiet zone status.
(2) A public authority may withdraw its quiet zone status by
providing written notice of termination, by certified mail, return
receipt requested, to all railroads operating the public highway-rail
grade crossings within the quiet zone, the highway or traffic control
authority or law enforcement authority having control over vehicular
traffic at the crossings within the quiet zone, the landowner having
control over any private crossings within the quiet zone, the State
agency responsible for grade crossing safety, the State agency
responsible for highway and road safety, and the Associate Administrator.
(3)(i) If the quiet zone that is being withdrawn was part of a
multi-jurisdictional quiet zone, the remaining quiet zones may remain
in effect, provided the public authorities responsible for the
remaining quiet zones provide statements to the Associate Administrator
certifying that the Quiet Zone Risk Index for each remaining quiet zone
is at, or below, the Nationwide Significant Risk Threshold or the Risk
Index With Horns. These statements shall be provided, no later than six
months after the date on which the notice of quiet zone termination was
mailed, to all parties listed in paragraph (d)(2) of this section.
(ii) If any remaining quiet zone has a Quiet Zone Risk Index in
excess of the Nationwide Significant Risk Threshold and the Risk Index
With Horns, the public authority responsible for the quiet zone shall
submit a written commitment, to all parties listed in paragraph (d)(2)
of this section, to reduce the Quiet Zone Risk Index to a level at or
below the Nationwide Significant Risk Threshold or the Risk Index With
Horns within three years. Included in the commitment statement shall be
a discussion of the specific steps to be taken by the public authority
to reduce the Quiet Zone Risk Index. This commitment statement shall be
provided to all parties listed in
[[Page 47646]]
paragraph (d)(2) of this section no later than six months after the
date on which the notice of quiet zone termination was mailed.
(iii) Failure to comply with paragraphs (d)(3)(i) and (d)(3)(ii) of
this section shall result in the termination of the remaining quiet
zone(s) six months after the date on which the notice of quiet zone
termination was mailed by the withdrawing public authority in
accordance with paragraph (d)(2) of this section.
(iv) Failure to complete implementation of SSMs and/or ASMs to
reduce the Quiet Zone Risk Index to a level at, or below, the
Nationwide Significant Risk Index or the Risk Index With Horns, in
accordance with the written commitment provided under paragraph
(d)(3)(ii) of this section, shall result in the termination of quiet
zone status three years after the date on which the written commitment
was received by FRA.
(e) Notification of termination. (1) In the event that a quiet zone
is terminated under the provisions of this section, it shall be the
responsibility of the public authority to immediately provide written
notification of the termination by certified mail, return receipt
requested, to all railroads operating over public highway-rail grade
crossings within the quiet zone, the highway or traffic control
authority or law enforcement authority having control over vehicular
traffic at the crossings within the quiet zone, the landowner having
control over any private crossings within the quiet zone, the State
agency responsible for grade crossing safety, the State agency
responsible for highway and road safety, and the Associate Administrator.
(2) Notwithstanding paragraph (e)(1) of this section, if a quiet
zone is terminated under the provisions of this section, FRA shall also
provide written notification to all parties listed in paragraph (e)(1)
of this section.
(f) Requirement to sound the locomotive horn. Upon receipt of
notification of quiet zone termination pursuant to paragraph (e) of
this section, railroads shall, within seven days, and in accordance
with the provisions of this part, sound the locomotive horn when
approaching and passing through every public highway-rail grade
crossing within the former quiet zone.
Sec. 222.53 What are the requirements for supplementary and
alternative safety measures?
(a) Approved SSMs are listed in appendix A of this part. Approved
SSMs can qualify for quiet zone risk reduction credit in the manner
specified in appendix A of this part.
(b) Additional ASMs that may be included in a request for FRA
approval of a quiet zone under Sec. 222.39(b) of this part are listed
in appendix B of this part. Modified SSMs can qualify for quiet zone
risk reduction credit in the manner specified in appendix B of this part.
(c) The following do not, individually or in combination,
constitute SSMs or ASMs: Standard traffic control device arrangements
such as reflectorized crossbucks, STOP signs, flashing lights, or
flashing lights with gates that do not completely block travel over the
line of railroad, or traffic signals.
Sec. 222.55 How are new supplementary or alternative safety measures
approved?
(a) The Associate Administrator may add new SSMs and standards to
appendix A of this part and new ASMs and standards to appendix B of
this part when the Associate Administrator determines that such
measures or standards are an effective substitute for the locomotive
horn in the prevention of collisions and casualties at public highway-
rail grade crossings.
(b) Interested parties may apply for approval from the Associate
Administrator to demonstrate proposed new SSMs or ASMs to determine
whether they are effective substitutes for the locomotive horn in the
prevention of collisions and casualties at public highway-rail grade
crossings.
(c) The Associate Administrator may, after notice and opportunity
for comment, order railroad carriers operating over a public highway-
rail grade crossing or crossings to temporarily cease the sounding of
locomotive horns at such crossings to demonstrate proposed new SSMs or
ASMs, provided that such proposed new SSMs or ASMs have been subject to
prior testing and evaluation. In issuing such order, the Associate
Administrator may impose any conditions or limitations on such use of
the proposed new SSMs or ASMs which the Associate Administrator deems
necessary in order to provide the level of safety at least equivalent
to that provided by the locomotive horn.
(d) Upon completion of a demonstration of proposed new SSMs or
ASMs, interested parties may apply to the Associate Administrator for
their approval. Applications for approval shall be in writing and shall
include the following:
(1) The name and address of the applicant;
(2) A description and design of the proposed new SSM or ASM;
(3) A description and results of the demonstration project in which
the proposed SSMs or ASMs were tested;
(4) Estimated costs of the proposed new SSM or ASM; and
(5) Any other information deemed necessary.
(e) If the Associate Administrator is satisfied that the proposed
safety measure fully compensates for the absence of the warning
provided by the locomotive horn, the Associate Administrator will
approve its use as an SSM to be used in the same manner as the measures
listed in appendix A of this part, or the Associate Administrator may
approve its use as an ASM to be used in the same manner as the measures
listed in appendix B of this part. The Associate Administrator may
impose any conditions or limitations on use of the SSMs or ASMs which
the Associate Administrator deems necessary in order to provide the
level of safety at least equivalent to that provided by the locomotive
horn.
(f) If the Associate Administrator approves a new SSM or ASM, the
Associate Administrator will: Notify the applicant, if any; publish
notice of such action in the Federal Register; and add the measure to
the list of approved SSMs or ASMs.
(g) A public authority or other interested party may appeal to the
Administrator from a decision by the Associate Administrator granting
or denying an application for approval of a proposed SSM or ASM, or the
conditions or limitations imposed on its use, in accordance with Sec.
222.57 of this part.
Sec. 222.57 Can parties seek review of the Associate Administrator's
actions?
(a) A public authority or other interested party may petition the
Administrator for review of any decision by the Associate Administrator
granting or denying an application for approval of a new SSM or ASM
under Sec. 222.55 of this part. The petition must be filed within 60
days of the decision to be reviewed, specify the grounds for the
requested relief, and be served upon the following parties: All
railroads ordered to temporarily cease sounding of the locomotive horn
over public highway-rail grade crossings for the demonstration of the
proposed new SSM or ASM , the highway or traffic control authority or
law enforcement authority having control over vehicular traffic at the
crossings affected by the new SSM/ASM demonstration, the State agency
responsible for grade crossing safety, the State agency responsible for
highway and road safety, and the Associate Administrator. Unless the
[[Page 47647]]
Administrator specifically provides otherwise, and gives notice to the
petitioner or publishes a notice in the Federal Register, the filing of
a petition under this paragraph does not stay the effectiveness of the
action sought to be reviewed. The Administrator may reaffirm, modify,
or revoke the decision of the Associate Administrator without further
proceedings and shall notify the petitioner and other interested
parties in writing or by publishing a notice in the Federal Register.
(b) A public authority may request reconsideration of a decision by
the Associate Administrator to deny an application by that authority
for approval of a quiet zone, or to require additional safety measures,
by filing a petition for reconsideration with the Associate
Administrator. The petition must specify the grounds for asserting that
the Associate Administrator improperly exercised his/her judgment in
finding that the proposed SSMs and ASMs would not result in a Quiet
Zone Risk Index that would be at or below the Risk Index With Horns or
the Nationwide Significant Risk Threshold. The petition shall be filed
within 60 days of the date of the decision to be reconsidered and be
served upon all parties listed in Sec. 222.39(b)(3) of this part. Upon
receipt of a timely and proper petition, the Associate Administrator
will provide the petitioner an opportunity to submit additional
materials and to request an informal hearing. Upon review of the
additional materials and completion of any hearing requested, the
Associate Administrator shall issue a decision on the petition that
will be administratively final.
(c) A public authority may request reconsideration of a decision by
the Associate Administrator to terminate quiet zone status by filing a
petition for reconsideration with the Associate Administrator. The
petition must be filed within 60 days of the date of the decision,
specify the grounds for the requested relief, and be served upon all
parties listed in Sec. 222.51(c)(2) of this part. Unless the Associate
Administrator publishes a notice in the Federal Register that
specifically stays the effectiveness of his/her decision, the filing of
a petition under this paragraph will not stay the termination of quiet
zone status. Upon receipt of a timely and proper petition, the
Associate Administrator will provide the petitioner an opportunity to
submit additional materials and to request an informal hearing. Upon
review of the additional materials and completion of any hearing
requested, the Associate Administrator shall issue a decision on the
petition that will be administratively final. A copy of this decision
shall be served upon all parties listed in Sec. 222.51(c)(2) of this part.
(d) A railroad may request reconsideration of a decision by the
Associate Administrator to approve an application for approval of a
proposed quiet zone under Sec. 222.39(b) of this part by filing a
petition for reconsideration with the Associate Administrator. The
petition must specify the grounds for asserting that the Associate
Administrator improperly exercised his/her judgment in finding that the
proposed SSMs and ASMs would result in a Quiet Zone Risk Index that
would be at or below the Risk Index With Horns or the Nationwide
Significant Risk Threshold. The petition shall be filed within 60 days
of the date of the decision to be reconsidered, and be served upon all
parties listed in Sec. 222.39(b)(3) of this part. Upon receipt of a
timely and proper petition, the Associate Administrator will provide
the petitioner an opportunity to submit additional materials and to
request an informal hearing. Upon review of the additional materials
and completion of any hearing requested, the Associate Administrator
shall issue a decision that will be administratively final.
Sec. 222.59 When may a wayside horn be used?
(a)(1) A wayside horn conforming to the requirements of appendix E
of this part may be used in lieu of a locomotive horn at any highway-
rail grade crossing equipped with an active warning system consisting
of, at a minimum, flashing lights and gates.
(2) A wayside horn conforming to the requirements of appendix E of
this part may be installed within a quiet zone. For purposes of
calculating the length of a quiet zone, the presence of a wayside horn
at a highway-grade crossing within a quiet zone shall be considered in
the same manner as a grade crossing treated with an SSM. A grade
crossing equipped with a wayside horn shall not be considered in
calculating the Quiet Zone Risk Index or Crossing Corridor Risk Index.
(b) A public authority installing a wayside horn at a grade
crossing within a quiet zone shall provide written notice that a
wayside horn is being installed to all railroads operating over the
public highway-rail grade crossings within the quiet zone, the highway
or traffic control authority or law enforcement authority having
control over vehicular traffic at the crossings within the quiet zone,
the landowner having control over any private crossings within the
quiet zone, the State agency responsible for grade crossing safety, the
State agency responsible for highway and road safety, and the Associate
Administrator. This notice shall provide the date on which the wayside
horn will be operational and identify the grade crossing at which the
wayside horn shall be installed by both the U.S. DOT National Highway-
Rail Grade Crossing Inventory Number and street or highway name. The
railroad or public authority shall provide notification of the
operational date at least 21 days in advance.
(c) A railroad or public authority installing a wayside horn at a
grade crossing located outside a quiet zone shall provide written
notice that a wayside horn is being installed to all railroads
operating over the public highway-rail grade crossing, the highway or
traffic control authority or law enforcement authority having control
over vehicular traffic at the crossing, the State agency responsible
for grade crossing safety, the State agency responsible for highway and
road safety, and the Associate Administrator. This notice shall provide
the date on which the wayside horn will be operational and identify the
grade crossing at which the wayside horn shall be installed by both the
U.S. DOT National Highway-Rail Grade Crossing Inventory Number and
street or highway name. The railroad or public authority shall provide
notification of the operational date at least 21 days in advance.
(d) A railroad operating over a grade crossing equipped with an
operational wayside horn installed within a quiet zone pursuant to this
section shall cease routine locomotive horn use at the grade crossing.
A railroad operating over a grade crossing that is equipped with a
wayside horn and located outside of a quiet zone shall cease routine
locomotive horn use at the grade crossing on the operational date
specified in the notice required by paragraph (c) of this section.
Appendix A to Part 222--Approved Supplementary Safety Measures
A. Requirements and Effectiveness Rates for Supplementary Safety Measures
This section provides a list of approved supplementary safety
measures (SSMs) that may be installed at highway-rail grade
crossings within quiet zones for risk reduction credit. Each SSM has
been assigned an effectiveness rate, which may be subject to
adjustment as research and demonstration projects are completed and
data is gathered and refined. Sections B and C govern the process through
which risk reduction credit for pre-existing SSMs can be determined.
1. Temporary Closure of a Public Highway-Rail Grade Crossing:
Close the crossing to
[[Page 47648]]
highway traffic during designated quiet periods. (This SSM can only
be implemented within Partial Quiet Zones.)
Effectiveness: 1.0.
Because an effective closure system prevents vehicle entrance
onto the crossing, the probability of a collision with a train at
the crossing is zero during the period the crossing is closed.
Effectiveness would therefore equal 1. However, analysis should take
into consideration that traffic would need to be redistributed among
adjacent crossings or grade separations for the purpose of
estimating risk following the silencing of train horns, unless the
particular ``closure'' was accomplished by a grade separation.
Required:
a. The closure system must completely block highway traffic on
all approach lanes to the crossing.
b. The closure system must completely block adjacent pedestrian
crossings.
c. Public highway-rail grade crossings located within New
Partial Quiet Zones shall be closed from 10 p.m. until 7 a.m. every
day. Public highway-rail grade crossings located within Pre-Rule
Partial Quiet Zones may only be closed during one period each 24 hours.
d. Barric[abreve]des and signs used for closure of the roadway
shall conform to the standards contained in the MUTCD.
e. Daily activation and deactivation of the system is the
responsibility of the public authority responsible for maintenance
of the street or highway crossing the railroad tracks. The public
authority may provide for third party activation and deactivation;
however, the public authority shall remain fully responsible for
compliance with the requirements of this part.
f. The system must be tamper and vandal resistant to the same
extent as other traffic control devices.
g. The closure system shall be equipped with a monitoring device
that contains an indicator which is visible to the train crew prior
to entering the crossing. The indicator shall illuminate whenever
the closure device is deployed.
Recommended:
Signs for alternate highway traffic routes should be erected in
accordance with MUTCD and State and local standards and should
inform pedestrians and motorists that the streets are closed, the
period for which they are closed, and that alternate routes must be used.
2. Four-Quadrant Gate System: Install gates at a crossing
sufficient to fully block highway traffic from entering the crossing
when the gates are lowered, including at least one gate for each
direction of traffic on each approach.
Effectiveness:
Four-quadrant gates only, no presence detection: .82.
Four-quadrant gates only, with presence detection: .77.
Four-quadrant gates with traffic of at least 60 feet (with or
without presence detection): .92.
Note: The higher effectiveness rate for four-quadrant gates
without presence detection does not mean that they are inherently
safer than four-quadrant gates with presence detection. Four-
quadrant gates with presence detection have been assigned a lower
effectiveness rate because motorists may learn to delay the lowering
of the exit gates by driving onto the opposing lane of traffic
immediately after an opposing car has driven over the grade
crossing. Since the presence detection will keep the exit gate
raised, other motorists at the crossing who observe this scenario
may also be tempted to take advantage of the raised exit gate by
driving around the lowered entrance gates, thus increasing the
potential for a crossing collision.
It should, however, be noted that there are site-specific
circumstances (such as nearby highway intersections that could cause
traffic to back up and stop on the grade crossing), under which the
use of presence detection would be advisable. For this reason, the
various effectiveness rates assigned to four-quadrant gate systems
should not be the sole determining factor as to whether presence
detection would be advisable. A site-specific study should be
performed to determine the best application for each proposed
installation. Please refer to paragraphs (f) and (g) for more information.
Required:
Four-quadrant gate systems shall conform to the standards for
four-quadrant gates contained in the MUTCD and shall, in addition,
comply with the following:
a. When a train is approaching, all highway approach and exit
lanes on both sides of the highway-rail crossing must be spanned by
gates, thus denying to the highway user the option of circumventing
the conventional approach lane gates by switching into the opposing
(oncoming) traffic lane in order to enter the crossing and cross the tracks.
b. Crossing warning systems must be activated by use of constant
warning time devices unless existing conditions at the crossing
would prevent the proper operation of the constant warning time devices.
c. Crossing warning systems must be equipped with power-out indicators.
Note: Requirements b and c apply only to New Quiet Zones or New
Partial Quiet Zones. Constant warning time devices and power-out
indicators are not required to be added to existing warning systems
in Pre-Rule Quiet Zones and Pre-Rule Partial Quiet Zones. However,
if existing automatic warning device systems in Pre-Rule Quiet Zones
and Pre-Rule Partial Quiet Zones are renewed, or new automatic
warning device systems are installed, power-out indicators and
constant warning time devices are required, unless existing
conditions at the crossing would prevent the proper operation of the
constant warning devices.
d. The gap between the ends of the entrance and exit gates (on
the same side of the railroad tracks) when both are in the fully
lowered, or down, position must be less than two feet if no median
is present. If the highway approach is equipped with a median or a
channelization device between the approach and exit lanes, the
lowered gates must reach to within one foot of the median or
channelization device, measured horizontally across the road from
the end of the lowered gate to the median or channelization device
or to a point over the edge of the median or channelization device.
The gate and the median top or channelization device do not have to
be at the same elevation.
e. ``Break-away'' channelization devices must be frequently
monitored to replace broken elements.
Recommendations for new installations only:
f. Gate timing should be established by a qualified traffic
engineer based on site specific determinations. Such determination
should consider the need for and timing of a delay in the descent of
the exit gates (following descent of the conventional entrance
gates). Factors to be considered may include available storage space
between the gates that is outside the fouling limits of the track(s)
and the possibility that traffic flows may be interrupted as a
result of nearby intersections.
g. A determination should be made as to whether it is necessary
to provide vehicle presence detectors (VPDs) to open or keep open
the exit gates until all vehicles are clear of the crossing. VPD
should be installed on one or both sides of the crossing and/or in
the surface between the rails closest to the field. Among the
factors that should be considered are the presence of intersecting
roadways near the crossing, the priority that the traffic crossing
the railroad is given at such intersections, the types of traffic
control devices at those intersections, and the presence and timing
of traffic signal preemption.
h. Highway approaches on one or both sides of the highway-rail
crossing may be provided with medians or channelization devices
between the opposing lanes. Medians should be defined by a non-
traversable curb or traversable curb, or by reflectorized
channelization devices, or by both.
i. Remote monitoring (in addition to power-out indicators, which
are required) of the status of these crossing systems is preferable.
This is especially important in those areas in which qualified
railroad signal department personnel are not readily available.
3. Gates With Medians or Channelization Devices: Install medians
or channelization devices on both highway approaches to a public
highway-rail grade crossing denying to the highway user the option
of circumventing the approach lane gates by switching into the
opposing (oncoming) traffic lane and driving around the lowered
gates to cross the tracks.
Effectiveness:
Channelization devices--.75.
Non-traversable curbs with or without channelization devices-- .80.
Required:
a. Opposing traffic lanes on both highway approaches to the
crossing must be separated by either: (1) medians bounded by non-
traversable curbs or (2) channelization devices.
b. Medians or channelization devices must extend at least 100
feet from the gate arm, or if there is an intersection within 100
feet of the gate, the median or channelization device must extend at
least 60 feet from the gate arm.
c. Intersections of two or more streets, or a street and an
alley, that are within 60 feet of the gate arm must be closed or relocated.
[[Page 47649]]
Driveways for private, residential properties (up to four units)
within 60 feet of the gate arm are not considered to be
intersections under this part and need not be closed. However,
consideration should be given to taking steps to ensure that
motorists exiting the driveways are not able to move against the
flow of traffic to circumvent the purpose of the median and drive
around lowered gates. This may be accomplished by the posting of
``no left turn'' signs or other means of notification. For the
purpose of this part, driveways accessing commercial properties are
considered to be intersections and are not allowed. It should be
noted that if a public authority can not comply with the 60 feet or
100 feet requirement, it may apply to FRA for a quiet zone under
Sec. 222.39(b), ``Public authority application to FRA.'' Such
arrangement may qualify for a risk reduction credit in calculation
of the Quiet Zone Risk Index. Similarly, if a public authority finds
that it is feasible to only provide channelization on one approach
to the crossing, it may also apply to FRA for approval under Sec.
222.39(b). Such an arrangement may also qualify for a risk reduction
credit in calculation of the Quiet Zone Risk Index.
d. Crossing warning systems must be activated by use of constant
warning time devices unless existing conditions at the crossing
would prevent the proper operation of the constant warning time devices.
e. Crossing warning systems must be equipped with power-out
indicators. Note: Requirements d and e apply only to New Quiet Zones
and New Partial Quiet Zones. Constant warning time devices and
power-out indicators are not required to be added to existing
warning systems in Pre-Rule Quiet Zones or Pre-Rule Partial Quiet
Zones. However, if existing automatic warning device systems in Pre-
Rule Quiet Zones and Pre-Rule Partial Quiet Zones are renewed, or
new automatic warning device systems are installed, power-out
indicators and constant warning time devices are required, unless
existing conditions at the crossing would prevent the proper
operation of the constant warning devices.
f. The gap between the lowered gate and the curb or
channelization device must be one foot or less, measured
horizontally across the road from the end of the lowered gate to the
curb or channelization device or to a point over the curb edge or
channelization device. The gate and the curb top or channelization
device do not have to be at the same elevation.
g. ``Break-away'' channelization devices must be frequently
monitored to replace broken elements.
4. One Way Street with Gate(s): Gate(s) must be installed such
that all approaching highway lanes to the public highway-rail grade
crossing are completely blocked.
Effectiveness: .82.
Required:
a. Gate arms on the approach side of the crossing should extend
across the road to within one foot of the far edge of the pavement.
If a gate is used on each side of the road, the gap between the ends
of the gates when both are in the lowered, or down, position must be
no more than two feet.
b. If only one gate is used, the edge of the road opposite the
gate mechanism must be configured with a non-traversable curb
extending at least 100 feet.
c. Crossing warning systems must be activated by use of constant
warning time devices unless existing conditions at the crossing
would prevent the proper operation of the constant warning time devices.
d. Crossing warning systems must be equipped with power-out indicators.
Note: Requirements c and d apply only to New Quiet Zones and New
Partial Quiet Zones. Constant warning time devices and power-out
indicators are not required to be added to existing warning systems
in Pre-Rule Quiet Zones or Pre-Rule Partial Quiet Zones. If
automatic warning systems are, however, installed or renewed in a
Pre-Rule Quiet or Pre-Rule Partial Quiet Zone, power-out indicators
and constant warning time devices shall be installed, unless
existing conditions at the crossing would prevent the proper
operation of the constant warning time devices.
5. Permanent Closure of a Public Highway-Rail Grade Crossing:
Permanently close the crossing to highway traffic.
Effectiveness: 1.0.
Required:
a. The closure system must completely block highway traffic from
entering the grade crossing.
b. Barricades and signs used for closure of the roadway shall
conform to the standards contained in the MUTCD.
c. The closure system must be tamper and vandal resistant to the
same extent as other traffic control devices.
d. Since traffic will be redistributed among adjacent crossings,
the traffic counts for adjacent crossings shall be increased to
reflect the diversion of traffic from the closed crossing.
B. Credit for Pre-Existing SSMs in New Quiet Zones and New Partial
Quiet Zones
A community that has implemented a pre-existing SSM at a public
grade crossing can receive risk reduction credit by inflating the
Risk Index With Horns as follows:
1. Calculate the current risk index for the grade crossing that
is equipped with a qualifying, pre-existing SSM. (See appendix D.
FRA's web-based Quiet Zone Calculator may be used to complete this
calculation.)
2. Adjust the risk index by accounting for the increased risk
that was avoided by implementing the pre-existing SSM at the public
grade crossing. This adjustment can be made by dividing the risk
index by one minus the SSM effectiveness rate. (For example, the
risk index for a crossing equipped with pre-existing channelization
devices would be divided by .25.)
3. Add the current risk indices for the other public grade
crossings located within the proposed quiet zone and divide by the
number of crossings. The resulting risk index will be the new Risk
Index With Horns for the proposed quiet zone.
C. Credit for Pre-Existing SSMs in Pre-Rule Quiet Zones and Pre-
Rule Partial Quiet Zones
A community that has implemented a pre-existing SSM at a public
grade crossing can receive risk reduction credit by inflating the
Risk Index With Horns as follows:
1. Calculate the current risk index for the grade crossing that
is equipped with a qualifying, pre-existing SSM. (See appendix D.
FRA's web-based Quiet Zone Calculator may be used to complete this
calculation.)
2. Reduce the current risk index for the grade crossing to
reflect the risk reduction that would have been achieved if the
locomotive horn was routinely sounded at the crossing. The following
list sets forth the estimated risk reduction for certain types of
crossings:
a. Risk indices for passive crossings shall be reduced by 43%;
b. Risk indices for grade crossings equipped with automatic
flashing lights shall be reduced by 27%; and
c. Risk indices for gated crossings shall be reduced by 40%.
3. Adjust the risk index by accounting for the increased risk
that was avoided by implementing the pre-existing SSM at the public
grade crossing. This adjustment can be made by dividing the risk
index by one minus the SSM effectiveness rate. (For example, the
risk index for a crossing equipped with pre-existing channelization
devices would be divided by .25.)
4. Adjust the risk indices for the other crossings that are
included in the Pre-Rule Quiet Zone or Pre-Rule Partial Quiet Zone
by reducing the current risk index to reflect the risk reduction
that would have been achieved if the locomotive horn was routinely
sounded at each crossing. Please refer to step two for the list of
approved risk reduction percentages by crossing type.
5. Add the new risk indices for each crossing located within the
proposed quiet zone and divide by the number of crossings. The
resulting risk index will be the new Risk Index With Horns for the
quiet zone.
Appendix B to Part 222--Alternative Safety Measures
Introduction
A public authority seeking approval of a quiet zone under public
authority application to FRA (Sec. 222.39(b)) may include ASMs
listed in this appendix in its proposal. This appendix addresses
three types of ASMs: Modified SSMs, Non-Engineering ASMs, and
Engineering ASMs. Modified SSMs are SSMs that do not fully comply
with the provisions listed in appendix A. As provided in section
I.B. of this appendix, public authorities can obtain risk reduction
credit for pre-existing modified SSMs under the final rule. Non-
engineering ASMs consist of programmed enforcement, public education
and awareness, and photo enforcement programs that may be used to
reduce risk within a quiet zone. Engineering ASMs consist of
engineering improvements that address underlying geometric
conditions, including sight distance, that are the source of
increased risk at crossings.
I. Modified SSMs
A. Requirements and Effectiveness Rates for Modified SSMs
1. If there are unique circumstances pertaining to a specific
crossing or number of
[[Page 47650]]
crossings which prevent SSMs from being fully compliant with all of
the SSM requirements listed in appendix A, those SSM requirements
may be adjusted or revised. In that case, the SSM, as modified by
the public authority, will be treated as an ASM under this appendix
B, and not as a SSM under appendix A. After reviewing the estimated
safety effect of the modified SSM and the proposed quiet zone, FRA
will approve the proposed quiet zone if FRA finds that the Quiet
Zone Risk Index will be reduced to a level at or below either the
Risk Index With Horns or the Nationwide Significant Risk Threshold.
2. The public authority must provide estimates of effectiveness.
These estimates may be based upon adjustments from the effectiveness
levels provided in appendix A or from actual field data derived from
the crossing sites. The specific crossing and applied mitigation
measure will be assessed to determine the effectiveness of the
modified SSM. FRA will continue to develop and make available
effectiveness estimates and data from experience under the final rule.
3. If one or more of the requirements associated with an SSM as
listed in appendix A is revised or deleted, data or analysis
supporting the revision or deletion must be provided to FRA for
review. The following engineering types of ASMs may be included in a
proposal for approval by FRA for creation of a quiet zone: (1)
Temporary Closure of a Public Highway-Rail Grade Crossing, (2) Four-
Quadrant Gate System, (3) Gates With Medians or Channelization
Devices, and (4) One-Way Street With Gate(s).
B. Credit for Pre-Existing Modified SSMs in New Quiet Zones and New
Partial Quiet Zones
A community that has implemented a pre-existing modified SSM at
a public grade crossing can receive risk reduction credit by
inflating the Risk Index With Horns as follows:
1. Calculate the current risk index for the grade crossing that
is equipped with a pre-existing modified SSM. (See appendix D. FRA's
web-based Quiet Zone Calculator may be used to complete this calculation.)
2. Obtain FRA approval of the estimated effectiveness rate for
the pre-existing modified SSM. Estimated effectiveness rates may be
based upon adjustments from the SSM effectiveness rates provided in
appendix A or actual field data derived from crossing sites.
3. Adjust the risk index by accounting for the increased risk
that was avoided by implementing the pre-existing modified SSM at
the public grade crossing. This adjustment can be made by dividing
the risk index by one minus the FRA-approved modified SSM
effectiveness rate.
4. Add the current risk indices for the other public grade
crossings located within the proposed quiet zone and divide by the
number of crossings. The resulting risk index will be the new Risk
Index With Horns for the proposed quiet zone.
C. Credit for Pre-Existing Modified SSMs in Pre-Rule Quiet Zones
and Pre-Rule Partial Quiet Zones
A community that has implemented a pre-existing modified SSM at
a public grade crossing can receive risk reduction credit by
inflating the Risk Index With Horns as follows:
1. Calculate the current risk index for the grade crossing that
is equipped with a pre-existing modified SSM. (See appendix D. FRA's
web-based Quiet Zone Calculator may be used to complete this calculation.)
2. Reduce the current risk index for the grade crossing to
reflect the risk reduction that would have been achieved if the
locomotive horn was routinely sounded at the crossing. The following
list sets forth the estimated risk reduction for certain types of crossings:
a. Risk indices for passive crossings shall be reduced by 43%;
b. Risk indices for grade crossings equipped with automatic
flashing lights shall be reduced by 27%; and
c. Risk indices for gated crossings shall be reduced by 40%.
3. Obtain FRA approval of the estimated effectiveness rate for
the pre-existing modified SSM. Estimated effectiveness rates may be
based upon adjustments from the SSM effectiveness rates provided in
appendix A or actual field data derived from crossing sites.
4. Adjust the risk index by accounting for the increased risk
that was avoided by implementing the pre-existing modified SSM at
the public grade crossing. This adjustment can be made by dividing
the risk index by one minus the FRA-approved modified SSM
effectiveness rate.
5. Adjust the risk indices for the other crossings that are
included in the Pre-Rule Quiet Zone or Pre-Rule Partial Quiet Zone
by reducing the current risk index to reflect the risk reduction
that would have been achieved if the locomotive horn was routinely
sounded at each crossing. Please refer to step two for the list of
approved risk reduction percentages by crossing type.
6. Add the new risk indices for each crossing located within the
proposed quiet zone and divide by the number of crossings. The
resulting risk index will be the new Risk Index With Horns for the
quiet zone.
II. Non-Engineering ASMs
A. The following non-engineering ASMs may be used in the
creation of a Quiet Zone: (The method for determining the
effectiveness of the non-engineering ASMs, the implementation of the
quiet zone, subsequent monitoring requirements, and dealing with an
unacceptable effectiveness rate is provided in paragraph B.)
1. Programmed Enforcement: Community and law enforcement
officials commit to a systematic and measurable crossing monitoring
and traffic law enforcement program at the public highway-rail grade
crossing, alone or in combination with the Public Education and
Awareness ASM.
Required:
a. Subject to audit, a statistically valid baseline violation
rate must be established through automated or systematic manual
monitoring or sampling at the subject crossing(s); and
b. A law enforcement effort must be defined, established and
continued along with continual or regular monitoring that provides a
statistically valid violation rate that indicates the effectiveness
of the law enforcement effort.
c. The public authority shall retain records pertaining to
monitoring and sampling efforts at the grade crossing for a period
of not less than five years. These records shall be made available,
upon request, to FRA as provided by 49 U.S.C. 20107.
2. Public Education and Awareness: Conduct, alone or in
combination with programmed law enforcement, a program of public
education and awareness directed at motor vehicle drivers,
pedestrians and residents near the railroad to emphasize the risks
associated with public highway-rail grade crossings and applicable
requirements of state and local traffic laws at those crossings.
Requirements:
a. Subject to audit, a statistically valid baseline violation
rate must be established through automated or systematic manual
monitoring or sampling at the subject crossing(s); and
b. A sustainable public education and awareness program must be
defined, established and continued along with continual or regular
monitoring that provides a statistically valid violation rate that
indicates the effectiveness of the public education and awareness
effort. This program shall be provided and supported primarily
through local resources.
c. The public authority shall retain records pertaining to
monitoring and sampling efforts at the grade crossing for a period
of not less than five years. These records shall be made available,
upon request, to FRA as provided by 49 U.S.C. 20107.
3. Photo Enforcement: This ASM entails automated means of
gathering valid photographic or video evidence of traffic law
violations at a public highway-rail grade crossing together with
follow-through by law enforcement and the judiciary.
Requirements:
a. State law authorizing use of photographic or video evidence
both to bring charges and sustain the burden of proof that a
violation of traffic laws concerning public highway-rail grade
crossings has occurred, accompanied by commitment of administrative,
law enforcement and judicial officers to enforce the law;
b. Sanction includes sufficient minimum fine (e.g., $100 for a
first offense, ``points'' toward license suspension or revocation)
to deter violations;
c. Means to reliably detect violations (e.g., loop detectors,
video imaging technology);
d. Photographic or video equipment deployed to capture images
sufficient to document the violation (including the face of the
driver, if required to charge or convict under state law).
Note: This does not require that each crossing be continually
monitored. The objective of this option is deterrence, which may be
accomplished by moving photo/video equipment among several crossing
locations,
[[Page 47651]]
as long as the motorist perceives the strong possibility that a
violation will lead to sanctions. Each location must appear
identical to the motorist, whether or not surveillance equipment is
actually placed there at the particular time. Surveillance equipment
should be in place and operating at each crossing at least 25
percent of each calendar quarter.
e. Appropriate integration, testing and maintenance of the
system to provide evidence supporting enforcement;
f. Public awareness efforts designed to reinforce photo
enforcement and alert motorists to the absence of train horns;
g. Subject to audit, a statistically valid baseline violation
rate must be established through automated or systematic manual
monitoring or sampling at the subject crossing(s); and
h. A law enforcement effort must be defined, established and
continued along with continual or regular monitoring.
i. The public authority shall retain records pertaining to
monitoring and sampling efforts at the grade crossing for a period
of not less than five years. These records shall be made available,
upon request, to FRA as provided by 49 U.S.C. 20107.
B. The effectiveness of an ASM will be determined as follows:
1. Establish the quarterly (three months) baseline violation
rates for each crossing in the proposed quiet zone.
a. A violation in this context refers to a motorist not
complying with the automatic warning devices at the crossing (not
stopping for the flashing lights and driving over the crossing after
the gate arms have started to descend, or driving around the lowered
gate arms). A violation does not have to result in a traffic
citation for the violation to be considered.
b. Violation data may be obtained by any method that can be
shown to provide a statistically valid sample. This may include the
use of video cameras, other technologies (e.g., inductive loops), or
manual observations that capture driver behavior when the automatic
warning devices are operating.
c. If data is not collected continuously during the quarter,
sufficient detail must be provided in the application in order to
validate that the methodology used results in a statistically valid
sample. FRA recommends that at least a minimum of 600 samples (one
sample equals one gate activation) be collected during the baseline
and subsequent quarterly sample periods.
d. The sampling methodology must take measures to avoid biases
in their sampling technique. Potential sampling biases could
include: Sampling on certain days of the week but not others;
sampling during certain times of the day but not others; sampling
immediately after implementation of an ASM while the public is still
going through an adjustment period; or applying one sample method
for the baseline rate and another for the new rate.
e. The baseline violation rate should be expressed as the number
of violations per gate activations in order to normalize for unequal
gate activations during subsequent data collection periods.
f. All subsequent quarterly violation rate calculations must use
the same methodology as stated in this paragraph unless FRA
authorizes another methodology.
2. The ASM should then be initiated for each crossing. Train
horns are still being sounded during this time period.
3. In the calendar quarter following initiation of the ASM,
determine a new quarterly violation rate using the same methodology
as in paragraph (1) above.
4. Determine the violation rate reduction for each crossing by
the following formula:
Violation rate reduction = (new rate - baseline rate)/baseline rate
5. Determine the effectiveness rate of the ASM for each crossing
by multiplying the violation rate reduction by .78.
6. Using the effectiveness rates for each grade crossing treated
by an ASM, determine the Quiet Zone Risk Index. If and when the
Quiet Zone Risk Index for the proposed quiet zone has been reduced
to a level at, or below, the Risk Index With Horns or the Nationwide
Significant Risk Threshold, the public authority may apply to FRA
for approval of the proposed quiet zone. Upon receiving written
approval of the quiet zone application from FRA, the public
authority may then proceed with notifications and implementation of
the quiet zone.
7. Violation rates must be monitored for the next two calendar
quarters and every second quarter thereafter. If, after five years
from the implementation of the quiet zone, the violation rate for
any quarter has never exceeded the violation rate that was used to
determine the effectiveness rate that was approved by FRA, violation
rates may be monitored for one quarter per year.
8. In the event that the violation rate is ever greater than the
violation rate used to determine the effectiveness rate that was
approved by FRA, the public authority may continue the quiet zone
for another quarter. If, in the second quarter the violation rate is
still greater than the rate used to determine the effectiveness rate
that was approved by FRA, a new effectiveness rate must be
calculated and the Quiet Zone Risk Index re-calculated using the new
effectiveness rate. If the new Quiet Zone Risk Index indicates that
the ASM no longer fully compensates for the lack of a train horn, or
that the risk level is equal to, or exceeds the National Significant
Risk Threshold, the procedures for dealing with unacceptable
effectiveness after establishment of a quiet zone should be followed.
III. Engineering ASMs
A. Engineering improvements, other than modified SSMs, may be
used in the creation of a Quiet Zone. These engineering
improvements, which will be treated as ASMs under this appendix, may
include improvements that address underlying geometric conditions,
including sight distance, that are the source of increased risk at
the crossing.
B. The effectiveness of an Engineering ASM will be determined as
follows:
1. Establish the quarterly (three months) baseline violation
rate for the crossing at which the Engineering ASM will be applied.
a. A violation in this context refers to a motorist not
complying with the automatic warning devices at the crossing (not
stopping for the flashing lights and driving over the crossing after
the gate arms have started to descend, or driving around the lowered
gate arms). A violation does not have to result in a traffic
citation for the violation to be considered.
b. Violation data may be obtained by any method that can be
shown to provide a statistically valid sample. This may include the
use of video cameras, other technologies (e.g. inductive loops), or
manual observations that capture driver behavior when the automatic
warning devices are operating.
c. If data is not collected continuously during the quarter,
sufficient detail must be provided in the application in order to
validate that the methodology used results in a statistically valid
sample. FRA recommends that at least a minimum of 600 samples (one
sample equals one gate activation) be collected during the baseline
and subsequent quarterly sample periods.
d. The sampling methodology must take measures to avoid biases
in their sampling technique. Potential sampling biases could
include: Sampling on certain days of the week but not others;
sampling during certain times of the day but not others; sampling
immediately after implementation of an ASM while the public is still
going through an adjustment period; or applying one sample method
for the baseline rate and another for the new rate.
e. The baseline violation rate should be expressed as the number
of violations per gate activations in order to normalize for unequal
gate activations during subsequent data collection periods.
f. All subsequent quarterly violation rate calculations must use
the same methodology as stated in this paragraph unless FRA
authorizes another methodology.
2. The Engineering ASM should be initiated at the crossing.
Train horns are still being sounded during this time period.
3. In the calendar quarter following initiation of the
Engineering ASM, determine a new quarterly violation rate using the
same methodology as in paragraph (1) above.
4. Determine the violation rate reduction for the crossing by
the following formula:
Violation rate reduction = (new rate - baseline rate)/baseline rate
5. Using the Engineering ASM effectiveness rate, determine the
Quiet Zone Risk Index. If and when the Quiet Zone Risk Index for the
proposed quiet zone has been reduced to a risk level at or below the
Risk Index With Horns or the Nationwide Significant Risk Threshold,
the public authority may apply to FRA for approval of the quiet
zone. Upon receiving written approval of the quiet zone application
from FRA, the public authority may then proceed with notifications
and implementation of the quiet zone.
6. Violation rates must be monitored for the next two calendar
quarters. Unless otherwise provided in FRA's notification of quiet
zone approval, if the violation rate for these two calendar quarters
does not exceed the violation rate that was used to determine the
effectiveness rate that was approved by FRA, the public authority
can cease violation rate monitoring.
[[Page 47652]]
7. In the event that the violation rate over either of the next
two calendar quarters are greater than the violation rate used to
determine the effectiveness rate that was approved by FRA, the
public authority may continue the quiet zone for a third calendar
quarter. However, if the third calendar quarter violation rate is
also greater than the rate used to determine the effectiveness rate
that was approved by FRA, a new effectiveness rate must be
calculated and the Quiet Zone Risk Index re-calculated using the new
effectiveness rate. If the new Quiet Zone Risk Index exceeds the
Risk Index With Horns and the Nationwide Significant Risk Threshold,
the procedures for dealing with unacceptable effectiveness after
establishment of a quiet zone should be followed.
Appendix C to Part 222--Guide to Establishing Quiet Zones
Introduction
This Guide to Establishing Quiet Zones (Guide) is divided into
five sections in order to address the variety of methods and
conditions that affect the establishment of quiet zones under this rule.
Section I of the Guide provides an overview of the different
ways in which a quiet zone may be established under this rule. This
includes a brief discussion on the safety thresholds that must be
attained in order for train horns to be silenced and the relative
merits of each. It also includes the two general methods that may be
used to reduce risk in the proposed quiet zone, and the different
impacts that the methods have on the quiet zone implementation
process. This section also discusses Partial (e.g. night time only
quiet zones) and Intermediate Quiet Zones. An Intermediate Quiet
Zone is one where horn restrictions were in place after October 9,
1996, but as of December 18, 2003.
Section II of the Guide provides information on establishing New
Quiet Zones. A New Quiet Zone is one at which train horns are
currently being sounded at crossings. The Public Authority
Designation and Public Authority Application to FRA methods will be
discussed in depth.
Section III of the Guide provides information on establishing
Pre-Rule Quiet Zones. A Pre-Rule Quiet Zone is one where train horns
were not routinely sounded as of October 9, 1996 and December 18,
2003. The differences between New and Pre-Rule Quiet Zones will be
explained. Public Authority Designation and Public Authority
Application to FRA methods also apply to Pre-Rule Quiet Zones.
Section IV of the Guide deals with the required notifications
that must be provided by public authorities when establishing both
New and continuing Pre-Rule or Intermediate Quiet Zones.
Section V of the Guide provides examples of quiet zone implementation.
Section I--Overview
In order for a quiet zone to be qualified under this rule, it
must be shown that the lack of the train horn does not present a
significant risk with respect to loss of life or serious personal
injury, or that the significant risk has been compensated for by
other means. The rule provides four basic ways in which a quiet zone
may be established. Creation of both New Quiet Zones and Pre-Rule
Quiet Zones are based on the same general guidelines; however, there
are a number of differences that will be noted in the discussion on
Pre-Rule Quiet Zones.
A. Qualifying Conditions
(1) One of the following four conditions or scenarios must be
met in order to show that the lack of the train horn does not
present a significant risk, or that the significant risk has been
compensated for by other means:
a. One or more SSMs as identified in appendix A are installed at
each public crossing in the quiet zone; or
b. The Quiet Zone Risk Index is equal to, or less than, the
Nationwide Significant Risk Threshold without implementation of
additional safety measures at any crossings in the quiet zone; or
c. Additional safety measures are implemented at selected
crossings resulting in the Quiet Zone Risk Index being reduced to a
level equal to, or less than, the Nationwide Significant Risk Threshold; or
d. Additional safety measures are taken at selected crossings
resulting in the Quiet Zone Risk Index being reduced to at least the
level of the Risk Index With Horns (that is, the risk that would
exist if train horns were sounded at every public crossing in the
quiet zone).
(2) It is important to consider the implications of each
approach before deciding which one to use. If a quiet zone is
qualified based on reference to the Nationwide Significant Risk
Threshold (i.e. the Quiet Zone Risk Index is equal to, or less than,
the Nationwide Significant Risk Threshold--see the second and third
scenarios above), then an annual review will be done by FRA to
determine if the Quiet Zone Risk Index remains equal to, or less
than, the Nationwide Significant Risk Threshold. Since the
Nationwide Significant Risk Threshold and the Quiet Zone Risk Index
may change from year to year, there is no guarantee that the quiet
zone will remain qualified. The circumstances that cause the
disqualification may not be subject to the control of the public
authority. For example, an overall national improvement in safety at
gated crossings may cause the Nationwide Significant Risk Threshold
to fall. This may cause the Quiet Zone Risk Index to become greater
than the Nationwide Significant Risk Threshold. If the quiet zone is
no longer qualified, then the public authority will have to take
additional measures, and may incur additional costs that might not
have been budgeted, to once again lower the Quiet Zone Risk Index to
at least the Nationwide Significant Risk Threshold in order to
retain the quiet zone. Therefore, while the initial cost to
implement a quiet zone under the second or third scenario may be
lower than the other options, these scenarios also carry a degree of
uncertainty about the quiet zone's continued existence.
(3) The use of the first or fourth scenarios reduces the risk
level to at least the level that would exist if train horns were
sounding in the quiet zone. These methods may have higher initial
costs because more safety measures may be necessary in order to
achieve the needed risk reduction. Despite the possibility of
greater initial costs, there are several benefits to these methods.
The installation of SSMs at every crossing will provide the greatest
safety benefit of any of the methods that may be used to initiate a
quiet zone. With both of these methods (first and fourth scenarios),
the public authority will never need to be concerned about the
Nationwide Significant Risk Threshold, annual reviews of the Quiet
Zone Risk Index, or failing to be qualified because the Quiet Zone
Risk Index is higher than the Nationwide Significant Risk Threshold.
Public authorities are strongly encouraged to carefully consider
both the pros and cons of all of the methods and to choose the
method that will best meet the needs of its citizens by providing a
safer and quieter community.
(4) For the purposes of this Guide, the term ``Risk Index with
Horns'' is used to represent the level of risk that would exist if
train horns were sounded at every public crossing in the proposed
quiet zone. If a public authority decides that it would like to
fully compensate for the lack of a train horn and not install SSMs
at each public crossing in the quiet zone, it must reduce the Quiet
Zone Risk Index to a level that is equal to, or less than, the Risk
Index with Horns. The Risk Index with Horns is similar to the
Nationwide Significant Risk Threshold in that both are targets that
must be reached in order to establish a quiet zone under the rule.
Quiet zones that are established by reducing the Quiet Zone Risk
Index to at least the level of the Nationwide Significant Risk
Threshold will be reviewed annually by FRA to determine if they
still qualify under the rule to retain the quiet zone. Quiet zones
that are established by reducing the Quiet Zone Risk Index to at
least the level of the Risk Index with Horns will not be subject to
annual reviews.
(5) The use of FRA's web-based Quiet Zone Calculator is recommended
to aid in the decision making process (http://www.fra.dot.gov/
us/content/1337). The Quiet Zone Calculator will
allow the public authority to consider a variety of options in
determining which SSMs make the most sense. It will also perform the
necessary calculations used to determine the existing risk level and
whether enough risk has been mitigated in order to create a quiet
zone under this rule.
B. Risk Reduction Methods
FRA has established two general methods to reduce risk in order
to have a quiet zone qualify under this rule. The method chosen
impacts the manner in which the quiet zone is implemented.
1. Public Authority Designation (SSMs)--The Public Authority
Designation method (Sec. 222.39(a)) involves the use of SSMs (see
appendix A) at some or all crossings within the quiet zone. The use
of only SSMs to reduce risk will allow a public authority to
designate a quiet zone without approval from FRA. If the public
authority installs SSMs at every crossing within the quiet zone, it
need not demonstrate that they will reduce the risk sufficiently in
order to qualify under the rule since FRA has already assessed the
ability of
[[Page 47653]]
the SSMs to reduce risk. In other words, the Quiet Zone Calculator
does not need to be used. However, if only SSMs are installed within
the quiet zone, but not at every crossing, the public authority must
calculate that sufficient risk reduction will be accomplished by the
SSMs. Once the improvements are made, the public authority must make
the required notifications (which includes a copy of the report
generated by the Quiet Zone Calculator showing that the risk in the
quiet zone has been sufficiently reduced), and the quiet zone may be
implemented. FRA does not need to approve the plan as it has already
assessed the ability of the SSMs to reduce risk.
2. Public Authority Application to FRA (ASMs)--The Public
Authority Application to FRA method (Sec. 222.39(b)) involves the
use ASMs (see appendix B). ASMs include modified SSMs that do not
fully comply with the provisions found in appendix A (e.g., shorter
than required traffic channelization devices), non-engineering ASMs
(e.g., programmed law enforcement), and engineering ASMs (i.e.,
engineering improvements other than modified SSMs). If the use of
ASMs (or a combination of ASMs and SSMs) is elected to reduce risk,
then the public authority must provide a Notice of Intent and then
apply to FRA for approval of the quiet zone. The application must
contain sufficient data and analysis to confirm that the proposed
ASMs do indeed provide the necessary risk reduction. FRA will review
the application and will issue a formal approval if it determines
that risk is reduced to a level that is necessary in order to comply
with the rule. Once FRA approval has been received and the safety
measures fully implemented, the public authority would then provide
a Notice of Quiet Zone Establishment and the quiet zone may be
implemented. The use of non-engineering ASMs will require continued
monitoring and analysis throughout the existence of the quiet zone
to ensure that risk continues to be reduced.
3. Calculating Risk Reduction--The following should be noted
when calculating risk reductions in association with the
establishment of a quiet zone. This information pertains to both New
Quiet Zones and Pre-Rule Quiet Zones and to the Public Authority
Designation and Public Authority Application to FRA methods.
Crossing closures: If any public crossing within the quiet zone
is proposed to be closed, include that crossing when calculating the
Risk Index with Horns. The effectiveness of a closure is 1.0.
However, be sure to increase the traffic counts at other crossings
within the quiet zone and recalculate the risk indices for those
crossings that will handle the traffic diverted from the closed
crossing. It should be noted that crossing closures that are already
in existence are not considered in the risk calculations.
Example: A proposed New Quiet Zone contains four crossings: A,
B, C and D streets. A, B and D streets are equipped with flashing
lights and gates. C Street is a passive crossbuck crossing with a
traffic count of 400 vehicles per day. It is decided that C Street
will be closed as part of the project. Compute the risk indices for
all four streets. The calculation for C Street will utilize flashing
lights and gates as the warning device. Calculate the Crossing
Corridor Risk Index by averaging the risk indices for all four of
the crossings. This value will also be the Risk Index with Horns
since train horns are currently being sounded. To calculate the
Quiet Zone Risk Index, first re-calculate the risk indices for B and
D streets by increasing the traffic count for each crossing by 200.
(Assume for this example that the public authority decided that the
traffic from C Street would be equally divided between B and D
streets.) Increase the risk indices for A, B and D streets by 66.8%
and divide the sum of the three remaining crossings by four. This is
the initial Quiet Zone Risk Index and accounts for the risk
reduction caused by closing C Street.
Grade Separation: Grade separated crossings that were in
existence before the creation of a quiet zone are not included in
any of the calculations. However, any public crossings within the
quiet zone that are proposed to be treated by grade separation
should be treated in the same manner as crossing closures. Highway
traffic that may be diverted from other crossings within the quiet
zone to the new grade separated crossing should be considered when
computing the Quiet Zone Risk Index.
Example: A proposed New Quiet Zone contains four crossings: A,
B, C and D streets. All streets are equipped with flashing lights
and gates. C Street is a busy crossing with a traffic count of
25,000 vehicles per day. It is decided that C Street will be grade
separated as part of the project and the existing at-grade crossing
closed. Compute the risk indices for all four streets. Calculate the
Crossing Corridor Risk Index, which will also be the Risk Index with
Horns, by averaging the risk indices for all four of the crossings.
To calculate the Quiet Zone Risk Index, first re-calculate the risk
indices for B and D streets by decreasing the traffic count for each
crossing by 1,200. (The public authority decided that 2,400
motorists will decide to use the grade separation at C Street in
order to avoid possible delays caused by passing trains.) Increase
the risk indices for A, B and D streets by 66.8% and divide the sum
of the three remaining crossings by four. This is the initial Quiet
Zone Risk Index and accounts for the risk reduction caused by the
grade separation at C Street.
Pre-Existing SSMs: Risk reduction credit may be taken by a
public authority for a SSM that was previously implemented and is
currently in place in the quiet zone. If an existing improvement
meets the criteria for a SSM as provided in appendix A, the
improvement is deemed a Pre-Existing SSM. Risk reduction credit is
obtained by inflating the Risk Index With Horns to show what the
risk would have been at the crossing if the pre-existing SSM had not
been implemented. Crossing closures and grade separations that
occurred prior to the implementation of the quiet zone are not Pre-
Existing SSMs and do not receive any risk reduction credit.
Example 1--A proposed New Quiet Zone has one crossing that is
equipped with flashing lights and gates and has medians 100 feet in
length on both sides of the crossing. The medians conform to the
requirements in appendix A and qualify as a Pre-Existing SSM. The
risk index as calculated for the crossing is 10,000. To calculate
the Risk Index With Horns for this crossing, you divide the risk
index by difference between one and the effectiveness rate of the
pre-existing SSM (10,000 / (1-0.75) = 40,000). This value (40,000)
would then be averaged in with the risk indices of the other
crossings to determine the proposed quiet zone's Risk Index With
Horns. To calculate the Quiet Zone Risk Index, the original risk
index is increased by 66.8% to account for the additional risk
attributed to the absence of the train horn (10,000 x 1.668 =
16,680). This value (16,680) is then averaged into the risk indices
of the other crossings that have also been increased by 66.8%. The
resulting average is the Quiet Zone Risk Index.
Example 2--A Pre-Rule Quiet Zone consisting of four crossings
has one crossing that is equipped with flashing lights and gates and
has medians 100 feet in length on both sides of the crossing. The
medians conform to the requirements in appendix A and qualify as a
Pre-Existing SSM. The risk index as calculated for the crossing is
20,000. To calculate the Risk Index With Horns for this crossing,
first reduce the risk index by 40 percent to reflect the risk
reduction that would be achieved if train horns were routinely
sounded (20,000 x 0.6 = 12,000). Next, divide the resulting risk
index by difference between one and the effectiveness rate of the
pre-existing SSM (12,000 / (1 - 0.75) = 48,000). This value (48,000)
would then be averaged with the adjusted risk indices of the other
crossings to determine the pre-rule quiet zone's Risk Index With
Horns. To calculate the Quiet Zone Risk Index, the original risk
index (20,000) is then averaged into the risk original indices of
the other crossings. The resulting average is the Quiet Zone Risk Index.
Pre-Existing Modified SSMs: Risk reduction credit may be taken
by a public authority for a modified SSM that was previously
implemented and is currently in place in the quiet zone. Modified
SSMs are Alternative Safety Measures which must be approved by FRA.
If an existing improvement is approved by FRA as a modified SSM as
provided in appendix B, the improvement is deemed a Pre-Existing
Modified SSM. Risk reduction credit is obtained by inflating the
Risk Index With Horns to show what the risk would have been at the
crossing if the pre-existing SSM had not been implemented. The
effectiveness rate of the modified SSM will be determined by FRA.
The public authority may provide information to FRA to be used in
determining the effectiveness rate of the modified SSM. Once an
effectiveness rate has been determined, follow the procedure
previously discussed for Pre-Existing SSMs to determine the risk
values that will be used in the quiet zone calculations.
Wayside Horns: Crossings with wayside horn installations will be
treated as a one for one substitute for the train horn and are not
to be included when calculating the Crossing Corridor Risk Index,
the Risk Index with Horns or the Quiet Zone Risk Index.
Example--A proposed New Quiet Zone contains four crossings: A,
B, C and D streets. All streets are equipped with flashing lights
[[Page 47654]]
and gates. It is decided that C Street will have a wayside horn
installed. Compute the risk indices for A, B and D streets. Since C
Street is being treated with a wayside horn, it is not included in
the calculation of risk. Calculate the Crossing Corridor Risk Index
by averaging the risk indices for A, B and D streets. This value is
also the Risk Index with Horns. Increase the risk indices for A, B
and D streets by 66.8% and average the results. This is the initial
Quiet Zone Risk Index for the proposed quiet zone.
C. Partial Quiet Zones
A Partial Quiet Zone is a quiet zone in which locomotive horns
are not routinely sounded at public crossings for a specified period
of time each day. For example, a quiet zone during only the
nighttime hours would be a partial quiet zone. Partial quiet zones
may be either New or Pre-Rule and follow the same rules as 24 hour
quiet zones. New Partial Quiet Zones must be in effect during the
hours of 10 p.m. to 7 a.m. All New Partial Quiet Zones must comply
with all of the requirements for New Quiet Zones. For example, all
public grade crossings that are open during the time that horns are
silenced must be equipped with flashing lights and gates that are
equipped with constant warning time (where practical) and power out
indicators. Risk is calculated in exactly the same manner as for New
Quiet Zones. The Quiet Zone Risk Index is calculated for the entire
24-hour period, even though the train horn will only be silenced
during the hours of 10 p.m. to 7 a.m.
A Pre-Rule Partial Quiet Zone is a partial quiet zone at which
train horns were not sounding as of October 9, 1996 and on December
18, 2003. All of the regulations that pertain to Pre-Rule Quiet
Zones also pertain to Pre-Rule Partial Quiet Zones. The Quiet Zone
Risk Index is calculated for the entire 24-hour period for Pre-Rule
Partial Quiet Zones, even though train horns are only silenced
during the nighttime hours. Pre-Rule Partial Quiet Zones may qualify
for automatic approval in the same manner as Pre-Rule Quiet Zones
with one exception. If the Quiet Zone Risk Index is less than twice
the National Significant Risk Threshold, and there have been no
relevant collisions during the time period when train horns are
silenced, then the Pre-Rule Partial Quiet Zone is automatically
qualified. In other words, a relevant collision that occurred during
the period of time that train horns were sounded will not disqualify
a Pre-Rule Partial Quiet Zone that has a Quiet Zone Risk Index that
is less than twice the National Significant Risk Index. Pre-Rule
Partial Quiet Zones must provide the notification as required in
Sec. 222.43 in order to keep train horns silenced. A Pre-Rule
Partial Quiet Zone may be converted to a 24 hour New Quiet Zone by
complying with all of the New Quiet Zone regulations.
D. Intermediate Quiet Zones
An Intermediate Quiet Zone is one where horn restrictions were
in place after October 9, 1996, but as of December 18, 2003 (the
publication date of the Interim Final Rule). Intermediate Quiet
Zones and Intermediate Partial Quiet Zones will be able to keep
train horns silenced until June 24, 2006, provided notification is
made per Sec. 222.43. This will enable public authority to have
additional time to make the improvement necessary to come into
compliance with the rule. Intermediate Quiet Zones must conform to
all the requirements for New Quiet Zones by June 24, 2006. Other
than having the horn silenced for an additional year, Intermediate
Quiet Zones are treated exactly like New Quiet Zones.
Section II--New Quiet Zones
FRA has established several approaches that may be taken in
order to establish a New Quiet Zone under this rule. Please see the
preceding discussions on ``Qualifying Conditions'' and ``Risk
Reduction Methods'' to assist in the decision-making process on
which approach to take. This following discussion provides the steps
necessary to establish New Quiet Zones and includes both the Public
Authority Designation and Public Authority Application to FRA
methods. It must be remembered that in a New Quiet Zone all public
crossings must be equipped with flashing lights and gates. The
requirements are the same regardless of whether a 24-hour or partial
quiet zone is being created.
A. Requirements for Both Public Authority Designation and Public
Authority Application
The following steps are necessary when establishing a New Quiet
Zone. This information pertains to both the Public Authority
Designation and Public Authority Application to FRA methods.
1. The public authority must provide a written Notice of Intent
(Sec. 222.43(a)(1) and Sec. 222.43(b)) to the railroads that
operate over the proposed quiet zone, the State agency responsible
for highway and road safety and the State agency responsible for
grade crossing safety. The purpose of this Notice of Intent is to
provide an opportunity for the railroads and the State agencies to
provide comments and recommendations to the public authority as it
is planning the quiet zone. They will have 60 days to provide these
comments to the public authority. The quiet zone cannot be created
unless the Notice of Intent has been provided. FRA encourages public
authorities to provide the required Notice of Intent early in the
quiet zone development process. The railroads and State agencies can
provide an expertise that very well may not be present within the
public authority. FRA believes that it will be very useful to
include these organizations in the planning process. For example,
including railroads and State agencies in the inspections of the
crossing will help ensure accurate Inventory information for the
crossings. The railroad can provide information on whether the
flashing lights and gates are equipped with constant warning time
and power out indicators. Pedestrian crossings and private crossings
with public access, industrial or commercial use that are within the
quiet zone must have a diagnostic team review and be treated
according to the team's recommendations. Railroads and the State
agency responsible for grade crossing safety must be invited to the
diagnostic team review. Note: Please see Section IV for details on
the requirements of a Notice of Intent.
2. Determine all public, private and pedestrian at-grade
crossings that will be included within the quiet zone. Also,
determine any existing grade-separated crossings that fall within
the quiet zone. Each crossing must be identified by the U.S. DOT
Crossing Inventory number and street or highway name. If a crossing
does not have a U.S. DOT Crossing Inventory number, then contact
FRA's Office of Safety (202-493-6299) for assistance.
3. Ensure that the quiet zone will be at least one-half mile in
length. (Sec. 222.35(a)(1)) If more than one New Quiet Zone or New
Partial Quiet Zone will be created within a single political
jurisdiction, ensure that each New Quiet Zone or New Partial Quiet
Zone will be separated by at least one public highway-rail grade
crossing. (Sec. 222.35(a)(1)(iii))
4. A complete and accurate Grade Crossing Inventory Form must be
on file with FRA for all crossings (public, private and pedestrian)
within the quiet zone. An inspection of each crossing in the
proposed quiet zone should be performed and the Grade Crossing
Inventory Forms updated, as necessary, to reflect the current
conditions at each crossing.
5. Every public crossing within the quiet zone must be equipped
with active warning devices comprising both flashing lights and
gates. The warning devices must be equipped with power out
indicators. Constant warning time circuitry is also required unless
existing conditions would prevent the proper operation of the
constant warning time circuitry. FRA recommends that these automatic
warning devices also be equipped with at least one bell to provide
an audible warning to pedestrians. If the warning devices are
already equipped with a bell (or bells), the bells may not be
removed or deactivated. The plans for the quiet zone may be made
assuming that flashing lights and gates are at all public crossings;
however the quiet zone may not be implemented until all public
crossings are actually equipped with the flashing lights and gates.
(Sec. Sec. 222.35(b)(1) and 222.35(b)(2))
6. Private crossings must have cross-bucks and ``STOP'' signs on
both approaches to the crossing. Private crossings with public
access, industrial or commercial use must have a diagnostic team
review and be treated according to the team's recommendations. The
public authority must invite the State agency responsible for grade
crossing safety and all affected railroads to participate in the
diagnostic review. (Sec. Sec. 222.25(b) and (c))
7. Each highway approach to every public and private crossing
must have an advance warning sign (in accordance with the MUTCD)
that advises motorists that train horns are not sounded at the
crossing, unless the public or private crossing is equipped with a
wayside horn. (Sec. 222.35(c))
8. Each pedestrian crossing must be reviewed by a diagnostic
team and equipped or treated in accordance with the recommendation
of the diagnostic team. The public authority must invite the State
agency responsible for grade crossing safety and all
[[Page 47655]]
affected railroads to participate in the diagnostic review. At a
minimum, each approach to every pedestrian crossing must be equipped
with a sign that conforms to the MUTCD and advises pedestrians that
train horns are not sounded at the crossing. (Sec. 222.27)
B. New Quiet Zones--Public Authority Designation
Once again it should be remembered that all public crossings
must be equipped with automatic warning devices consisting of
flashing lights and gates in accordance with Sec. 222.35(b). In
addition, one of the following conditions must be met in order for a
public authority to designate a new quiet zone without FRA approval:
a. One or more SSMs as identified in appendix A are installed at
each public crossing in the quiet zone (Sec. 222.39(a)(1)); or
b. The Quiet Zone Risk Index is equal to, or less than, the
Nationwide Significant Risk Threshold without SSMs installed at any
crossings in the quiet zone (Sec. 222.39(a)(2)(i)); or
c. SSMs are installed at selected crossings, resulting in the
Quiet Zone Risk Index being reduced to a level equal to, or less than, the
Nationwide Significant Risk Threshold (Sec. 222.39(a)(2)(ii)); or
d. SSMs are installed at selected crossings, resulting in the
Quiet Zone Risk Index being reduced to a level of risk that would
exist if the horn were sounded at every crossing in the quiet zone
(i.e., the Risk Index with Horns) (Sec. 222.39(a)(3)).
Steps necessary to establish a New Quiet Zone using the Public
Authority Application to FRA method:
1. If one or more SSMs as identified in appendix A are installed
at each public crossing in the quiet zone, the requirements for a
public authority designation quiet zone will have been met. It is
not necessary for the same SSM to be used at each crossing. However,
before any improvements are implemented, the public authority must
provide a Notice of Intent, which will trigger a 60-day comment
period. During the 60-day comment period, railroads operating within
the proposed quiet zone and State agencies responsible for grade
crossing, highway and road safety may submit comments on the
proposed quiet zone improvements to the public authority. Once the
necessary improvements have been installed, Notice of Quiet Zone
Establishment shall be provided and the quiet zone implemented in
accordance with the rule. If SSMs are not installed at each public
crossing, proceed on to Step 2 and use the risk reduction method.
2. To begin, calculate the risk index for each public crossing
within the quiet zone (See appendix D. FRA's web-based Quiet Zone
Calculator may be used to do this calculation). If flashing lights
and gates have to be installed at any public crossings, calculate
the risk indices for such crossings as if lights and gates were
installed. (Note: Flashing lights and gates must be installed prior
to initiation of the quiet zone.) If the Inventory record does not
reflect the actual conditions at the crossing, be sure to use the
conditions that currently exist when calculating the risk index.
Note: Private crossings and pedestrian crossings are not included
when computing the risk for the proposed quiet zone.
3. The Crossing Corridor Risk Index is then calculated by
averaging the risk index for each public crossing within the
proposed quiet zone. Since train horns are routinely being sounded
for crossings in the proposed quiet zone, this value is also the
Risk Index with Horns.
4. In order to calculate the initial Quiet Zone Risk Index,
first adjust the risk index at each public crossing to account for
the increased risk due to the absence of the train horn. The absence
of the horn is reflected by an increased risk index of 66.8% at
gated crossings. The initial Quiet Zone Risk Index is then
calculated by averaging the increased risk index for each public
crossing within the proposed quiet zone. At this point the Quiet
Zone Risk Index will equal the Risk Index with Horns multiplied by 1.668.
5. Compare the Quiet Zone Risk Index to the Nationwide
Significant Risk Threshold. If the Quiet Zone Risk Index is equal
to, or less than, the Nationwide Significant Risk Threshold, then
the public authority may decide to designate a quiet zone and
provide the Notice of Intent, followed by the Notice of Quiet Zone
Establishment. With this approach, FRA will annually recalculate the
Nationwide Significant Risk Threshold and the Quiet Zone Risk Index.
If the Quiet Zone Risk Index for the quiet zone rises above the
Nationwide Significant Risk Threshold, FRA will notify the Public
Authority so that appropriate measures can be taken. (See Sec. 222.51(a)).
6. If the Quiet Zone Risk Index is greater than the Nationwide
Significant Risk Threshold, then select an appropriate SSM for a
crossing. Reduce the inflated risk index calculated in Step 4 for
that crossing by the effectiveness rate of the chosen SSM. (See
appendix A for the effectiveness rates for the various SSMs).
Recalculate the Quiet Zone Risk Index by averaging the revised
inflated risk index with the inflated risk indices for the other
public crossings. If this new Quiet Zone Risk Index is equal to, or
less than, the Nationwide Significant Risk Threshold, the quiet zone
would qualify for public authority designation. If the Quiet Zone
Risk Index is still higher than the Nationwide Significant Risk
Threshold, treat another public crossing with an appropriate SSM and
repeat the process until the Quiet Zone Risk Index is equal to, or
less than, the Nationwide Significant Risk Threshold. Once this
result is obtained, the quiet zone will qualify for establishment by
public authority designation. Early in the quiet zone development
process, a Notice of Intent should be provided by the public
authority, which will trigger a 60-day comment period. During this
60-day comment period, railroads operating within the proposed quiet
zone and State agencies responsible for grade crossing, highway and
road safety may provide comments on the proposed quiet zone
improvements described in the Notice of Intent. Once all the
necessary safety improvements have been implemented, Notice of Quiet
Zone Establishment must be provided. With this approach, FRA will
annually recalculate the Nationwide Significant Risk Threshold and
the Quiet Zone Risk Index. If the Quiet Zone Risk Index for the
quiet zone rises above the Nationwide Significant Risk Threshold,
FRA will notify the public authority so that appropriate measures
can be taken. (See Sec. 222.51(a)).
7. If the public authority wishes to reduce the risk of the
quiet zone to the level of risk that would exist if the horn were
sounded at every crossing within the quiet zone, the public
authority should calculate the initial Quiet Zone Risk Index as in
Step 4. The objective is to now reduce the Quiet Zone Risk Index to
the level of the Risk Index with Horns by adding SSMs at the
crossings. The difference between the Quiet Zone Risk Index and the
Risk Index with Horns is the amount of risk that will have to be
reduced in order to fully compensate for lack of the train horn. The
use of the Quiet Zone Calculator will aid in determining which SSMs
may be used to reduce the risk sufficiently. Follow the procedure
stated in Step 6, except that the Quiet Zone Risk Index must be
equal to, or less than, the Risk Index with Horns instead of the
Nationwide Significant Risk Threshold. Once this risk level is
attained, the quiet zone will qualify for establishment by public
authority designation. Early in the quiet zone development process,
a Notice of Intent should be provided by the public authority, which
will trigger a 60-day comment period. During this 60-day comment
period, railroads operating within the proposed quiet zone and State
agencies responsible for grade crossing, highway and road safety may
provide comments on the proposed quiet zone improvements described
in the Notice of Intent. Once all the necessary safety improvements
have been implemented, Notice of Quiet Zone Establishment must be
provided. One important distinction with this option is that the
public authority will never need to be concerned with the Nationwide
Significant Risk Threshold or the Quiet Zone Risk Index. The rule's
intent is to make the quiet zone as safe as if the train horns were
sounding. If this is accomplished, the public authority may
designate the crossings as a quiet zone and need not be concerned
with possible fluctuations in the Nationwide Significant Risk
Threshold or annual risk reviews.
C. New Quiet Zones--Public Authority Application to FRA
A public authority must apply to FRA for approval of a quiet
zone under three conditions. First, if any of the SSMs selected for
the quiet zone do not fully conform to the design standards set
forth in appendix A. These are referred to as modified SSMs in
appendix B. Second, when programmed law enforcement, public
education and awareness programs, or photo enforcement is used to
reduce risk in the quiet zone, these are referred to as non-
engineering ASMs in appendix B. It should be remembered that non-
engineering ASMs will require periodic monitoring as long as the
quiet zone is in existence. Third, when engineering ASMs are used to
reduce risk. Please see appendix B for detailed explanations of ASMs
and the periodic monitoring of non-engineering ASMs.
[[Page 47656]]
The public authority is strongly encouraged to submit the
application to FRA for review and comment before the appendix B
treatments are initiated. This will enable FRA to provide comments
on the proposed ASMs to help guide the application process. If non-
engineering ASMs or engineering ASMs are proposed, the public
authority also may wish to confirm with FRA that the methodology it
plans to use to determine the effectiveness rates of the proposed
ASMs is appropriate. A quiet zone that utilizes a combination of
SSMs from appendix A and ASMs from appendix B must make a Public
Authority Application to FRA. A complete and thoroughly documented
application will help to expedite the approval process.
The following discussion is meant to provide guidance on the
steps necessary to establish a new quiet zone using the Public
Authority Application to FRA method. Once again it should be
remembered that all public crossings must be equipped with automatic
warning devices consisting of flashing lights and gates in
accordance with Sec. 222.35(b).
1. Gather the information previously mentioned in the section on
``Requirements for both Public Authority Designation and Public
Authority Application.''
2. Calculate the risk index for each public crossing as directed
in Step 2--Public Authority Designation.
3. Calculate the Crossing Corridor Risk Index, which is also the
Risk Index with Horns, as directed in Step 3--Public Authority Designation.
4. Calculate the initial Quiet Zone Risk Index as directed in
Step 4--Public Authority Designation.
5. Begin to reduce the Quiet Zone Risk Index through the use of
ASMs and SSMs. Follow the procedure provided in Step 6--Public
Authority Designation until the Quiet Zone Risk Index has been
reduced to equal to, or less than, either the Nationwide Significant
Risk Threshold or the Risk Index with Horns. (Remember that the
public authority may choose which level of risk reduction is the
most appropriate for its community.) Effectiveness rates for ASMs
should be provided as follows:
a. Modified SSMs--Estimates of effectiveness for modified SSMs
may be based upon adjustments from the effectiveness rates provided
in appendix A or from actual field data derived from the crossing
sites. The application must provide an estimated effectiveness rate
and the rationale for the estimate.
b. Non-engineering ASMs--Effectiveness rates are to be
calculated in accordance with the provisions of appendix B, paragraph II B.
c. Engineering ASMs--Effectiveness rates are to be calculated in
accordance with the provisions of appendix B, paragraph III B.
6. Once it has been determined through analysis that the Quiet
Zone Risk Index will be reduced to a level equal to, or less than,
either the Nationwide Significant Risk Threshold or the Risk Index
with Horns, the public authority must provide a Notice of Intent.
The mailing of the Notice of Intent will trigger a 60-day comment
period, during which railroads operating within the proposed quiet
zone and State agencies responsible for grade crossing, highway and
road safety may provide comments on the proposed quiet zone
improvements. After reviewing any comments received, the public
authority may make application to FRA for a quiet zone under Sec.
222.39(b). FRA will review the application to determine the
appropriateness of the proposed effectiveness rates, and whether or
not the proposed application demonstrates that the quiet zone meets
the requirements of the rule. When submitting the application to FRA for
approval, the application must contain the following (Sec. 222.39(b)(1)):
a. Sufficient detail concerning the present safety measures at
all crossings within the proposed quiet zone. This includes current
and accurate crossing inventory forms for each public, private, and
pedestrian grade crossing.
b. Detailed information on the safety improvements that are
proposed to be implemented at public, private and pedestrian grade
crossings within the proposed quiet zone.
c. Membership and recommendations of the diagnostic team (if
any) that reviewed the proposed quiet zone.
d. Statement of efforts taken to address comments submitted by
affected railroads, the State agency responsible for grade crossing
safety, and the State agency responsible for highway and road
safety, including a list of any objections raised by the railroads
or State agencies.
e. A commitment to implement the proposed safety measures.
f. Demonstrate through data and analysis that the proposed
measures will reduce the Quiet Zone Risk Index to a level equal to,
or less than, either the Nationwide Significant Risk Threshold or
the Risk Index with Horns.
g. A copy of the application must be provided to: All railroads
operating over the public highway-rail grade crossings within the
quiet zone; the highway or traffic control or law enforcement
authority having jurisdiction over vehicular traffic at grade
crossings within the quiet zone; the landowner having control over
any private crossings within the quiet zone; the State agency
responsible for highway and road safety; the State agency
responsible for grade crossing safety; and the Associate
Administrator. (Sec. 222.39(b)(3))
7. Upon receiving written approval from FRA of the quiet zone
application, the public authority may then provide the Notice of
Quiet Zone Establishment and implement the quiet zone. If the quiet
zone is qualified by reducing the Quiet Zone Risk Index to a level
at, or below, the Nationwide Significant Risk Threshold, FRA will
annually recalculate the Nationwide Significant Risk Threshold and
the Quiet Zone Risk Index. If the Quiet Zone Risk Index for the
quiet zone rises above the Nationwide Significant Risk Threshold,
FRA will notify the public authority so that appropriate measures
can be taken. (See Sec. 222.51(a))
Note: The provisions stated above for crossing closures, grade
separations, wayside horns, pre-existing SSMs and pre-existing
modified SSMs apply for Public Authority Application to FRA as well.
Section III--Pre-Rule Quiet Zones
Pre-Rule Quiet Zones are treated slightly differently from New
Quiet Zones in the rule. This is a reflection of the statutory
requirement to ``take into account the interest of communities that
have in effect restrictions on the sounding of a locomotive horn at
highway-rail grade crossings. * * *'' (49 U.S.C. 20153(i)) It also
recognizes the historical experience of train horns not being
sounded at Pre-Rule Quiet Zones.
Overview
Pre-Rule Quiet Zones that are not established by automatic
approval (see discussion that follows) must meet the same
requirements as New Quiet Zones as provided in Sec. 222.39. In
other words, risk must be reduced through the use of SSMs or ASMs so
that the Quiet Zone Risk Index for the quiet zone has been reduced
to either the risk level which would exist if locomotive horns
sounded at all crossings in the quiet zone (i.e. the Risk Index with
Horns) or to a risk level equal to, or less than, the Nationwide
Significant Risk Threshold. There are four differences in the
requirements between Pre-Rule Quiet Zones and New Quiet Zones that
must be noted.
(1) First, since train horns have not been routinely sounded in
the Pre-Rule Quiet Zone, it is not necessary to increase the risk
indices of the public crossings to reflect the additional risk
caused by the lack of a train horn. Since the train horn has already
been silenced, the added risk caused by the lack of a horn is
reflected in the actual collision history at the crossings.
Collision history is an important part in the calculation of the
severity risk indices. In other words, the Quiet Zone Risk Index is
calculated by averaging the existing risk index for each public
crossing without the need to increase the risk index by 66.8%. For
Pre-Rule Quiet Zones, the Crossing Corridor Risk Index and the
initial Quiet Zone Risk Index have the same value.
(2) Second, since train horns have been silenced at the
crossings, it will be necessary to mathematically determine what the
risk level would have been at the crossings if train horns had been
routinely sounded. These revised risk levels then will be used to
calculate the Risk Index with Horns. This calculation is necessary
to determine how much risk must be eliminated in order to compensate
for the lack of the train horn. This will allow the public authority
to have the choice to reduce the risk to at least the level of the
Nationwide Significant Risk Threshold or to fully compensate for the
lack of the train horn.
To calculate the Risk Index with Horns, the first step is to
divide the existing severity risk index for each crossing by the
appropriate value as shown in Table 1. This process eliminates the
risk that was caused by the absence of train horns. The table takes
into account that the train horn has been found to produce different
levels of effectiveness in preventing collisions depending on the
type of warning device at the crossing. (Note: FRA's web-based Quiet
Zone Calculator will perform this computation automatically for Pre-
Rule Quiet Zones.) The Risk Index with Horns is the average of the
revised risk
[[Page 47657]]
indices. The difference between the calculated Risk Index with Horns
and the Quiet Zone Risk Index is the amount of risk that would have
to be reduced in order to fully compensate for the lack of train horns.
Table 1.--Risk Index Divisor Values
------------------------------------------------------------------------
Flashing Lights &
Passive lights gates
------------------------------------------------------------------------
U.S................................. 1.749 1.309 1.668
------------------------------------------------------------------------
(3) The third difference is that credit is given for the risk
reduction that is brought about through the upgrading of the warning
devices at public crossings (Sec. 222.35(b)(3)). For New Quiet
Zones, all crossings must be equipped with automatic warning devices
consisting of flashing lights and gates. Crossings without gates
must have gates installed. The severity risk index for that crossing
is then calculated to establish the risk index that is used in the
Risk Index with Horns. The Risk Index with Horns is then increased
by 66.8% to adjust for the lack of the train horn. The adjusted
figure is the initial Quiet Zone Risk Index. There is no credit
received for the risk reduction that is attributable to warning
device upgrades in New Quiet Zones.
For Pre-Rule Quiet Zones, the Risk Index with Horns is
calculated from the initial risk indices which use the warning
devices that are currently installed. If a public authority elects
to upgrade an existing warning device as part of its quiet zone
plan, the accident prediction value for that crossing will be re-
calculated based on the upgraded warning device. (Once again, FRA's
web-based Quiet Zone Calculator can do the actual computation.) The
new accident prediction value is then used in the severity risk
index formula to determine the risk index for the crossing. This
adjusted risk index is then used to compute the new Quiet Zone Risk
Index. This computation allows the risk reduction attributed to the
warning device upgrades to be used in establishing a quiet zone.
(4) The fourth difference is that Pre-Rule Quiet Zones have
different minimum requirements under Sec. 222.35. A Pre-Rule Quiet
Zone may be less than one-half mile in length if that was its length
as of October 9, 1996 (Sec. 222.35(a)(2)). A Pre-Rule Quiet Zone
does not have to have automatic warning devices consisting of
flashing lights and gates at every public crossing (Sec.
222.35(b)(3)). The existing crossing safety warning systems in place
as of December 18, 2003 may be retained but cannot be downgraded. It
also is not necessary for the automatic warning devices to be
equipped with constant warning time devices or power out indicators;
however, when the warning devices are upgraded, constant warning
time and power out indicators will be required if reasonably
practical (Sec. 222.35(b)(3)). Advance warning signs that notify
the motorist that train horns are not sounded do not have to be
installed on each approach to public, private, and pedestrian grade
crossings within the quiet zone until June 24, 2008. (Sec. Sec.
222.27(d) and 222.35(c)) Similarly, STOP signs and crossbucks do not
have to be installed on each approach to private crossings within
the quiet zone until June 24, 2008. (Sec. 222.25(c)).
A. Requirements for Both Public Authority Designation and Public
Authority Application--Pre-Rule Quiet Zones
The following is necessary when establishing a Pre-Rule Quiet
Zone. This information pertains to Automatic Approval, the Public
Authority Designation and Public Authority Application to FRA methods.
1. Determine all public, private and pedestrian at-grade
crossings that will be included within the quiet zone. Also
determine any existing grade separated crossings that fall within
the quiet zone. Each crossing must be identified by the U.S. DOT
Crossing Inventory number and street name. If a crossing does not
have a U.S. DOT crossing number, then contact FRA for assistance.
2. Document the length of the quiet zone. It is not necessary
that the quiet zone be at least one-half mile in length. Pre-Rule
Quiet Zones may be shorter than one-half mile. However, the addition
of a new crossing that is not a part of an existing Pre-Rule Quiet
Zone to a quiet zone nullifies its pre-rule status, and the
resulting New Quiet Zone must be at least one-half mile. The
deletion of a crossing from a Pre-Rule Quiet Zone (except through
closure or grade separation) must result in a quiet zone that is at
least one-half mile in length. It is the intent of the rule to allow
adjacent Pre-Rule Quiet Zones to be combined into one large pre-rule
quiet zone if the respective public authorities desire to do so.
(Sec. 222.35(a)(2))
3. A complete and accurate Grade Crossing Inventory Form must be
on file with FRA for all crossings (public, private and pedestrian)
within the quiet zone. An inspection of each crossing in the
proposed quiet zone should be performed and the Grade Crossing
Inventory Forms updated, as necessary, to reflect the current
conditions at each crossing.
4. Pre-Rule Quiet Zones must retain, and may upgrade, the
existing grade crossing safety warning systems. Unlike New Quiet
Zones, it is not necessary that every public crossing within a Pre-
Rule Quiet Zone be equipped with active warning devices comprising
both flashing lights and gates. Existing warning devices need not be
equipped with power out indicators and constant warning time
circuitry. If warning devices are upgraded to flashing lights, or
flashing lights and gates, the upgraded equipment must include, as
is required for New Quiet Zones, power out indicators and constant
warning time devices (if reasonably practical). (Sec. 222.35(b)(3))
5. By June 24, 2008, private crossings must have cross-bucks and
``STOP'' signs on both approaches to the crossing. (Sec. 222.25(c))
6. By June 24, 2008, each approach to a public, private, and
pedestrian crossing must be equipped with an advance warning sign
that conforms to the MUTCD and advises pedestrians and motorists
that train horns are not sounded at the crossing. (Sec. Sec.
222.27(d), 222.35(c))
7. It will be necessary for the public authority to provide a
Notice of Quiet Zone Continuation in order to prevent the resumption
of locomotive horn sounding when the rule becomes effective. A
detailed discussion of the requirements of Sec. 222.43(c) is
provided in Section IV of this appendix. The Notice of Quiet Zone
Continuation must be provided to the appropriate parties by all Pre-
Rule Quiet Zones that have not established quiet zones by automatic
approval. This should be done no later than June 3, 2005 to ensure
that train horns will not start being sounded on June 24, 2005. A
Pre-Rule Quiet Zone may provide a Notice of Quiet Zone Continuation
before it has determined whether or not it qualifies for automatic
approval. Once it has been determined that the Pre-Rule Quiet Zone
will be established by automatic approval, the Public Authority must
provide the Notice of Quiet Zone Establishment. This must be
accomplished no later than December 24, 2005. If the Pre-Rule Quiet
Zone will not be established by automatic approval, the Notice of
Quiet Zone Continuation will enable the train horns to be silenced until
June 24, 2008. (Please refer to Sec. 222.41(c) for more information.)
B. Pre-Rule Quiet Zones--Automatic Approval
In order for a Pre-Rule Quiet Zone to be established under this
rule (Sec. 222.41(a)), one of the following conditions must be met:
a. One or more SSMs as identified in appendix A are installed at
each public crossing in the quiet zone;
b. The Quiet Zone Risk Index is equal to, or less than, the
Nationwide Significant Risk Threshold;
c. The Quiet Zone Risk Index is above the Nationwide Significant
Risk Threshold but less than twice the Nationwide Significant Risk
Threshold and there have been no relevant collisions at any public
grade crossing within the quiet zone for the preceding five years;
or
d. The Quiet Zone Risk Index is equal to, or less than, the Risk
Index With Horns.
Additionally, the Pre-Rule Quiet Zone must be in compliance with
the minimum requirements for quiet zones (Sec. 222.35) and the
notification requirements in Sec. 222.43.
The following discussion is meant to provide guidance on the
steps necessary to determine if a Pre-Rule Quiet Zone qualifies for
automatic approval.
1. All of the items listed in Requirements for Both Public
Authority Designation and Public Authority Application--Pre-Rule
Quiet Zones previously mentioned are to be accomplished. Remember
that a Pre-Rule Quiet Zone may be less than one-half mile in length
if that was its length as of October 9, 1996. Also, a Pre-Rule Quiet
Zone does not have to have automatic warning devices consisting of
flashing lights and gates at every public crossing.
2. If one or more SSMs as identified in appendix A are installed
at each public crossing in the quiet zone, the quiet zone qualifies
and the public authority may provide the Notice of Quiet Zone
Establishment. If the Pre-Rule Quiet Zone does not qualify by this
step, proceed on to the next step.
3. Calculate the risk index for each public crossing within the
quiet zone (See appendix
[[Page 47658]]
D.) Be sure that the risk index is calculated using the formula
appropriate for the type of warning device that is actually
installed at the crossing. Unlike New Quiet Zones, it is not
necessary to calculate the risk index using flashing lights and
gates as the warning device at every public crossing. (FRA's web-
based Quiet Zone Calculator may be used to simplify the calculation
process). If the Inventory record does not reflect the actual
conditions at the crossing, be sure to use the conditions that
currently exist when calculating the risk index.
4. The Quiet Zone Risk Index is then calculated by averaging the
risk index for each public crossing within the proposed quiet zone.
(Note: The initial Quiet Zone Risk Index and the Crossing Corridor
Risk Index are the same for Pre-Rule Quiet Zones.)
5. Compare the Quiet Zone Risk Index to the Nationwide
Significant Risk Threshold. If the Quiet Zone Risk Index is equal
to, or less than, the Nationwide Significant Risk Threshold, then
the quiet zone qualifies, and the public authority may provide the
Notice of Quiet Zone Establishment. With this approach, FRA will
annually recalculate the Nationwide Significant Risk Threshold and
the Quiet Zone Risk. If the Quiet Zone Risk Index for the quiet zone
is found to be above the Nationwide Significant Risk Threshold, FRA
will notify the public authority so that appropriate measures can be
taken (See Sec. 222.51(b)). If the Pre-Rule Quiet Zone is not
established by this step, proceed on to the next step.
6. If the Quiet Zone Risk Index is above the Nationwide
Significant Risk Threshold but less than twice the Nationwide
Significant Risk Threshold and there have been no relevant
collisions at any public grade crossing within the quiet zone for
the preceding five years, then the quiet zone qualifies for
automatic approval. However, in order to qualify on this basis, the
public authority must provide a Notice of Quiet Zone Establishment
by December 24, 2005. (Note: A relevant collision means a collision
at a highway-rail grade crossing between a train and a motor
vehicle, excluding the following: a collision resulting from an
activation failure of an active grade crossing warning system; a
collision in which there is no driver in the motor vehicle; or a
collision where the highway vehicle struck the side of the train
beyond the fourth locomotive unit or rail car.) With this approach,
FRA will annually recalculate the Nationwide Significant Risk
Threshold and the Quiet Zone Risk. If the Quiet Zone Risk Index for
the quiet zone is above two times the Nationwide Significant Risk
Threshold, or a relevant collision has occurred during the preceding
year, FRA will notify the public authority so that appropriate
measures can be taken (See Sec. 222.51(b)).
If the Pre-Rule Quiet Zone is not established by automatic
approval, continuation of the quiet zone may require implementation
of SSMs or ASMs to reduce the Quiet Zone Risk Index for the quiet
zone to a risk level equal to, or below, either the risk level which
would exist if locomotive horns sounded at all crossings in the
quiet zone (i.e. the Risk Index with Horns) or the Nationwide
Significant Risk Threshold. This is the same methodology used to
create New Quiet Zones with the exception of the four differences
previously noted. A review of the previous discussion on the two
methods used to establish quiet zones may prove helpful in
determining which would be the most beneficial to use for a
particular Pre-Rule Quiet Zone.
C. Pre-Rule Quiet Zones--Public Authority Designation
The following discussion is meant to provide guidance on the
steps necessary to establish a Pre-Rule Quiet Zone using the Public
Authority Designation method.
1. The public authority must provide a Notice of Intent
(Sec. Sec. 222.43(a)(1) and 222.43(b)) to the railroads that
operate within the proposed quiet zone, the State agency responsible
for highway and road safety and the State agency responsible for
grade crossing safety. This notice must be mailed by February 24,
2008, in order to continue existing locomotive horn restrictions
beyond June 24, 2008 without interruption. The purpose of this
Notice of Intent is to provide an opportunity for the railroads and
the State agencies to provide comments and recommendations to the
public authority as it is planning the quiet zone. They will have 60
days to provide these comments to the public authority. The Notice
of Intent must be provided, if new SSMs or ASMs will be implemented
within the quiet zone. FRA encourages public authorities to provide
the required Notice of Intent early in the quiet zone development
process. The railroads and State agencies can provide an expertise
that very well may not be present within the public authority. FRA
believes that it will be very useful to include these organizations
in the planning process. For example, including them in the
inspections of the crossing will help ensure accurate Inventory
information for the crossings. Note: Please see Section IV for
details on the requirements of a Notice of Intent.
2. All of the items listed in ``Requirements for Both Public
Authority Designation and Public Authority Application--Pre-Rule
Quiet Zones'' previously mentioned are to be accomplished. Remember
that a Pre-Rule Quiet Zone may be less than one-half mile in length
if that was its length as of October 9, 1996. Also, a Pre-Rule Quiet
Zone does not have to have automatic warning devices consisting of
flashing lights and gates at every public crossing.
3. Calculate the risk index for each public crossing within the
quiet zone as in Step 3--Pre-Rule Quiet Zones--Automatic Approval.
4. The Crossing Corridor Risk Index is then calculated by
averaging the risk index for each public crossing within the
proposed quiet zone. Since train horns are not being sounded for
crossings, this value is actually the initial Quiet Zone Risk Index.
5. Calculate Risk Index with Horns by the following:
a. For each public crossing, divide the risk index that was
calculated in Step 2 by the appropriate value in Table 1. This produces
the risk index that would have existed had the train horn been sounded.
b. Average these reduced risk indices together. The resulting
average is the Risk Index with Horns.
6. Begin to reduce the Quiet Zone Risk Index through the use of
SSMs or by upgrading existing warning devices. Follow the procedure
provided in Step 6--Public Authority Designation until the Quiet
Zone Risk Index has been reduced to a level equal to, or less than,
either the Nationwide Significant Risk Threshold or the Risk Index
with Horns. A public authority may elect to upgrade an existing
warning device as part of its Pre-Rule Quiet Zone plan. When
upgrading a warning device, the accident prediction value for that
crossing must be re-calculated for the new warning device. Determine
the new risk index for the upgraded crossing by using the new
accident prediction value in the severity risk index formula. This
new risk index is then used to compute the new Quiet Zone Risk
Index. (Remember that FRA's web-based Quiet Zone Calculator will be
able to do the actual computations.) Once the Quiet Zone Risk Index
has been reduced to a level equal to, or less than, either the
Nationwide Significant Risk Threshold or the Risk Index with Horns,
the quiet zone may be established by the Public Authority
Designation method, and the public authority may provide the Notice
of Quiet Zone Establishment once all the necessary improvements have
been installed. If the quiet zone is established by reducing the
Quiet Zone Risk Index to a risk level equal to, or less than, the
Nationwide Significant Risk Threshold, FRA will annually recalculate
the Nationwide Significant Risk Threshold and the Quiet Zone Risk
Index. If the Quiet Zone Risk Index for the quiet zone rises above
the Nationwide Significant Risk Threshold, FRA will notify the public
authority so that appropriate measures can be taken (See Sec. 222.51(b)).
7. If the Pre-Rule Quiet Zone will not be established before
June 24, 2008, the public authority must file a detailed plan for
quiet zone improvements with the Associate Administrator by June 24,
2008. By providing a Notice of Intent (see Step 1 above) and a
detailed plan for quiet zone improvements, existing locomotive horn
restrictions may continue until June 24, 2010. (If a comprehensive
State-wide implementation plan and funding commitment are also
provided and safety improvements are initiated within at least one
Pre-Rule Quiet Zone or Pre-Rule Partial Quiet Zone, existing
locomotive horn restrictions may continue until June 24, 2013.) (See
Sec. 222.41(c) for more information.)
Note: The provisions stated above for crossing closures, grade
separations, wayside horns, pre-existing SSMs and pre-existing
modified SSMs apply for Public Authority Application to FRA as well.
D. Pre-Rule Quiet Zones--Public Authority Application to FRA
The following discussion is meant to provide guidance on the
steps necessary to establish a Pre-Rule Quiet Zone using the Public
Authority Application to FRA method.
1. The public authority must provide a Notice of Intent
(Sec. Sec. 222.43(a)(1) and 222.43(b)) to the railroads that
operate within the proposed quiet zone, the State agency
[[Page 47659]]
responsible for highway and road safety and the State agency
responsible for grade crossing safety. This notice must be mailed by
February 24, 2008, in order to continue existing locomotive horn
restrictions beyond June 24, 2008 without interruption. The purpose
of this Notice of Intent is to provide an opportunity for the
railroads and the State agencies to provide comments and
recommendations to the public authority as it is planning the quiet
zone. They will have 60 days to provide these comments to the public
authority. The Notice of Intent must be provided, if new SSMs or
ASMs will be implemented within the quiet zone. FRA encourages
public authorities to provide the required Notice of Intent early in
the quiet zone development process. The railroads and State agencies
can provide an expertise that very well may not be present within
the public authority. FRA believes that it will be very useful to
include these organizations in the planning process. For example,
including them in the inspections of the crossing will help ensure
accurate Inventory information for the crossings. Note: Please see
Section IV for details on the requirements of a Notice of Detailed Plan.
2. All of the items listed in ``Requirements for both Public
Authority Designation and Public Authority Application--Pre-Rule
Quiet Zones'' previously mentioned are to be accomplished. Remember
that a Pre-Rule Quiet Zone may be less than one-half mile in length
if that was its length as of October 9, 1996. Also, a Pre-Rule Quiet
Zone does not have to have automatic warning devices consisting of
flashing lights and gates at every public crossing.
3. Calculate the risk index for each public crossing within the
quiet zone (See appendix D. FRA's web-based Quiet Zone Calculator
may be used to simplify the calculation process). If the Inventory
record does not reflect the actual conditions at the crossing, be
sure to use the conditions that currently exist when calculating the
risk index.
4. The Crossing Corridor Risk Index is then calculated by
averaging the risk index for each public crossing within the
proposed quiet zone. Since train horns are not being sounded for
crossings, this value is actually the initial Quiet Zone Risk Index.
5. Calculate Risk Index with Horns by the following:
a. For each public crossing, divide its risk index that was
calculated in Step 2 by the appropriate value in Table 1. This
produces the risk index that would have existed had the train horn
been sounded.
b. Average these reduced risk indices together. The resulting
average is the Risk Index with Horns.
6. Begin to reduce the Quiet Zone Risk Index through the use of
ASMs and/or SSMs. Follow the procedure provided in Step 6--New Quiet
Zones Public Authority Designation--until the Quiet Zone Risk Index
has been reduced to a level equal to, or less than, either the
Nationwide Significant Risk Threshold or the Risk Index with Horns.
A public authority may elect to upgrade an existing warning device
as part of its Pre-Rule Quiet Zone plan. When upgrading a warning
device, the accident prediction value for that crossing must be re-
calculated for the new warning device. Determine the new risk index
for the upgraded crossing by using the new accident prediction value
in the severity risk index formula. (Remember that FRA's web-based
quiet zone risk calculator will be able to do the actual
computations.) This new risk index is then used to compute the new
Quiet Zone Risk Index. Effectiveness rates for ASMs should be
provided as follows:
a. Modified SSMs--Estimates of effectiveness for modified SSMs
may be based upon adjustments from the benchmark levels provided in
appendix A or from actual field data derived from the crossing
sites. The application must provide an estimated effectiveness rate
and the rationale for the estimate.
b. Non-engineering ASMs--Effectiveness rates are to be
calculated in accordance with the provisions of appendix B, section II B.
c. Engineering ASMs--Effectiveness rates are to be calculated in
accordance with the provisions of appendix B, section III B.
7. Once it has been determined through analysis that the Quiet
Zone Risk Index will be reduced to a level equal to, or less than,
either the Nationwide Significant Risk Threshold or the Risk Index
with Horns, the public authority may make application to FRA for a
quiet zone under Sec. 222.39(b). FRA will review the application to
determine the appropriateness of the proposed effectiveness rates,
and whether or not the proposed application demonstrates that the
quiet zone meets the requirements of the rule. When submitting the
application to FRA for approval, it should be remembered that the
application must contain the following (Sec. 222.39(b)(1)):
a. Sufficient detail concerning the present safety measures at
all crossings within the proposed quiet zone to enable the Associate
Administrator to evaluate their effectiveness. This includes current
and accurate crossing Inventory forms for each public, private and
pedestrian grade crossing.
b. Detailed information on the safety improvements, including
upgraded warning devices that are proposed to be implemented at
public, private, and pedestrian grade crossings within the proposed
quiet zone.
c. Membership and recommendations of the diagnostic team (if
any) that reviewed the proposed quiet zone.
d. Statement of efforts taken to address comments submitted by
affected railroads, the State agency responsible for grade crossing
safety, and the State agency responsible for highway and road
safety, including a list of any objections raised by the railroads
or State agencies.
e. A commitment to implement the proposed safety measures.
f. Demonstrate through data and analysis that the proposed
measures will reduce the Quiet Zone Risk Index to a level at, or
below, either the Nationwide Significant Risk Threshold or the Risk
Index with Horns.
g. A copy of the application must be provided to all railroads
operating over the public highway-rail grade crossings within the
quiet zone; the highway or traffic control or law enforcement
authority having jurisdiction over vehicular traffic at grade
crossings within the quiet zone; the landowner having control over
any private crossings within the quiet zone; the State agency
responsible for highway and road safety; the State agency
responsible for grade crossing safety; and the Associate
Administrator. (Sec. 222.39(b)(3))
8. Upon receiving written approval from FRA of the quiet zone
application, the public authority may then provide the Notice of
Quiet Zone Establishment and implement the quiet zone. If the quiet
zone is established by reducing the Quiet Zone Risk Index to a level
equal to, or less than, the Nationwide Significant Risk Threshold,
FRA will annually recalculate the Nationwide Significant Risk
Threshold and the Quiet Zone Risk. If the Quiet Zone Risk Index for
the quiet zone is above the Nationwide Significant Risk Threshold,
FRA will notify the public authority so that appropriate measures
can be taken (See Sec. 222.51(b)).
Note: The provisions stated above for crossing closures, grade
separations, wayside horns, pre-existing SSMs and pre-existing
modified SSMs apply for Public Authority Application to FRA as well.
Section IV--Required Notifications
A. Introduction
The public authority is responsible for providing notification
to parties that will be affected by the quiet zone. There are
several different types of notifications and a public authority may
have to make more than one notification during the entire process of
complying with the regulation. The notification process is to ensure
that interested parties are made aware in a timely manner of the
establishment or continuation of quiet zones. It will also provide
an opportunity for State agencies and affected railroads to provide
input to the public authority during the development of quiet zones.
Specific information is to be provided so that the crossings in the
quiet zone can be identified. Providing the appropriate notification
is important because once the rule becomes effective, railroads will
be obligated to sound train horns when approaching all public
crossings unless notified in accordance with the rule that a New
Quiet Zone has been established or that a Pre-Rule or Intermediate
Quiet Zone is being continued.
B. Notice of Intent--Sec. 222.43(b)
The purpose of the Notice of Intent is to provide notice to the
railroads and State agencies that the public authority is planning
on creating a New Quiet Zone or implementing new SSMs or ASMs within
a Pre-Rule Quiet Zone. The Notice of Intent provides an opportunity
for the railroad and the State agencies to give input to the public
authority during the quiet zone development process. The State
agencies and railroads will be given sixty days to provide
information and comments to the public agency.
The Notice of Intent must be provided under the following circumstances:
1. A New Quiet Zone or New Partial Quiet Zone is under
consideration.
2. An Intermediate Quiet Zone or Intermediate Partial Quiet Zone
that will be converted into a New Quiet Zone or New
[[Page 47660]]
Partial Quiet Zone. Please note that Notice of Intent must be mailed
by April 3, 2006, in order prevent the resumption of locomotive horn
sounding on June 24, 2006.
3. The implementation of SSMs or ASMs within a Pre-Rule Quiet
Zone or Pre-Rule Partial Quiet Zone is under consideration. Please
note that Notice of Intent must be mailed by February 24, 2008, in
order to continue existing restrictions on locomotive horn sounding
beyond June 24, 2008 without interruption. Each public authority
that is creating a New Quiet Zone must provide written notice, by
certified mail, return receipt requested, to the following:
1. All railroads operating within the proposed quiet zone
2. State agency responsible for highway and road safety
3. State agency responsible for grade crossing safety
The Notice of Intent must contain the following information:
1. A list of each public highway-rail grade crossing, private
highway-rail grade crossing, and pedestrian crossings within the
proposed quiet zone. The crossings are to be identified by both the
U.S. DOT Crossing Inventory Number and the street or highway name.
2. A statement of the time period within which the restrictions
would be in effect on the routine sounding of train horns (i.e., 24
hours or from 10 p.m. to 7 a.m.).
3. A brief explanation of the public authority's tentative plans
for implementing improvements within the proposed quiet zone.
4. The name and title of the person who will act as the point of
contact during the quiet zone development process and how that
person can be contacted.
5. A list of the names and addresses of each party that will
receive a copy of the Notice of Intent.
The parties that receive the Notice of Intent will be able to
submit information or comments to the public authority for 60 days.
The public authority will not be able to establish the quiet zone
during the 60 day comment period unless each railroad and State
agency that receives the Notice of Intent provides either written
comments to the public authority or a written statement waiving its
right to provide comments on the Notice of Intent. The public
authority must provide an affirmation in the Notice of Quiet Zone
Establishment that each of the required parties was provided the
Notice of Intent and the date it was mailed. If the quiet zone is
being established within 60 days of the mailing of the Notice of
Intent, the public authority also must affirm each of the parties
have provided written comments or waived its right to provide
comments on the Notice of Intent.
C. Notice of Quiet Zone Continuation--Sec. 222.43(c)
The purpose of the Notice of Quiet Zone Continuation is to
provide a means for the public authority to formally advise affected
parties that an existing quiet zone is being continued after the
effective date of the rule. All Pre-Rule, Pre-Rule Partial,
Intermediate and Intermediate Partial Quiet Zones must provide this
Notice of Quiet Zone Continuation no later than June 3, 2005 to
ensure that train horns are not sounded at public crossings when the
rule becomes effective on June 24, 2005. This will enable railroads
to properly comply with the requirements of the Final Rule.
Each public authority that is continuing an existing Pre-Rule,
Pre-Rule Partial, Intermediate and Intermediate Partial Quiet Zone
must provide written notice, by certified mail, return receipt
requested, to the following:
1. All railroads operating over the public highway-rail grade
crossings within the quiet zone;
2. The highway or traffic control or law enforcement authority
having jurisdiction over vehicular traffic at grade crossings within
the quiet zone;
3. The landowner having control over any private crossings
within the quiet zone;
4. The State agency responsible for highway and road safety;
5. The State agency responsible for grade crossing safety; and
6. The Associate Administrator.
The Notice of Quiet Zone Continuation must contain the following
information:
1. A list of each public highway-rail grade crossing, private
highway-rail grade crossing, and pedestrian crossing within the
quiet zone, identified by both U.S. DOT National Highway-Rail Grade
Crossing Inventory Number and street or highway name.
2. A specific reference to the regulatory provision that
provides the basis for quiet zone continuation, citing as
appropriate, Sec. 222.41 or 222.42.
3. A statement of the time period within which restrictions on
the routine sounding of the locomotive horn will be imposed (i.e.,
24 hours or nighttime hours only.)
4. An accurate and complete Grade Crossing Inventory Form for
each public highway-rail grade crossing, private highway-rail grade
crossing, and pedestrian crossing within the quiet zone that
reflects conditions currently existing at the crossing.
5. The name and title of the person responsible for monitoring
compliance with the requirements of this part and the manner in
which that person can be contacted.
6. A list of the names and addresses of each party that will
receive the Notice of Quiet Zone Continuation.
7. A statement signed by the chief executive officer of each
public authority participating in the continuation of the quiet
zone, in which the chief executive officer certifies that the
information submitted by the public authority is accurate and
complete to the best of his/her knowledge and belief.
Public authorities should remember that this notice is required
to ensure that train horns will remain silent. Even if a public
authority has not been able to determine whether its Pre-Rule or
Pre-Rule Partial Quiet Zone qualifies for automatic approval under
the rule, it should issue a Notice of Quiet Zone Continuation to
keep the train horns silent after the effective date of the rule.
E. Notice of Quiet Zone Establishment--Sec. 222.43(d)
The purpose of the Notice of Quiet Zone Establishment is to
provide a means for the public authority to formally advise affected
parties that a quiet zone is being established. Notice of Quiet Zone
Establishment must be provided under the following circumstances:
1. A New Quiet Zone or New Partial Quiet Zone is being created.
2. A Pre-Rule Quiet Zone or a Pre-Rule Partial Quiet Zone that
qualifies for automatic approval under the rule is being established.
3. An Intermediate Quiet Zone or Intermediate Partial Quiet Zone
that is creating a New Quiet Zone under the rule. Please note that
Notice of Quiet Zone Establishment must be provided by June 3, 2006,
in order to prevent the resumption of locomotive horn sounding on
June 24, 2006.
4. A Pre-Rule Quiet Zone or a Pre-Rule Partial Quiet Zone that
was not established by automatic approval and has since implemented
improvements to establish a quiet zone in accordance to the rule.
Each public authority that is establishing a quiet zone under
the above circumstances must provide written notice, by certified
mail, return receipt requested, to the following:
1. All railroads operating over the public highway-rail grade
crossings within the quiet zone;
2. The highway or traffic control or law enforcement authority
having jurisdiction over vehicular traffic at grade crossings within
the quiet zone;
3. The landowner having control over any private crossings
within the quiet zone;
4. The State agency responsible for highway and road safety;
5. The State agency responsible for grade crossing safety; and
6. The Associate Administrator.
The Notice of Quiet Establishment must contain the following
information:
1. A list of each public highway-rail grade crossing, private
highway-rail grade crossing, and pedestrian crossing within the
quiet zone, identified by both U.S. DOT National Highway-Rail Grade
Crossing Inventory Number and street or highway name.
2. A specific reference to the regulatory provision that
provides the basis for quiet zone establishment, citing as
appropriate, Sec. 222.39(a)(1), 222.39(a)(2)(i), 222.39(a)(2)(ii),
222.39(a)(3), 222.39(b), 222.41(a)(1)(i), 222.41(a)(1)(ii),
222.41(a)(1)(iii), 222.41(a)(1)(iv), 222.41(b)(1)(i),
222.41(b)(1)(ii), 222.41(b)(1)(iii), or 222.41(b)(1)(iv).
(a) If the Notice of Quiet Establishment contains a specific
reference to Sec. 222.39(a)(2)(i), 222.39(a)(2)(ii), 222.39(a)(3),
222.41(a)(1)(ii), 222.41(a)(1)(iii), 222.41(a)(1)(iv),
222.41(b)(1)(ii), 222.41(b)(1)(iii), or 222.41(b)(1)(iv), it shall
include a copy of the FRA web page that contains the quiet zone data
upon which the public authority is relying.
(b) If the Notice of Quiet Establishment contains a specific
reference to Sec. 222.39(b), it shall include a copy of FRA's
notification of approval.
3. If a diagnostic team review was required under Sec. 222.25
(private crossings) or Sec. 222.27 (pedestrian crossings), the
Notice of Quiet Establishment shall include a statement affirming
that the State agency responsible
[[Page 47661]]
for grade crossing safety and all affected railroads were provided
an opportunity to participate in the diagnostic team review. The
Notice of Quiet Establishment shall also include a list of
recommendations made by the diagnostic team.
4. A statement of the time period within which restrictions on
the routine sounding of the locomotive horn will be imposed (i.e.,
24 hours or from 10 p.m. until 7 a.m.)
5. An accurate and complete Grade Crossing Inventory Form for
each public highway-rail grade crossing, private highway-rail grade
crossing, and pedestrian crossing within the quiet zone that
reflects the conditions existing at the crossing before any new SSMs
or ASMs were implemented.
6. An accurate, complete and current Grade Crossing Inventory
Form for each public highway-rail grade crossing, private highway-
rail grade crossing, and pedestrian crossing within the quiet zone
that reflects SSMs and ASMs in place upon establishment of the quiet
zone. SSMs and ASMs that cannot be fully described on the Inventory
Form shall be separately described.
7. If the public authority was required to provide a Notice of Intent:
(a) The Notice of Quiet Zone Establishment shall contain a
statement affirming that the Notice of Intent was provided in
accordance with the rule. This statement shall also state the date
on which the Notice of Intent was mailed.
(b) If the Notice of Quiet Zone Establishment will be mailed
less than 60 days after the date on which the Notice of Intent was
mailed, the Notice of Quiet Zone Establishment shall also contain a
written statement affirming that comments and/or written waiver
statements have been received from each railroad operating over
public grade crossings within the proposed quiet zone, the State
agency responsible for grade crossing safety, and the State agency
responsible for highway and road safety.
8. The name and title of the person responsible for monitoring
compliance with the requirements of this part and the manner in
which that person can be contacted.
9. A list of the names and addresses of each party that is
receiving a copy of the Notice of Quiet Establishment.
10. A statement signed by the chief executive officer of each
public authority participating in the establishment of the quiet
zone, in which the chief executive officer shall certify that the
information submitted by the public authority is accurate and
complete to the best of his/her knowledge and belief.
Section V--Examples of Quiet Zone Implementations
Example 1--New Quiet Zone
(a) A public authority wishes to create a New Quiet Zone over
four public crossings. All of the crossings are equipped with
flashing lights and gates, and the length of the quiet zone is 0.75
mile. There are no private crossings within the proposed zone.
(b) The tables that follow show the street name in the first
column, and the existing risk index for each crossing with the horn
sounding (``Crossing Risk Index w/ Horns'') in the second. The third
column, ``Crossing Risk Index w/o Horns'', is the risk index for
each crossing after it has been inflated by 66.8% to account for the
lack of train horns. The fourth column, ``SSM Eff'', is the
effectiveness of the SSM at the crossing. A zero indicates that no
SSM has been applied. The last column, ``Crossing Risk Index w/o
Horns Plus SSM'', is the inflated risk index for the crossing after
being reduced by the implementation of the SSM. At the bottom of the
table are two values. The first is the Risk Index with Horns
(``RIWH'') which represents the average initial amount of risk in
the proposed quiet zone with the train horn sounding. The second is
the Quiet Zone Risk Index (``QZRI''), which is the average risk in
the proposed quiet zone taking into consideration the increased risk
caused by the lack of train horns and the reductions in risk
attributable to the installation of SSMs. For this example it is
assumed that the Nationwide Significant Risk Threshold is 17,030. In
order for the proposed quiet zone to qualify under the rule, the
Quiet Zone Risk Index must be reduced to a level at, or below, the
Nationwide Significant Risk Threshold (17,030) or the Risk Index
with Horns.
(c) Table 2 shows the existing conditions in the proposed quiet
zone. SSMs have not yet been installed. The Risk Index with Horns
for the proposed quiet zone is 11,250. The Quiet Zone Risk Index
without any SSMs is 18,765.
Table 2
----------------------------------------------------------------------------------------------------------------
Crossing risk
Crossing risk Crossing risk index w/o
Street index w/horns index w/o SSM EFF horns plus
horns SSM
----------------------------------------------------------------------------------------------------------------
A............................................... 12000 20016 0 20016
B............................................... 10000 16680 0 16680
C............................................... 8000 13344 0 13344
D............................................... 15000 25020 0 25020
RIWH .............. .............. QZRI
11250 .............. .............. 18765
----------------------------------------------------------------------------------------------------------------
(d) The public authority decides to install traffic
channelization devices at D Street. Reducing the risk at the
crossing that has the highest severity risk index will provide the
greatest reduction in risk. The effectiveness of traffic
channelization devices is 0.75. Table 3 shows the changes in the
proposed quiet zone corridor that would occur when traffic
channelization devices are installed at D Street. The Quiet Zone
Risk Index has been reduced to 14,073.75. This reduction in risk
would qualify the quiet zone as the risk has been reduced lower than
the Nationwide Significant Risk Threshold which is 17,030.
Table 3
----------------------------------------------------------------------------------------------------------------
Crossing risk Crossing risk
Street Crossing risk index w/o SSM EFF index w/o
index w/horns horns horns plus SSM
----------------------------------------------------------------------------------------------------------------
A............................................... 12000 20016 0 20016
B............................................... 10000 16680 0 16680
C............................................... 8000 13344 0 13344
D............................................... 15000 25020 0.75 6255
RIWH .............. .............. QZRI
11250 .............. .............. 14073.75
----------------------------------------------------------------------------------------------------------------
[[Page 47662]]
(e) The public authority realizes that reducing the Quiet Zone
Risk Index to a level below the Nationwide Significant Risk
Threshold will result in an annual re-calculation of the Quiet Zone
Risk Index and comparison to the Nationwide Significant Risk
Threshold. As the Quiet Zone Risk Index is close to the Nationwide
Significant Risk Threshold (14,074 to 17,030), there is a reasonable
chance that the Quiet Zone Risk Index may some day exceed the
Nationwide Significant Risk Threshold. This would result in the
quiet zone no longer being qualified and additional steps would have
to be taken to keep the quiet zone. Therefore, the public authority
decides to reduce the risk further by the use of traffic
channelization devices at A Street. Table 4 shows the results of
this change. The Quiet Zone Risk Index is now 10,320.75 which is
less than the Risk Index with Horns of 11,250. The quiet zone now
qualifies by fully compensating for the loss of train horns and will
not have to undergo annual reviews of the Quiet Zone Risk Index.
Table 4
----------------------------------------------------------------------------------------------------------------
Crossing risk
Crossing risk Crossing risk index w/o
Street index w/horns index w/o SSM EFF horns plus
horns SSM
----------------------------------------------------------------------------------------------------------------
A............................................... 12000 20016 0.75 5004
B............................................... 10000 16680 0 16680
C............................................... 8000 13344 0 13344
D............................................... 15000 25020 0.75 6255
RIWH .............. .............. QZRI
11250 .............. .............. 10320.75
----------------------------------------------------------------------------------------------------------------
Example 2--Pre-Rule Quiet Zone
(a) A public authority wishes to qualify a Pre-Rule Quiet Zone
which did not meet the requirements for Automatic Approval because
the Quiet Zone Risk Index is greater than twice the Nationwide
Significant Risk Threshold. There are four public crossings in the
Pre-Rule Quiet Zone. Three of the crossings are equipped with
flashing lights and gates, and the fourth (Z Street) is passively
signed with a STOP sign. The length of the quiet zone is 0.6 mile,
and there are no private crossings within the proposed zone.
(b) The tables that follow are very similar to the tables in
Example 1. The street name is shown in the first column, and the
existing risk index for each crossing (``Crossing Risk Index w/o
Horns'') in the second. This is a change from the first example
because the risk is calculated without train horns sounding because
of the existing ban on whistles. The third column, ``Crossing Risk
Index w/ Horns'', is the risk index for each crossing after it has
been adjusted to reflect what the risk would have been had train
horns been sounding. This is mathematically done by dividing the
existing risk index for the three gated crossing by 1.668. The risk
at the passive crossing at Z Street is divided by 1.749. (See the
above discussion in ``Pre-Rule Quiet Zones--Establishment Overview''
for more information.) The fourth column, ``SSM Eff'', is the
effectiveness of the SSM at the crossing. A zero indicates that no
SSM has been applied. The last column, ``Crossing Risk Index w/o
Horns Plus SSM'', is the risk index without horns for the crossing
after being reduced for the implementation of the SSM. At the bottom
of the table are two values. The first is the Risk Index with Horns
(RIWH), which represents the average initial amount of risk in the
proposed quiet zone with the train horn sounding. The second is the
Quiet Zone Risk Index (``QZRI''), which is the average risk in the
proposed quiet zone taking into consideration the increased risk
caused by the lack of train horns and reductions in risk
attributable to the installation of SSMs. Once again it is assumed
that the Nationwide Significant Risk Threshold is 17,030. The Quiet
Zone Risk Index must be reduced to either the Nationwide Significant
Risk Threshold (17,030) or to the Risk Index with Horns in order to
qualify under the rule.
(c) Table 5 shows the existing conditions in the proposed quiet
zone. SSMs have not yet been installed. The Risk Index with Horns
for the proposed quiet zone is 18,705.83. The Quiet Zone Risk Index
without any SSMs is 31,375. Since the Nationwide Significant Risk
Threshold is less than the calculated Risk Index with Horns, the
public authority's goal will be to reduce the risk to at least value
of the Risk Index with Horns. This will qualify the Pre-Rule Quiet
Zone under the rule.
Table 5
----------------------------------------------------------------------------------------------------------------
Crossing risk Crossing risk
Street index w/o Crossing risk SSM EFF index w/o
horns index w/ horns horns plus SSM
----------------------------------------------------------------------------------------------------------------
W............................................... 35,000 20,983.21 0 35,000
X............................................... 42,000 25,179.86 0 42,000
Y............................................... 33,500 20,083.93 0 33,500
Z............................................... 15,000 8,576.33 0 15,000
RIWH .............. .............. QZRI
18,705.83 .............. .............. 31,375
----------------------------------------------------------------------------------------------------------------
(d) The Z Street crossing is scheduled to have flashing lights
and gates installed as part of the state's highway-rail grade
crossing safety improvement plan (Section 130). While this upgrade
is not directly a part of the plan to authorize a quiet zone, the
public authority may take credit for the risk reduction achieved by
the improvement from a passive STOP sign crossing to a crossing
equipped with flashing lights and gates. Unlike New Quiet Zones,
upgrades to warning devices in Pre-Rule Quiet Zones do contribute to
the risk reduction necessary to qualify under the rule. Table 6
shows the quiet zone corridor after including the warning device
upgrade at Z Street. The Quiet Zone Risk Index has been reduced to 29,500.
[[Page 47663]]
Table 6
----------------------------------------------------------------------------------------------------------------
Crossing risk Crossing risk
Street index w/o Crossing risk SSM EFF index w/o
horns index w/ horns horns plus SSM
----------------------------------------------------------------------------------------------------------------
W............................................... 35,000 20,983.21 0 35,000
X............................................... 42,000 25,179.86 0 42,000
Y............................................... 33,500 20,083.93 0 33,500
Z............................................... 7,500 8,576.33 0 7,500
RIWH .............. .............. QZRI
18,705.83 .............. .............. 29,500
----------------------------------------------------------------------------------------------------------------
(e) The public authority elects to install four-quadrant gates
without vehicle presence detection at X Street. As shown in Table 7,
this reduces the Quiet Zone Risk Index to 20,890. This risk
reduction is not sufficient to quality as quiet zone under the rule.
Table 7
----------------------------------------------------------------------------------------------------------------
Crossing risk Crossing risk
Street index w/o Crossing risk SSM EFF index w/o
horns index w/ horns horns plus SSM
----------------------------------------------------------------------------------------------------------------
W............................................... 35,000 20,983.21 0 35,000
X............................................... 42,000 25,179.86 0.82 7,560
Y............................................... 33,500 20,083.93 0 33,500
Z............................................... 7,500 8,576.33 0 7,500
RIWH .............. .............. QZRI
18,705.83 .............. .............. 20,890
----------------------------------------------------------------------------------------------------------------
(f) The public authority next decides to use traffic
channelization devices at W Street. Table 8 shows that the Quiet
Zone Risk Index is now reduced to 14,327.5. This risk reduction
fully compensates for the loss of the train horn as it is less than
the Risk Index with Horns. The quiet zone is qualified under the rule.
Table 8
----------------------------------------------------------------------------------------------------------------
Crossing risk Crossing risk
Street index w/o Crossing risk SSM EFF index w/o
horns index w/ horns horns plus SSM
----------------------------------------------------------------------------------------------------------------
W............................................... 35000 20983.21 0.75 8750
X............................................... 42000 25179.86 0.82 7560
Y............................................... 33500 20083.93 0 33500
Z............................................... 7500 8576.33 0 7500
RIWH .............. .............. QZRI
18705.83 .............. .............. 14327.5
----------------------------------------------------------------------------------------------------------------
Appendix D to Part 222--Determining Risk Levels
Introduction
The Nationwide Significant Risk Threshold, the Crossing Corridor
Risk Index, and the Quiet Zone Risk Index are all measures of
collision risk at public highway-rail grade crossings that are
weighted by the severity of the associated casualties. Each crossing
can be assigned a risk index.
(a) The Nationwide Significant Risk Threshold represents the
average severity weighted collision risk for all public highway-rail
grade crossings equipped with lights and gates nationwide where
train horns are routinely sounded. FRA developed this index to serve
as a threshold of permissible risk for quiet zones established under
this rule.
(b) The Crossing Corridor Risk Index represents the average
severity weighted collision risk for all public highway-rail grade
crossings along a defined rail corridor.
(c) The Quiet Zone Risk Index represents the average severity
weighted collision risk for all public highway-rail grade crossings
that are part of a quiet zone.
The Prediction Formulas
(a) The Prediction Formulas were developed by DOT as a guide for
allocating scarce traffic safety budgets at the State level. They
allow users to rank candidate crossings for safety improvements by
collision probability. There are three formulas, one for each
warning device category:
1. automatic gates with flashing lights;
2. flashing lights with no gates; and
3. passive warning devices.
(b) The prediction formulas can be used to derive the following
for each crossing:
1. the predicted collisions (PC)
2. the probability of a fatal collision given that a collision
occurs (P(FC[verbar]C))
3. the probability of a casualty collision given that a
collision occurs (P(CC[verbar]C))
(c) The following factors are the determinants of the number of
predicted collisions per year:
1. average annual daily traffic
2. total number of trains per day
3. number of highway lanes
4. number of main tracks
5. maximum timetable train speed
6. whether the highway is paved or not
7. number of through trains per day during daylight hours
(d) The resulting basic prediction is improved in two ways. It
is enriched by the particular crossing's collision history for the
previous five years and it is calibrated by resetting normalizing
constants. The normalizing constants are reset so that the sum of
the predicted accidents in each warning device group (passive,
flashing lights, gates) for the top twenty percent most hazardous
crossings exactly equals the
[[Page 47664]]
number of accidents which occurred in a recent period for the top
twenty percent of that group. This adjustment factor allows the
formulas to stay current with collision trends. The calibration also
corrects for errors such as data entry errors. The final output is
the predicted number of collisions (PC).
(e) The severity formulas answer the question, ``What is the
chance that a fatality (or casualty) will happen, given that a
collision has occurred?'' The fatality formula calculates the
probability of a fatal collision given that a collision occurs
(i.e., the probability of a collision in which a fatality occurs)
P(FC[verbar]C). Similarly, the casualty formula calculates the
probability of a casualty collision given that a collision occurs
P(CC[verbar]C). As casualties consist of both fatalities and
injuries, the probability of a non-fatal injury collision is found
by subtracting the probability of a fatal collision from the
probability of a casualty collision. To convert the probability of a
fatal or casualty collision to the number of expected fatal or
casualty collisions, that probability is multiplied by the number of
predicted collisions (PC).
(f) For the prediction and severity index formulas, please see
the following DOT publications: Summary of the DOT Rail-Highway
Crossings Resource Allocation Procedure--Revised, June 1987, and the
Rail-Highway Crossing Resource Allocation Procedure: User's Guide,
Third Edition, August 1987. Both documents are in the docket for
this rulemaking and also available through the National Technical
Information Service located in Springfield, Virginia 22161.
Risk Index
(a) The risk index is basically the predicted cost to society of
the casualties that are expected to result from the predicted
collisions at a crossing. It incorporates three outputs of the DOT
prediction formulas. The two components of a risk index are:
1. Predicted Cost of Fatalities = PC x P(FC[verbar]C) x (Average
Number of Fatalities Observed In Fatal Collisions) x $3 million
2. Predicted Cost of Injuries = PC x (P(CC[verbar]C)--
P(FC[verbar]C)) x (Average Number of Injuries in Collisions
Involving Injuries) x $1,167,000
PC, P(CC[verbar]C), and P(FC[verbar]C) are direct outputs of the DOT
prediction formulas.
(b) The average number of fatalities observed in fatal
collisions and the average number of injuries in collisions
involving injuries were calculated by FRA as follows.
(c) The highway-rail incident files from 1999 through 2003 were
matched against a data file containing the list of whistle ban
crossings in existence from January 1, 1999 through December 31,
2003 to identify two types of collisions involving trains and motor
vehicles: (1) Those that occurred at crossings where a whistle ban
was in place during the period, and (2) those that occurred at
crossings equipped with automatic gates where a whistle ban was not
in place. Certain records were excluded. These were incidents where
the driver was not in the motor vehicle, or the motor vehicle struck
the train beyond the 4th locomotive or rail car that entered the
crossing. FRA believes that sounding the train horn would not be
very effective at preventing such incidents.\2\
---------------------------------------------------------------------------
\2\ The data used to make these exclusions is contained in
blocks 18--Position of Car Unit in Train; 19--Circumstance: Rail
Equipment Struck/Struck By Highway User; 28--Number of Locomotive
Units; and 29--Number of Cars of the current FRA Form 6180-57
Highway-Rail Grade Crossing Accident/Incident Report.
---------------------------------------------------------------------------
(d) Collisions in the group containing the gated crossings
nationwide where horns are routinely sounded were then identified as
either fatal, injury only, or no casualty. Collisions were
identified as fatal if one or more deaths occurred, regardless of
whether or not injuries were also sustained. Collisions were
identified as injury only when injuries, but no fatalities, resulted.
(e) The collisions (incidents) selected were summarized by year
from 1999 through 2003. The total number of collisions for the
period was 2,161. The fatality rate for each year was calculated by
dividing the number of fatalities (``Deaths'') by the number of
fatal incidents (``Number''). The injury rates were calculated by
dividing the number of injuries in injury only incidents
(``Injured'') by the number of injury only incidents (``Number'').
There were 274 fatal incidents resulting in 324 fatalities and
yielding a fatality rate 1.1825 for the period. There were 551
injury-only incidents resulting in 733 injuries and yielding an
injury rate 1.3303 for the period.
(f) Per guidance from DOT, $3 million is the value placed on
preventing a fatality. The Abbreviated Injury Scale (AIS) developed
by the Association for the Advancement of Automotive Medicine
categorizes injuries into six levels of severity. Each AIS level is
assigned a value of injury avoidance as a fraction of the value of
avoiding a fatality . FRA rates collisions that occur at train
speeds in excess of 25 mph as an AIS level 5 ($2,287,500) and
injuries that result from collisions involving trains traveling
under 25 mph as an AIS level 2 ($46,500). About half of grade
crossing collisions occur at speeds greater than 25 mph. Therefore,
FRA estimates that the value of preventing the average injury
resulting from a grade crossing collision is $1,167,000 (the average
of an AIS-5 injury and an AIS-2 injury).
(g) Notice that the quantity [PC*P(FC[verbar]C)] represents the
expected number of fatal collisions. Similarly, {PC*[P(CC[verbar]C)-
P(FC[verbar]C)]{time} represents the expected number of injury
collisions. These are then multiplied by their respective average
number of fatalities and injuries (from the table above) to develop
the number of expected casualties. The final parts of the
expressions attach the dollar values for these casualties.
(h) The Risk Index for a Crossing is the integer sum of the
Predicted Cost of Fatalities and the Predicted Cost of Injuries.
Nationwide Significant Risk Threshold
The Nationwide Significant Risk Threshold is simply an average
of the risk indexes for all of the gated crossings nationwide where
train horns are routinely sounded. FRA identified 35,803 gated non-
whistle ban crossings for input to the Nationwide Significant Risk
Threshold.
The Nationwide Significant Risk Threshold rounds to 17,030. This
value is recalculated annually.
Crossing Corridor Risk Index
The Crossing Corridor Risk Index is the average of the risk
indexes of all the crossings in a defined rail corridor. Communities
seeking to establish ``Quiet Zones'' should initially calculate this
average for potential corridors.
Quiet Zone Risk Index
The Quiet Zone Risk Index is the average of the risk indexes of
all the public crossings in a Quiet Zone. It takes into
consideration the absence of the horn sound and any safety measures
that may have been installed.
Appendix E to Part 222--Requirements for Wayside Horns
This appendix sets forth the following minimum requirements for
wayside horn use at highway-rail grade crossings:
1. Highway-rail crossing must be equipped with constant warning
time device, if reasonably practical, and power-out indicator;
2. Horn system must be equipped with an indicator or other
system to notify the locomotive engineer as to whether the wayside
horn is operating as intended in sufficient time to enable the
locomotive engineer to sound the locomotive horn for at least 15
seconds prior to arrival at the crossing in the event the wayside
horn is not operating as intended;
3. The railroad must adopt an operating rule, bulletin or
special instruction requiring that the train horn be sounded if the
wayside horn indicator is not visible approaching the crossing or if
the wayside horn indicator, or an equivalent system, indicates that
the system is not operating as intended;
4. Horn system must provide a minimum sound level of 92 dB(A)
and a maximum of 110 dB(A) when measured 100 feet from the
centerline of the nearest track;
5. Horn system must sound at a minimum of 15 seconds prior to
the train's arrival at the crossing and while the lead locomotive is
traveling across the crossing. It is permissible for the horn system
to begin to sound simultaneously with activation of the flashing
lights or descent of the crossing arm; arm
6. Horn shall be directed toward approaching traffic.
Appendix F to Part 222--Diagnostic Team Considerations
For purposes of this part, a diagnostic team is a group of
knowledgeable representatives of parties of interest in a highway-
rail grade crossing, organized by the public authority responsible
for that crossing who, using crossing safety management principles,
evaluate conditions at a grade crossing to make determinations or
recommendations for the public authority concerning the safety needs
at that crossing. Crossings proposed for inclusion in a quiet zone
should be reviewed in the field by a diagnostic team composed of
railroad personnel, public safety or law enforcement, engineering
personnel from the State agency responsible for grade crossing
safety, and other concerned parties.
[[Page 47665]]
This diagnostic team, using crossing safety management
principles, should evaluate conditions at a grade crossing to make
determinations and recommendations concerning safety needs at that
crossing. The diagnostic team can evaluate a crossing from many
perspectives and can make recommendations as to what safety measures
authorized by this part might be utilized to compensate for the
silencing of the train horns within the proposed quiet zone.
All Crossings Within a Proposed Quiet Zone
The diagnostic team should obtain and review the following
information about each crossing within the proposed quiet zone:
1. Current highway traffic volumes and percent of trucks;
2. Posted speed limits on all highway approaches;
3. Maximum allowable train speeds, both passenger and freight;
4. Accident history for each crossing under consideration;
5. School bus or transit bus use at the crossing; and
6. Presence of U.S. DOT grade crossing inventory numbers clearly
posted at each of the crossings in question.
The diagnostic team should obtain all inventory information for
each crossing and should check, while in the field, to see that
inventory information is up-to-date and accurate. Outdated inventory
information should be updated as part of the quiet zone development
process.
When in the field, the diagnostic team should take note of the
physical characteristics of each crossing, including the following items:
1. Can any of the crossings within the proposed quiet zone be
closed or consolidated with another adjacent crossing? Crossing
elimination should always be the preferred alternative and it should
be explored for crossings within the proposed quiet zone.
2. What is the number of lanes on each highway approach? Note
the pavement condition on each approach, as well as the condition of
the crossing itself.
3. Is the grade crossing surface smooth, well graded and free draining?
4. Does the alignment of the railroad tracks at the crossing
create any problems for road users on the crossing? Are the tracks
in superelevation (are they banked on a curve?) and does this create
a conflict with the vertical alignment of the crossing roadway?
5. Note the distance to the nearest intersection or traffic
signal on each approach (if within 500 feet or so of the crossing or
if the signal or intersection is determined to have a potential
impact on highway traffic at the crossing because of queuing or
other special problems).
6. If a roadway that runs parallel to the railroad tracks is
within 100 feet of the railroad tracks when it crosses an
intersecting road that also crosses the tracks, the appropriate
advance warning signs should be posted as shown in the MUTCD.
7. Is the posted highway speed (on each approach to the
crossing) appropriate for the alignment of the roadway and the
configuration of the crossing?
8. Does the vertical alignment of the crossing create the
potential for a ``hump crossing'' where long, low-clearance vehicles
might get stuck on the crossing?
9. What are the grade crossing warning devices in place at each
crossing? Flashing lights and gates are required for each public
crossing in a New Quiet Zone. Are all required warning devices,
signals, pavement markings and advance signing in place, visible and
in good condition for both day and night time visibility?
10. What kind of train detection is in place at each crossing?
Are these systems old or outmoded; are they in need of replacement,
upgrading, or refurbishment?
11. Are there sidings or other tracks adjacent to the crossing
that are often used to store railroad cars, locomotives, or other
equipment that could obscure the vision of road users as they
approach the crossings in the quiet zone? Clear visibility may help
to reduce automatic warning device violations.
12. Are motorists currently violating the warning devices at any
of the crossings at an excessive rate?
13. Do collision statistics for the corridor indicate any
potential problems at any of the crossings?
14. If school buses or transit buses use crossings within the
proposed quiet zone corridor, can they be rerouted to use a single
crossing within or outside of the quiet zone?
Private Crossings Within a Proposed Quiet Zone
In addition to the items discussed above, a diagnostic team
should note the following issues when examining any private
crossings within a proposed quiet zone:
1. How often is the private crossing used?
2. What kind of signing or pavement markings are in place at the
private crossing?
3. What types of vehicles use the private crossing?
School buses
Large trucks
Hazmat carriers
Farm equipment
4. What is the volume, speed and type of train traffic over the
crossing?
5. Do passenger trains use the crossing?
6. Do approaching trains sound the horn at the private crossing?
State or local law requires it?
Railroad safety rule requires it?
7. Are there any nearby crossings where train horns sound that
might also provide some warning if train horns were not sounded at
the private crossing?
8. What are the approach (corner) sight distances?
9. What is the clearing sight distance for all approaches?
10. What are the private roadway approach grades?
11. What are the private roadway pavement surfaces?
Pedestrian Crossings Within a Proposed Quiet Zone
In addition to the items discussed in the section titled, ``All
crossings within a proposed quiet zone'', a diagnostic team should
note the following issues when examining any pedestrian crossings
within a proposed quiet zone:
1. How often is the pedestrian crossing used?
2. What kind of signing or pavement markings are in place at the
pedestrian crossing?
3. What is the volume, speed, and type of train traffic over the
crossing?
4. Do approaching trains sound the horn at the pedestrian crossing?
State or local law requires it?
Railroad safety rule requires it?
5. Are there any crossings where train horns sound that might
also provide some warning if train horns were not sounded at the
pedestrian crossing?
6. What are the approach sight distances?
7. What is the clearing sight distance for all approaches?
Appendix G to Part 222--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 $27,000 for any violation where circumstances
warrant. See 49 CFR Part 209, appendix A.
------------------------------------------------------------------------
Willful
Section Violation violation
------------------------------------------------------------------------
Subpart B--Use of Locomotive Horns
Sec. 222.21 Use of locomotive horn
(a) Failure to sound horn at grade $5,000 $7,500
crossing...............................
Failure to sound horn in proper 1,000 3,000
pattern............................
(b) Failure to sound horn at least 15 5,000 7,500
seconds and less than \1/4\-mile before
crossing...............................
Sounding the locomotive horn more 1,000 2,000
than 25 seconds before crossing....
Sounding the locomotive horn more 1,000 2,000
than \1/4\-mile in advance of
crossing...........................
Sec. 222.33 Failure to sound horn when 5,000 7,500
conditions of Sec. 222.33 are not met
[[Page 47666]]
Sec. 222.45 Routine sounding of the 5,000 7,500
locomotive horn at quiet zone crossing
Sec. 222.49 (b) Failure to provide 2,500 5,000
Grade Crossing Inventory Form
information
Sec. 222.59 (d) Routine sounding of 5,000 7,500
the locomotive horn at a grade crossing
equipped with wayside horn
------------------------------------------------------------------------
PART 229--[AMENDED]
? 2. The authority citation for part 229 continues to read as follows:
Authority: 49 U.S.C. 20102-20103, 20107, 20133, 20137-20138,
20143, 20701-20703, 21301-20302, 21304; 49 CFR 149(c), (m).
? 3. Section 229.5 is amended by adding the following definitions in
alphabetical order:
Sec. 229.5 Definitions.
* * * * *
Acceptable quality level (AQL). The AQL is expressed in terms of
percent defective or defects per 100 units. Lots having a quality level
equal to a specified AQL will be accepted approximately 95 percent of
the time when using the sampling plans prescribed for that AQL.
* * * * *
Defective means, for purposes of section 229.129 of this part, a
locomotive equipped with an audible warning device that produces a
maximum sound level in excess of 110 dB(A) and/or a minimum sound level
below 96 dB(A), as measured 100 feet forward of the locomotive in the
direction of travel.
* * * * *
Lot means a collection of locomotives, equipped with the same horn
model, configuration, and location, and the same air pressure and
delivery system, which has been manufactured or processed under
essentially the same conditions.
* * * * *
? 4. Section 229.129 is revised to read as follows:
Sec. 229.129 Locomotive horn.
(a) Each lead locomotive shall be equipped with a locomotive horn
that produces a minimum sound level of 96 dB(A) and a maximum sound
level of 110 dB(A) at 100 feet forward of the locomotive in its
direction of travel. The locomotive horn shall be arranged so that it
can be conveniently operated from the engineer's usual position during
operation of the locomotive.
(b)(1) Each locomotive built on or after September 18, 2006 shall
be tested in accordance with this section to ensure that the horn
installed on such locomotive is in compliance with paragraph (a) of
this section. Locomotives built on or after September 18, 2006 may,
however, be tested in accordance with an acceptance sampling scheme
such that there is a probability of .05 or less of rejecting a lot with
a proportion of defectives equal to an AQL of 1% or less, as set forth
in 7 CFR part 43.
(2) Each locomotive built before September 18, 2006 shall be tested
in accordance with this section before June 24, 2010 to ensure that the
horn installed on such locomotive is in compliance with paragraph (a)
of this section.
(3) Each remanufactured locomotive, as determined pursuant to Sec.
229.5 of this part, shall be tested in accordance with this section to
ensure that the horn installed on such locomotive is in compliance with
paragraph (a).
(4)(i) Except as provided in paragraph (b)(4)(ii) of this section,
each locomotive equipped with a replacement locomotive horn shall be
tested, in accordance with paragraph (c) of this section, before the
next two annual tests required by Sec. 229.27 of this part are completed.
(ii) Locomotives that have already been tested individually or
through acceptance sampling, in accordance with paragraphs (b)(1),
(b)(2), or (b)(3) of this section, shall not be required to undergo
sound level testing when equipped with a replacement locomotive horn,
provided the replacement locomotive horn is of the same model as the
locomotive horn that was replaced and the mounting location and type of
mounting are the same.
(c) Testing of the locomotive horn sound level shall be in
accordance with the following requirements:
(1) A properly calibrated sound level meter shall be used that, at
a minimum, complies with the requirements of International
Electrotechnical Commission (IEC) Standard 61672-1 (2002-05) for a
Class 2 instrument.
(2) An acoustic calibrator shall be used that, at a minimum,
complies with the requirements of IEC standard 60942 (1997-11) for a
Class 2 instrument.
(3) The manufacturer's instructions pertaining to mounting and
orienting the microphone; positioning of the observer; and periodic
factory recalibration shall be followed.
(4) A microphone windscreen shall be used and tripods or similar
microphone mountings shall be used that minimize interference with the
sound being measured.
(5) The test site shall be free of large reflective structures,
such as barriers, hills, billboards, tractor trailers or other large
vehicles, locomotives or rail cars on adjacent tracks, bridges or
buildings, within 200 feet to the front and sides of the locomotive.
The locomotive shall be positioned on straight, level track.
(6) Measurements shall be taken only when ambient air temperature
is between 32 degrees and 104 degrees Fahrenheit inclusively; relative
humidity is between 20 percent and 95 percent inclusively; wind
velocity is not more than 12 miles per hour and there is no precipitation.
(7) With the exception of cab-mounted or low-mounted horns, the
microphone shall be located 100 feet forward of the front knuckle of
the locomotive, 15 feet above the top of the rail, at an angle no
greater than 20 degrees from the center line of the track, and oriented
with respect to the sound source according to the manufacturer's
recommendations. For cab-mounted and low-mounted horns, the microphone
shall be located 100 feet forward of the front knuckle of the
locomotive, four feet above the top of the rail, at an angle no greater
than 20 degrees from the center line of the track, and oriented with
respect to the sound source according to the manufacturer's
recommendations. The observer shall not stand between the microphone
and the horn.
(8) Background noise shall be minimal: the sound level at the test
site immediately before and after each horn sounding event shall be at
least 10 dB(A) below the level measured during the horn sounding.
(9) Measurement procedures. The sound level meter shall be set for
A-weighting with slow exponential response and shall be calibrated with
the acoustic calibrator immediately before and after compliance tests.
Any change in the before and after calibration levels shall be less
than 0.5 dB. After the output from the locomotive horn system has
reached a stable level, the A-weighted equivalent sound level (slow
response) for a 10-second duration (LAeq, 10s) shall be obtained either
directly using an integrating-averaging sound level meter,
[[Page 47667]]
or recorded once per second and calculated indirectly. The arithmetic-
average of a series of at least six such 10-second duration readings
shall be used to determine compliance. The standard deviation of the
readings shall be less than 1.5 dB.
(10) Written reports of locomotive horn testing required by this
part shall be made and shall reflect horn type; the date, place, and
manner of testing; and sound level measurements. These reports, which
shall be signed by the person who performs the test, shall be retained
by the railroad, at a location of its choice, until a subsequent
locomotive horn test is completed and shall be made available, upon
request, to FRA as provided by 49 U.S.C. 20107.
(d) This section does not apply to locomotives of rapid transit
operations which are otherwise subject to this part.
? 5. The entry for Sec. 229.129 ``Audible warning device'' in appendix B
to Part 229 is revised to read as follows:
Appendix B to Part 229--Schedule of Civil Penalties
------------------------------------------------------------------------
Willful
Section Violation violation
------------------------------------------------------------------------
* * * * * * *
229.129 Locomotive horn:
(a) Prescribed sound levels............. 2,500 5,000
Arrangement of horn................. 2,500 5,000
(b) Failure to perform sound level test. 2,500 5,000
(c) Sound level test improperly 2,500 5,000
performed..............................
Record of sound level test 1,000 4,000
improperly executed, or not
retained...........................
* * * * * * *
------------------------------------------------------------------------
Issued in Washington, DC on August 7, 2006.
Joseph H. Boardman,
Administrator.
[FR Doc. 06-6912 Filed 8-16-06; 8:45 am]
BILLING CODE 4910-06-P