47614 Federal Register / Vol. 71, No. 159 / Thursday, August 17, 2006 / Rules and Regulations 

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 HighwayRail Grade Crossings 

AGENCY: Federal Railroad 

Administration (FRA), Department of 

Transportation (DOT). 

ACTION: Final rule; response to petitions 

for reconsideration. 

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 wideranging 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 § 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 § 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 


sroberts on PROD1PC70 with RULES
Federal Register / Vol. 71, No. 159 / Thursday, August 17, 2006 / Rules and Regulations 47615 

allowed communities to establish PreRule 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 § 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, § 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. (§§ 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 §§ 222.21(e), 

222.25 and 222.27 of the rule. However, 

as stated in § 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 HighwayRail 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 highwayrail 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 


sroberts on PROD1PC70 with RULES
47616 Federal Register / Vol. 71, No. 159 / Thursday, August 17, 2006 / Rules and Regulations 

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 

§ 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 

§ 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 § 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 § 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 §§ 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 § 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 § 222.43 for more 

information.) 

• These amendments extend the 

compliance date for the sound level 

testing of new locomotives until 

September 18, 2006. (See § 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 § 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 preexisting 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 § 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 § 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 § 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 surfacemounted 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 surfacemounted 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 statesponsored 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 


sroberts on PROD1PC70 with RULES
Federal Register / Vol. 71, No. 159 / Thursday, August 17, 2006 / Rules and Regulations 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 highwayrail grade crossing’’ has been revised to 

correct an inadvertent typographical 

error. 

Even though the definition of ‘‘PreRule 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 goodfaith 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 § 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 


sroberts on PROD1PC70 with RULES
47618 Federal Register / Vol. 71, No. 159 / Thursday, August 17, 2006 / Rules and Regulations 

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 HighwayRail 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 timebased 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. 


sroberts on PROD1PC70 with RULES
Federal Register / Vol. 71, No. 159 / Thursday, August 17, 2006 / Rules and Regulations 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 distancebased 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 noncompliant 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 § 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 § 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 § 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 

§§ 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 highwayrail 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 


sroberts on PROD1PC70 with RULES
47620 Federal Register / Vol. 71, No. 159 / Thursday, August 17, 2006 / Rules and Regulations 

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 § 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 § 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 § 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 

§§ 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 PreRule 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. 


sroberts on PROD1PC70 with RULES
Federal Register / Vol. 71, No. 159 / Thursday, August 17, 2006 / Rules and Regulations 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 

§ 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 highwayrail grade crossing would be ‘‘doublecounted’’, 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 § 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 § 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 § 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 § 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 highwayrail 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 highwayrail 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 


sroberts on PROD1PC70 with RULES
47622 Federal Register / Vol. 71, No. 159 / Thursday, August 17, 2006 / Rules and Regulations 

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 PreRule 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 § 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 § 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 §§ 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, PreRule 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 PreRule 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 §§ 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 PreRule Partial Quiet Zone if: (a) The PreRule Quiet Zone or Pre-Rule Partial 

Quiet Zone complies with the Pre-Rule 

Quiet Zone requirements set forth in 

§§ 222.25, 222.27, and 222.35 of this 

part; (b) the Pre-Rule Quiet Zone or PreRule Partial Quiet Zone complies with 

the quiet zone standards set forth in 

§ 222.39 of this part; and (c) the public 

authority complies with all applicable 

notification and filing requirements 

contained within this paragraph (c) and 

§ 222.43 of this part. 

The notification and filing 

requirements contained within this 

paragraph (c) and § 222.43 of this part 

may include: a) mailing the Notice of 

Intent, in accordance with § 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 

§ 222.43 of this part. 


sroberts on PROD1PC70 with RULES
Federal Register / Vol. 71, No. 159 / Thursday, August 17, 2006 / Rules and Regulations 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 

§ 222.43 of this part. These notification 

and filing requirements may include: (a) 

Mailing the Notice of Intent, in 

accordance with § 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 

§ 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 § 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 

§ 222.43 of this part; (b) bring the 

Intermediate Quiet Zone or Intermediate 

Partial Quiet Zone into compliance with 

the standards set forth in § 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 

§§ 222.25, 222.27, and 222.35 of this 

part; and d) provide a Notice of Quiet 

Zone Establishment, in accordance with 

§ 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 ‘‘nocomment’’ statements from each 

railroad operating over public highwayrail 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 § 222.43(b) for more 

information.) Even though these 

notification requirements were 

contained within § 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 § 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 § 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 


sroberts on PROD1PC70 with RULES
47624 Federal Register / Vol. 71, No. 159 / Thursday, August 17, 2006 / Rules and Regulations 

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 PreRule 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 

§ 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 fourquadrant 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 fourquadrant 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 § 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 § 222.21(b) of this part. As 

stated in § 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 


sroberts on PROD1PC70 with RULES
Federal Register / Vol. 71, No. 159 / Thursday, August 17, 2006 / Rules and Regulations 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 § 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 highwayrail 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 § 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 § 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 § 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 § 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 

§ 229.129 of this part. First, the AAR 

asserted that § 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 


sroberts on PROD1PC70 with RULES
47626 Federal Register / Vol. 71, No. 159 / Thursday, August 17, 2006 / Rules and Regulations 

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 § 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 § 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 


sroberts on PROD1PC70 with RULES
Federal Register / Vol. 71, No. 159 / Thursday, August 17, 2006 / Rules and Regulations 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 New Locomotives .................................................................................. $34,203 

Notice and Comment Requirements ................................................................................................................................................... $150,670 

Total Twenty-Year Costs associated with implementation of the Final Rule revisions are estimated to total ........................... *$184,873 

1Present 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 


sroberts on PROD1PC70 with RULES
47628 Federal Register / Vol. 71, No. 159 / Thursday, August 17, 2006 / Rules and Regulations 

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 locomotivebased 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 


sroberts on PROD1PC70 with RULES
Federal Register / Vol. 71, No. 159 / Thursday, August 17, 2006 / Rules and Regulations 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 


sroberts on PROD1PC70 with RULES
47630 Federal Register / Vol. 71, No. 159 / Thursday, August 17, 2006 / Rules and Regulations 


sroberts on PROD1PC70 with RULESER17AU06.000</GPH>
Federal Register / Vol. 71, No. 159 / Thursday, August 17, 2006 / Rules and Regulations 47631 


sroberts on PROD1PC70 with RULESER17AU06.001</GPH>
47632 Federal Register / Vol. 71, No. 159 / Thursday, August 17, 2006 / Rules and Regulations 

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 


sroberts on PROD1PC70 with RULESER17AU06.002</GPH>
Federal Register / Vol. 71, No. 159 / Thursday, August 17, 2006 / Rules and Regulations 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 § 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 decisionmakers be local authorities. This revised 

Final Rule provides non-Federal parties 

extensive involvement in decisionmaking 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 nonFederal 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 sectionby-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 


sroberts on PROD1PC70 with RULES
47634 Federal Register / Vol. 71, No. 159 / Thursday, August 17, 2006 / Rules and Regulations 

‘‘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? 

§ 222.37 Who may establish a quiet zone? 

§ 222.38 Can a quiet zone be created in the 

Chicago Region? 

§ 222.39 How is a quiet zone established? 

§ 222.41 How does this rule affect Pre-Rule 

Quiet Zones and Pre-Rule Partial Quiet 

Zones? 

§ 222.42 How does this rule affect 

Intermediate Quiet Zones and 

Intermediate Partial Quiet Zones? 

§ 222.43 What notices and other 

information are required to create or 

continue a quiet zone? 

§ 222.45 When is a railroad required to 

cease routine sounding of locomotive 

horns at crossings? 

§ 222.47 What periodic updates are 

required? 

§ 222.49 Who may file Grade Crossing 

Inventory Forms? 

§ 222.51 Under what conditions will quiet 

zone status be terminated? 

§ 222.53 What are the requirements for 

supplementary and alternative safety 

measures? 

§ 222.55 How are new supplementary or 

alternative safety measures approved? 

§ 222.57 Can parties seek review of the 

Associate Administrator’s actions? 

§ 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 

§ 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. 

§ 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. 

§ 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 highwayrail 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. 

§ 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 

§ 222.3(c) of this part. 

(c) Except as provided in §§ 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 


sroberts on PROD1PC70 with RULES
Federal Register / Vol. 71, No. 159 / Thursday, August 17, 2006 / Rules and Regulations 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 § 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 highwayrail grade crossings. 

§ 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. 


sroberts on PROD1PC70 with RULES
47636 Federal Register / Vol. 71, No. 159 / Thursday, August 17, 2006 / Rules and Regulations 

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 PreRule 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 PreRule 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 highwayrail 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 preexisting 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 highwayrail 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 highwayrail 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 nonhighway 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. 


sroberts on PROD1PC70 with RULES
Federal Register / Vol. 71, No. 159 / Thursday, August 17, 2006 / Rules and Regulations 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. 

§ 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. 

§ 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. 

§ 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. 

§ 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 

§ 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 


sroberts on PROD1PC70 with RULES
47638 Federal Register / Vol. 71, No. 159 / Thursday, August 17, 2006 / Rules and Regulations 

speeds in excess of 60 mph shall not 

begin sounding the horn more than onequarter 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 § 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. 

§ 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: 

§§ 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). 

§ 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 highwayrail grade crossings, the locomotive horn 

shall be sounded in accordance with 

§ 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 §§ 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 § 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 § 222.35(c) of this part. 

§ 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 § 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 §§ 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 


sroberts on PROD1PC70 with RULES
Federal Register / Vol. 71, No. 159 / Thursday, August 17, 2006 / Rules and Regulations 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 

§ 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? 

(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 

§ 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 onehalf 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 PreRule 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 PreRule 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 § 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 


sroberts on PROD1PC70 with RULES
47640 Federal Register / Vol. 71, No. 159 / Thursday, August 17, 2006 / Rules and Regulations 

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 § 222.25 of this part. 

(f) All pedestrian grade crossings 

within a quiet zone must be treated in 

accordance with § 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. 

§ 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. 

§ 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 § 222.3(c) of this part. 

§ 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 § 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 highwayrail 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. 


sroberts on PROD1PC70 with RULES
Federal Register / Vol. 71, No. 159 / Thursday, August 17, 2006 / Rules and Regulations 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 §§ 222.57(b) and (d) of this 

part. 

(c) Appendix C of this part contains 

guidance on how to create a quiet zone. 

§ 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 § 222.51, if the Pre-Rule 

Quiet Zone is in compliance with 

§§ 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 § 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 

§ 222.51, if the Pre-Rule Partial Quiet 

Zone is in compliance with §§ 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 § 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 § 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 § 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 §§ 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 

§ 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 PreRule Partial Quiet Zone requirements 

contained within §§ 222.25, 222.27, and 

222.35 of this part; 

(B) The quiet zone standards set forth 

in § 222.39 of this part; and 

(C) All applicable notification and 

filing requirements contained within 

this paragraph (c) and § 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 


sroberts on PROD1PC70 with RULES
47642 Federal Register / Vol. 71, No. 159 / Thursday, August 17, 2006 / Rules and Regulations 

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 §§ 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 § 222.39 of this 

part; and 

(3) The public authority complies 

with all applicable notification and 

filing requirements contained within 

this paragraph (c) and § 222.43 of this 

part. 

§ 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 

§ 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 § 222.43 of this part; 

(ii) The quiet zone complies with the 

standards set forth in § 222.39 of this 

part; 

(iii) The quiet zone complies with the 

New Quiet Zone standards set forth in 

§§ 222.25, 222.27, and 222.35 of this 

part; 

(iv) Notice of Quiet Zone 

Establishment is mailed, in accordance 

with § 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 § 222.43 of this part; 

(2) The quiet zone complies with the 

standards set forth in § 222.39 of this 

part; 

(3) The quiet zone is brought into 

compliance with the New Quiet Zone 

requirements set forth in §§ 222.25, 

222.27, and 222.35 of this part; and 

(4) Notice of Quiet Zone 

Establishment is mailed, in accordance 

with § 222.43 of this part, by June 3, 

2006. 

§ 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 § 222.39 of this part 

or to implement new SSMs or ASMs 

within a Pre-Rule Quiet Zone or PreRule Partial Quiet Zone under 

§ 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 § 222.41 of this part 

or to continue an Intermediate Quiet 

Zone or Intermediate Partial Quiet Zone 

under § 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 

§ 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 PreRule Partial Quiet Zones governed by 

§§ 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 highwayrail 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 

§ 222.41 or 222.42 of this part shall be 

served no later than June 3, 2005. 


sroberts on PROD1PC70 with RULES
Federal Register / Vol. 71, No. 159 / Thursday, August 17, 2006 / Rules and Regulations 47643 

(ii) If the Notice of Quiet Zone 

Continuation under § 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, § 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 ‘‘nocomment’’ 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, § 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 § 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 § 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 § 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. 

§ 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 

§ 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. 

§ 222.47 What periodic updates are 

required? 

(a) Quiet zones with SSMs at each 

public crossing. This paragraph 


sroberts on PROD1PC70 with RULES
47644 Federal Register / Vol. 71, No. 159 / Thursday, August 17, 2006 / Rules and Regulations 

addresses quiet zones established 

pursuant to §§ 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 41⁄2 and 5 

years after the date of the quiet zone 

establishment notice provided by the 

public authority under § 222.43 of this 

part, and between 41⁄2 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 § 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 §§ 222.39(a)(2) and (a)(3), 

§ 222.39(b), §§ 222.41(a)(1)(ii), (a)(1)(iii), 

and (a)(1)(iv), and §§ 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 21⁄2 and 3 years after 

the date of the quiet zone establishment 

notice provided by the public authority 

under § 222.43 of this part, and between 

21⁄2 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 

§ 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. 

§ 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 

§§ 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. 

§ 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 

§§ 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 § 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 

§ 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 

§§ 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 

§§ 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 

§ 222.41(a)(1)(iii) or 222.41(b)(1)(iii) of 

this part. 


sroberts on PROD1PC70 with RULES
Federal Register / Vol. 71, No. 159 / Thursday, August 17, 2006 / Rules and Regulations 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 

§§ 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 § 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 

§ 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 § 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 multijurisdictional 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 


sroberts on PROD1PC70 with RULES
47646 Federal Register / Vol. 71, No. 159 / Thursday, August 17, 2006 / Rules and Regulations 

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. 

§ 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 § 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. 

§ 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 § 222.57 of this 

part. 

§ 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 

§ 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 


sroberts on PROD1PC70 with RULES
Federal Register / Vol. 71, No. 159 / Thursday, August 17, 2006 / Rules and Regulations 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 § 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 § 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 

§ 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 § 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 

§ 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. 

§ 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 HighwayRail 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 HighwayRail Grade Crossing: Close the crossing to 


sroberts on PROD1PC70 with RULES
47648 Federal Register / Vol. 71, No. 159 / Thursday, August 17, 2006 / Rules and Regulations 

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. Barrica ̆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 fourquadrant 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 fourquadrant 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 PreRule 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 nontraversable 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. 


sroberts on PROD1PC70 with RULES
Federal Register / Vol. 71, No. 159 / Thursday, August 17, 2006 / Rules and Regulations 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 § 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 § 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 powerout 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 PreRule 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, powerout 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 HighwayRail 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 preexisting 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 preexisting 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 (§ 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. Nonengineering 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 


sroberts on PROD1PC70 with RULES
47650 Federal Register / Vol. 71, No. 159 / Thursday, August 17, 2006 / Rules and Regulations 

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 preexisting 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 preexisting 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 preexisting 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 preexisting 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, 


sroberts on PROD1PC70 with RULES
Federal Register / Vol. 71, No. 159 / Thursday, August 17, 2006 / Rules and Regulations 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 recalculated 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. 


sroberts on PROD1PC70 with RULES
47652 Federal Register / Vol. 71, No. 159 / Thursday, August 17, 2006 / Rules and Regulations 

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 PreRule 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 

(§ 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 


sroberts on PROD1PC70 with RULES
Federal Register / Vol. 71, No. 159 / Thursday, August 17, 2006 / Rules and Regulations 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 (§ 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 recalculate 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 preexisting 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 × 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 × 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 preexisting 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 


sroberts on PROD1PC70 with RULES
47654 Federal Register / Vol. 71, No. 159 / Thursday, August 17, 2006 / Rules and Regulations 

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 § 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 § 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 (§ 222.43(a)(1) and 

§ 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. (§ 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. 

(§ 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. (§§ 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. (§§ 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. (§ 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 


sroberts on PROD1PC70 with RULES
Federal Register / Vol. 71, No. 159 / Thursday, August 17, 2006 / Rules and Regulations 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. 

(§ 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 

§ 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 (§ 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 (§ 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 

(§ 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) (§ 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 

§ 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 

§ 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. 


sroberts on PROD1PC70 with RULES
47656 Federal Register / Vol. 71, No. 159 / Thursday, August 17, 2006 / Rules and Regulations 

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 § 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 § 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 (§ 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. (§ 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 

§ 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 § 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 


sroberts on PROD1PC70 with RULES
Federal Register / Vol. 71, No. 159 / Thursday, August 17, 2006 / Rules and Regulations 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

Passive Flashing 

lights 

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 (§ 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 recalculated 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 § 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 (§ 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 (§ 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 (§ 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. 

(§§ 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. (§ 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. (§ 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). (§ 222.35(b)(3)) 

5. By June 24, 2008, private crossings must 

have cross-bucks and ‘‘STOP’’ signs on both 

approaches to the crossing. (§ 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. (§§ 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 § 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 § 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 (§ 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 (§ 222.35) and 

the notification requirements in § 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 


sroberts on PROD1PC70 with RULES
47658 Federal Register / Vol. 71, No. 159 / Thursday, August 17, 2006 / Rules and Regulations 

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 webbased 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 

§ 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 § 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 (§§ 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 recalculated 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 § 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 § 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 (§§ 222.43(a)(1) and 

222.43(b)) to the railroads that operate within 

the proposed quiet zone, the State agency 


sroberts on PROD1PC70 with RULES
Federal Register / Vol. 71, No. 159 / Thursday, August 17, 2006 / Rules and Regulations 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 PreRule 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 § 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 

(§ 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. (§ 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 § 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—§ 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 


sroberts on PROD1PC70 with RULES
47660 Federal Register / Vol. 71, No. 159 / Thursday, August 17, 2006 / Rules and Regulations 

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—

§ 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, 

§ 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 highwayrail 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—

§ 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, 

§ 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 

§ 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 § 222.39(b), it 

shall include a copy of FRA’s notification of 

approval. 

3. If a diagnostic team review was required 

under § 222.25 (private crossings) or § 222.27 

(pedestrian crossings), the Notice of Quiet 

Establishment shall include a statement 

affirming that the State agency responsible 


sroberts on PROD1PC70 with RULES
Federal Register / Vol. 71, No. 159 / Thursday, August 17, 2006 / Rules and Regulations 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 highwayrail 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 highwayrail 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 

Street 

Crossing 

risk index 

w/horns 

Crossing 

risk index 

w/o horns 

SSM EFF 

Crossing 

risk index 

w/o horns 

plus 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 

Street 

Crossing 

risk index 

w/horns 

Crossing 

risk index 

w/o horns 

SSM EFF 

Crossing 

risk index 

w/o 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 


sroberts on PROD1PC70 with RULES
47662 Federal Register / Vol. 71, No. 159 / Thursday, August 17, 2006 / Rules and Regulations 

(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 recalculation 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 

Street 

Crossing 

risk index 

w/horns 

Crossing 

risk index 

w/o horns 

SSM EFF 

Crossing 

risk index 

w/o horns 

plus 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 

Street 

Crossing 

risk index 

w/o horns 

Crossing 

risk index 

w/ horns 

SSM EFF 

Crossing 

risk index 

w/o 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. 


sroberts on PROD1PC70 with RULES
Federal Register / Vol. 71, No. 159 / Thursday, August 17, 2006 / Rules and Regulations 47663 

TABLE 6 

Street 

Crossing 

risk index 

w/o horns 

Crossing 

risk index 

w/ horns 

SSM EFF 

Crossing 

risk index 

w/o 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 

Street 

Crossing 

risk index 

w/o horns 

Crossing 

risk index 

w/ horns 

SSM EFF 

Crossing 

risk index 

w/o 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 

Street 

Crossing 

risk index 

w/o horns 

Crossing 

risk index 

w/ horns 

SSM EFF 

Crossing 

risk index 

w/o 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 highwayrail 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|C)) 

3. the probability of a casualty collision 

given that a collision occurs (P(CC|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 


sroberts on PROD1PC70 with RULES
47664 Federal Register / Vol. 71, No. 159 / Thursday, August 17, 2006 / Rules and Regulations 

2The 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. 

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|C). Similarly, the casualty 

formula calculates the probability of a 

casualty collision given that a collision 

occurs P(CC|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 RailHighway Crossings Resource Allocation 

Procedure—Revised, June 1987, and the RailHighway 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 × P(FC|C) 

× (Average Number of Fatalities 

Observed In Fatal Collisions) × $3 

million 

2. Predicted Cost of Injuries = PC × 

(P(CC|C)—P(FC|C)) × (Average Number of 

Injuries in Collisions Involving Injuries) 

× $1,167,000 

PC, P(CC|C), and P(FC|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

(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 injuryonly 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|C)] 

represents the expected number of fatal 

collisions. Similarly, {PC*[P(CC|C)–P(FC|C)]} 

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. 


sroberts on PROD1PC70 with RULES
Federal Register / Vol. 71, No. 159 / Thursday, August 17, 2006 / Rules and Regulations 47665 

1A 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. 

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

Section Violation Willful 

violation 

Subpart B—Use of Locomotive Horns 

§ 222.21 Use of locomotive horn 

(a) Failure to sound horn at grade crossing ............................................................................................................ $5,000 $7,500 

Failure to sound horn in proper pattern ........................................................................................................... 1,000 3,000 

(b) Failure to sound horn at least 15 seconds and less than 1⁄4-mile before crossing .......................................... 5,000 7,500 

Sounding the locomotive horn more than 25 seconds before crossing .......................................................... 1,000 2,000 

Sounding the locomotive horn more than 1⁄4-mile in advance of crossing ...................................................... 1,000 2,000 

§ 222.33 Failure to sound horn when conditions of § 222.33 are not met 5,000 7,500 


sroberts on PROD1PC70 with RULES
47666 Federal Register / Vol. 71, No. 159 / Thursday, August 17, 2006 / Rules and Regulations 

Section Violation Willful 

violation 

§ 222.45 Routine sounding of the locomotive horn at quiet zone crossing 5,000 7,500 

§ 222.49 (b) Failure to provide Grade Crossing Inventory Form information 2,500 5,000 

§ 222.59 (d) Routine sounding of the locomotive horn at a grade crossing equipped with wayside horn 5,000 7,500 

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: 

§ 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: 

§ 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 § 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 § 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 cabmounted 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 Aweighting 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, 


sroberts on PROD1PC70 with RULES
Federal Register / Vol. 71, No. 159 / Thursday, August 17, 2006 / Rules and Regulations 47667 

or recorded once per second and 

calculated indirectly. The arithmeticaverage 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 § 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 

Section Violation Willful 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 performed .............................................................................................................. 2,500 5,000 

Record of sound level test improperly executed, or not retained .................................................................... 1,000 4,000 

* * * * * * * 

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 


sroberts on PROD1PC70 with RULES