67430 Federal Register / Vol. 88, No. 188 / Friday, September 29, 2023 / Notices 

The audit team reviewed ADOT’s 

2021 Training Plan and ADOT’s PAIR 

responses pertaining to its training 

program. The ADOT’s EP staff training 

matrix indicates that, while ADOT 

identifies the availability of staff 

needing training, many staff have not 

taken advantage of the opportunity for 

training, including other ADOT 

divisions subject to the 327 MOU 

provisions. The ADOT’s training plan 

identifies that the training interval for 

some topics, such as the NEPA 

Assignment Program, is only once per 

staff member regardless of the period of 

time since the previous round of 

training. Staff may benefit from regular 

‘‘refresher’’ type training, especially as 

regulatory requirements and policy may 

change over time. 

Status of Previous General 

Observations and Non-Compliance 

Observations From the Audit #2 Report 

This section describes the actions 

ADOT has taken (or is taking) in 

response to observations made during 

the second audit. The ADOT was 

provided the second audit draft report 

for review and provided comments to 

FHWA on August 2, 2021. 

Observation #1: Deficiencies and gaps 

in ADOT’s manuals and procedures. 

During Audit #2, the audit team 

identified deficiencies in ADOT’s 

manuals and procedures which may 

result in incomplete project 

documentation or analysis and increase 

the risk for non-compliance. The first 

was in the ADOT CE Checklist Manual 

and the EA/EIS Manual, specifically the 

process for re-evaluations for EAs and 

EISs was not well-defined. Although the 

team observed some improvements to 

the manuals in Audit #3, the deficiency 

identified in Audit #2 was not resolved 

and is an observation again in Audit #3. 

The other was the ADOT Section 4(f) 

Manual, documentation forms, and desk 

reference/matrix containing information 

inconsistent with FHWA guidance and 

regulation. The deficiencies identified 

in Audit #2 were addressed by ADOT, 

but additional issues were identified by 

the audit team in Audit #3. 

Non-compliance Observation #1: 

Deficiencies in Section 4(f) evaluation of 

archaeological resources. 

The audit team observed similar 

inconsistencies as were observed in 

Audit #1 during the project file reviews 

for Audit #2 and identified procedural 

deficiencies relating to ADOT’s Section 

4(f) evaluation. The consultation letter 

sent to the Arizona SHPO did not state 

ADOT’s intent to apply the 

archaeological exception to sites or 

include other Section 4(f) information 

regarding the sites identified. In Audit 

#3, the audit team acknowledges 

changes were made to ADOT’s Section 

106 Federal-aid Programmatic 

Agreement Manual, but FHWA 

provided corrections to the draft 

language for ADOT to incorporate. 

Non-compliance Observation #2: 

Deficiencies in analysis of right-of-way 

impacts. 

The ADOT’s procedures (ADOT EA/ 

EIS Manual) and FHWA’s regulations, 

policies, and guidance provide 

information on how to consider right-ofway impacts in the NEPA analysis. The 

FHWA’s regulations, policies, and 

guidance provide additional 

information for how early property 

acquisitions should be considered with 

the right-of-way impacts analysis. In 

Audit #2 for the 327 MOU, the audit 

team found one project file did not 

demonstrate that early acquisition of 

properties and previous relocations 

were adequately addressed in the 

impact analysis in the NEPA document. 

The ADOT submitted a letter to FHWA 

on April 28, 2022, detailing the steps 

ADOT will take within 60 days as a 

corrective action to address the right-ofway non-compliance observation. On 

May 23, 2022, ADOT submitted to 

FHWA updated procedures regarding 

right-of-way impacts in their NEPA 

analyses and FHWA provided technical 

assistance to ADOT regarding these 

procedures. This corrective action by 

ADOT resolves the non-compliance 

observation. 

Observation #3: Inconsistencies in 

interagency consultation 

documentation. 

After completing the project file 

review in Audit #2, the audit team 

found several inconsistencies with 

ADOT’s documentation of compliance 

with interagency consultation 

requirements (per 40 CFR 93.105). It is 

unclear if interagency consultation 

occurred for some projects since the 

project files did not include information 

on agency responses, concurrence, and 

the comment resolution process. 

Therefore, it is unknown if the 

interagency consultation agencies had 

an opportunity to participate in 

consultation or if ADOT provided them 

an opportunity to review and comment 

on the materials as required by 40 CFR 

93.105 and MOU Section 7.2.1. During 

Audit #3, the audit team found an 

increased amount of documentation 

providing evidence of interagency 

consultation efforts by ADOT in the 

project files reviewed. 

Observation #4: Incomplete 

development and implementation of 

performance measures. 

During Audit #2, the audit team 

reviewed ADOT’s performance 

measures and reporting data submitted 

for the review period and concluded 

that ADOT had made progress toward 

developing and implementing its 

performance measures. For Audit #3, 

FHWA continues to identify this 

program objective as an area of concern, 

described in the observations above and 

will continue to evaluate this area in 

subsequent audits. 

Finalizing This Report 

The FHWA provided a draft of the 

audit report to ADOT for a 14-day 

review and comment period, as well as 

notification of the non-compliance 

observations. The ADOT provided 

comments which the audit team 

considered in finalizing this draft audit 

report. The audit team acknowledges 

that ADOT has begun to address some 

of the observations identified in this 

report and recognizes ADOT’s efforts 

toward improving their program. The 

FHWA is publishing this notice in the 

Federal Register for a 30-day comment 

period in accordance with 23 U.S.C. 

327(g). No later than 60 days after the 

close of the comment period, FHWA 

will address all comments submitted to 

finalize this draft audit report pursuant 

to 23 U.S.C. 327(g)(2)(B). Subsequently, 

FHWA will publish the final audit 

report in the Federal Register. The 

FHWA will consider the results of this 

audit in preparing the scope of the next 

annual audit. The next audit report will 

include a summary that describes the 

status of ADOT’s corrective and other 

actions taken in response to this audit’s 

conclusions. 

[FR Doc. 2023–21316 Filed 9–28–23; 8:45 am] 

BILLING CODE 4910–22–P 

DEPARTMENT OF TRANSPORTATION 

Federal Railroad Administration 

Safety Advisory 2023–05; King Pin 

Assemblies in Highway-Rail Grade 

Crossing Warning Systems 

AGENCY: Federal Railroad 

Administration (FRA), Department of 

Transportation (DOT). 

ACTION: Notice of safety advisory. 

SUMMARY: FRA is issuing Safety 

Advisory 2023–05 to heighten 

awareness within the railroad industry 

of the potential failure of king pin 

assemblies in highway-rail grade 

crossing warning systems equipped 

with breakaway gates. This Safety 

Advisory recommends that railroads 

inspect and replace all worn 

components in king pin assemblies. 

This Safety Advisory also recommends 

that railroads develop inspection and 


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Federal Register / Vol. 88, No. 188 / Friday, September 29, 2023 / Notices 67431 

maintenance programs for king pin 

assemblies. 

FOR FURTHER INFORMATION CONTACT: 

Gabe Neal, Staff Director, Signal, Train 

Control and Crossings Division, Office 

of Railroad Safety, FRA, 1200 New 

Jersey Ave. SE, Washington, DC 20590, 

(816)-516–7168, gabe.neal@dot.gov. 

Disclaimer: This Safety Advisory is 

considered guidance pursuant to DOT 

Order 2100.6A (June 7, 2021). Except 

when referencing laws, regulations, 

policies, or orders, the information in 

this Safety Advisory does not have the 

force and effect of law and is not 

binding in any way. This document 

does not review or replace any 

previously issued guidance. 

SUPPLEMENTARY INFORMATION: 

Background 

King pin assemblies were introduced 

in the early 1990s as the rail industry 

transitioned from wooden crossing gate 

arms to aluminum and/or fiberglass 

crossing gate arms. Inspection and 

maintenance programs for king pin 

assemblies have not, however, been 

widely adopted and implemented 

within the railroad industry, even 

though some king pin assemblies have 

been in service since their original 

installation. King pin assemblies cannot 

be inspected without removing the 

crossing gate arm. In addition, the 

recommended maintenance of king pin 

assemblies is not usually conveyed by 

manufacturers in published guidance. 

For highway-rail grade crossing 

warning systems equipped with king 

pin assemblies, the crossing gate slides 

onto the king pin at a 90-degree angle 

when the crossing gate is installed. The 

crossing gate is then pushed all the way 

up on the king pin and rotated into 

place. Shear bolts are installed to keep 

the crossing gate in position. When 

properly installed, the bulk of the 

crossing gate’s weight rests permanently 

on the king pin and post pin tabs. 

However, the king pin assembly can 

be damaged under normal operating 

conditions by vehicle strikes, high 

winds, rust, worn gate boot(s), and 

corrosion. If the highway-rail grade 

crossing gate is being held in place by 

a worn or damaged king pin assembly, 

the crossing gate may drop off the king 

pin and post pin tabs. When this occurs, 

the crossing gate may be held in place 

by only the shear bolts, which are not 

designed to hold the weight of the 

crossing gate. Therefore, if relied upon 

to hold the crossing gate in place, the 

shear bolts could stretch and break 

unexpectedly, allowing the crossing gate 

to fall. This could happen very quickly, 

potentially causing injury to railroad 

employees or members of the general 

public in close proximity to the crossing 

gate. 

Illustrations of Defects 

BILLING CODE 4910–06–P 


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67432 Federal Register / Vol. 88, No. 188 / Friday, September 29, 2023 / Notices 


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Figure ]-Kingpin and gate assembly Figure 2-Kingpin and gate assembly close-up 

F'igure 3-Kingpin with gate removed 

Figures 4,5,6-lleavily oxidized and wom king pin tabs 
Federal Register / Vol. 88, No. 188 / Friday, September 29, 2023 / Notices 67433 

BILLING CODE 4910–06–C 

Recommended Actions 

To ensure the safety of the Nation’s 

railroads, their employees, and the 

general public, FRA recommends that 

railroads take the following actions: 

(1) Inspect king pin assemblies in 

highway-rail grade crossing warning 

systems and replace all worn 

components. 

(2) Develop inspection and 

maintenance programs for king pin 

assemblies that incorporate 

maintenance procedures recommended 

by the manufacturer (if applicable), 

including lubrication of king pin 

assemblies to reduce wear and tear on 

the components. These inspection and 

maintenance programs should include 

periodic inspections of the king pin 

assembly with the crossing gate 

removed, as well as inspection of the 

king pin assembly each time the 

crossing gate is re-hung or replaced. 

These inspection and maintenance 

programs should also address the 

replacement of worn components and 

give special consideration to highwayrail grade crossing warning systems that 

are exposed to high levels of salt, which 

can cause corrosion. 

(3) Issue instructions requiring 

employees to stay clear of descending 

crossing gates until fully lowered and to 

discuss potential failure of the king pin 

assembly in job safety briefings, when 

applicable. Railroads should also issue 

instructions requiring employees to 

warn others to stay clear of descending 

crossing gates until fully lowered. 

Issued in Washington, DC. 

Amitabha Bose, 

Administrator. 

[FR Doc. 2023–21289 Filed 9–28–23; 8:45 am] 

BILLING CODE 4910–06–P 

DEPARTMENT OF TRANSPORTATION 

Federal Railroad Administration 

Safety Advisory 2023–06; Roadway 

Maintenance Machines—Importance of 

Clear Communications and 

Compliance With Applicable Rules and 

Procedures 

AGENCY: Federal Railroad 

Administration (FRA), Department of 

Transportation (DOT). 

ACTION: Notice of safety advisory. 

SUMMARY: FRA is issuing Safety 

Advisory 2023–06 to emphasize the 

importance of rules and procedures 

regarding the safety of roadway workers 

who operate or work near roadway 

maintenance machines (RMM). This 

safety advisory recommends that 

railroads and contractors review and 

update their rules regarding the safety of 

roadway workers who operate or work 

near RMMs, communicate those 

changes to their employees, and monitor 

their employees for compliance with 

existing rules and procedures and 


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Figure 7-Roll pin crack on king pin