[Federal Register Volume 80, Number 3 (Tuesday, January 6, 2015)]
[Rules and Regulations]
[Pages 746-790]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2014-30279]



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Vol. 80

Tuesday,

No. 3

January 6, 2015

Part IV





Department of Transportation





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Federal Railroad Administration





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49 CFR Part 234





 National Highway-Rail Crossing Inventory Reporting Requirements; Final 
Rule

  Federal Register / Vol. 80 , No. 3 / Tuesday, January 6, 2015 / Rules 
and Regulations  

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DEPARTMENT OF TRANSPORTATION

Federal Railroad Administration

49 CFR Part 234

[Docket No. FRA-2011-0007, Notice No. 4]
RIN 2130-AC26


National Highway-Rail Crossing Inventory Reporting Requirements

AGENCY: Federal Railroad Administration (FRA), Department of 
Transportation (DOT).

ACTION: Final rule.

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SUMMARY: This final rule requires railroads that operate one or more 
trains through highway-rail or pathway crossings to submit information 
to the U.S. DOT National Highway-Rail Crossing Inventory about the 
crossings through which they operate. These amendments, mandated by 
section 204 of the Rail Safety Improvement Act of 2008, require 
railroads to submit information about previously unreported and new 
highway-rail and pathway crossings to the U.S. DOT National Highway-
Rail Crossing Inventory and to periodically update existing crossing 
data.

DATES: This final rule is effective March 9, 2015. Petitions for 
reconsideration must be received on or before February 25, 2015. 
Petitions for reconsideration will be posted in the docket for this 
proceeding. Comments on any submitted petition for reconsideration must 
be received on or before April 13, 2015.

ADDRESSES: Petitions for reconsideration and any comments to petitions 
for reconsideration must be identified by docket number FRA-2011-0007 
and may be submitted by any of the following methods:
     Online: Federal eRulemaking Portal, http://www.regulations.gov. Follow the online instructions for submitting 
comments.
     Fax: 202-493-2251.
     Mail: Docket Management Facility, U.S. Department of 
Transportation, 1200 New Jersey Avenue SE., Room W12-140, Washington, 
DC 20590.
     Hand Delivery: Room W12-140 on the Ground level of the 
West Building, U.S. Department of Transportation, Docket Management 
Facility, 1200 New Jersey Avenue SE., Washington, DC 20590, between 9 
a.m. and 5 p.m., Monday through Friday, except Federal holidays.
    Instructions: All submissions must include the agency name, docket 
name and docket number or Regulatory Identifier Number (RIN) for this 
rulemaking (2130-AC26). Note that all comments received will be posted 
without change to http://www.regulations.gov, including any personal 
information provided. Please see the Privacy Act heading in the 
SUPPLEMENTARY INFORMATION section of this document for Privacy Act 
information related to any submitted comments or materials.
    Docket: For access to the docket to read background documents or 
comments received, go to http://www.regulations.gov at any time or 
visit the Docket Management Facility, U.S. Department of 
Transportation, West Building Ground Floor, Room W12-140, 1200 New 
Jersey Avenue SE., Washington, DC, between 9 a.m. and 5 p.m., Monday 
through Friday, except Federal holidays.

FOR FURTHER INFORMATION CONTACT: Ronald Ries, Staff Director, Highway-
Rail Crossing and Trespasser Prevention Programs Division, Office of 
Railroad Safety, FRA, 1200 New Jersey Avenue SE., Mail Stop 25, 
Washington, DC 20590 (telephone: 202-493-6299), [email protected]; or 
Kathryn Shelton Gresham, Office of Chief Counsel, FRA, 1200 New Jersey 
Avenue SE., Mail Stop 13, Washington, DC 20590 (telephone: 202-493-
6063), [email protected].

SUPPLEMENTARY INFORMATION: 

Table of Contents for Supplementary Information

I. Executive Summary
II. Statutory Background
III. The U.S. DOT National Highway-Rail Crossing Inventory Program
    A. History
    B. Overview of the Reporting Process
    C. Use of Crossing Inventory Data in Private Litigation
IV. Section-by-Section Analysis
V. Regulatory Impact and Notices
    A. Executive Order 12866 and 13563 and DOT Regulatory Policies 
and Procedures
    B. Regulatory Flexibility Act and Executive Order 13272
    C. Federalism
    D. Paperwork Reduction Act
    E. Environmental Impact
    F. Unfunded Mandates Reform Act of 1995
    G. Energy Impact
    H. Trade Impact
    I. Privacy Act

I. Executive Summary

    On October 18, 2012, consistent with the statutory mandate of 
Section 204(a) of the Rail Safety Improvement Act of 2008 (RSIA) 
(codified at 49 U.S.C. 20160), FRA published a notice of proposed 
rulemaking (NPRM) proposing to require railroads to submit certain 
information to the existing U.S. DOT National Highway-Rail Crossing 
Inventory (Crossing Inventory). 77 FR 64077. After careful 
consideration of comments received in response to the NPRM and 
testimony received at a February 19, 2013 public hearing on FRA's 
proposal, FRA is amending 49 CFR part 234 to require railroads that 
operate one or more trains through highway-rail or pathway crossings 
(i.e., ``operating railroads'') to submit certain information to the 
Crossing Inventory about the highway-rail and pathway crossings through 
which they operate. This rule furthers FRA's efforts to improve 
existing data on the characteristics of the Nation's highway-rail and 
pathway crossings and implements the statutory mandate. Consistent with 
the statute, this rule requires operating railroads to submit initial 
reports to the Crossing Inventory, including current information about 
warning devices and signs, for previously unreported and new highway-
rail and pathway crossings. This rule also requires operating railroads 
to periodically update data in the Crossing Inventory, including the 
prompt reporting of a crossing sale, crossing closure, or changes in 
certain crossing characteristics.
    In the NPRM, FRA estimated the costs of the proposed rule to be 
$2.1 million over a 20-year period. Using a 7-percent discount rate, 
the cost estimate would have been $1.5 million. The final rule's 
estimated cost is $2.8 million, discounted to $2.0 million (7%). The 
base cost estimates increased in the final rule due to adjustment of 
the Congressional Budget Office (CBO) real wage forecasts for each year 
of the analysis. FRA also updated wage inputs using the Surface 
Transportation Board's newest wage rates for 2012, which impacted the 
overall cost estimate. FRA also assumed that the implementation year 
will be 2014 and adjusted all wages accordingly. While the final rule 
will not take effect until 2015, FRA does not believe this will 
materially impact the findings of its analysis. FRA conducted a break-
even analysis of the rule and believes that potential benefits from the 
rule will equal or exceed total costs.
    FRA analyzed the industry costs associated with requiring railroads 
to establish and maintain an inventory for all public and private 
highway-rail crossings and pathway crossings. Many railroads have 
already implemented components of the final rule prior to publication 
of this rulemaking. FRA estimates that as many as 50 percent of all 
highway-rail crossings have up-to-date information in the current 
Crossing Inventory. For more details on the costs, see the Regulatory 
Evaluation contained

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in the public docket. The burdens of the rule relate to the collection 
of recent information and to the periodic update of the Crossing 
Inventory. The table below presents the estimated costs associated with 
the rule.

                       20-Year Cost for Final Rule
------------------------------------------------------------------------
 
------------------------------------------------------------------------
Initial Update of Inventory.............................      $1,178,701
Periodic Update of Inventory............................         819,473
                                                         ---------------
    Total...............................................       1,998,174
------------------------------------------------------------------------
Future costs are discounted to present value using a 7-percent discount
  rate.

    In the Regulatory Evaluation, FRA has explained what the likely 
benefits are for the final rule and provided a break-even analysis. The 
main benefit of the rule is improved Crossing Inventory data. This more 
precise information will better enable FRA, railroads, and any other 
entity, to accurately analyze pertinent data, detect trends, and if 
needed, initiate crossing-related safety initiatives. In this analysis, 
FRA determined that if there were a decrease of 0.015 percent in 
crossing accidents over the twenty-year period, the costs of the rule 
will break-even with the benefits. In the last decade there were over 
26,000 collisions at grade crossings. This break-even analysis 
indicates that preventing at least three incidents over the next twenty 
years would justify the rule. FRA anticipates that this rulemaking will 
increase the precision, completeness, and utility of railroad records 
and will improve the Crossing Inventory and safety. This will allow FRA 
to identify certain highway-rail crossings and pathway crossings that 
are not currently recorded in the existing voluntary crossing inventory 
and analyze the data to identify safety trends and issues. FRA believes 
that these benefits will offset costs associated with the rulemaking by 
simplifying the reporting process and decreasing crossing accidents. 
FRA also believes the value of the anticipated benefits justifies the 
cost of implementing the final rule.

II. Statutory Background

    This final rule implements section 204(a) of RSIA, Public Law 110-
432, Division A (Oct. 16, 2008) (codified at 49 U.S.C. 20160 and titled 
``National crossing inventory''). Consistent with Section 20160, this 
rule is intended to improve existing data on highway-rail and pathway 
crossings in the Crossing Inventory. Section 20160 requires the 
Secretary to establish reporting requirements for railroad carriers for 
highway-rail and pathway crossings. As stated above, the Secretary 
delegated this responsibility to the FRA Administrator. 49 CFR 1.89(b).
    Section 20160 mandates that the Secretary issue regulations 
requiring railroad carriers to report certain information, including 
current information about warning devices and signage, for new and 
previously unreported highway-rail and pathway crossings to the 
Crossing Inventory. Section 20160 also requires the Secretary to issue 
regulations that require railroad carriers to periodically update 
existing information in the Crossing Inventory about highway-rail and 
pathway crossings through which they operate. Under Section 20160, 
whenever a railroad carrier sells all, or a portion of, a highway-rail 
or pathway crossing it must submit updates. However, in the interim, 
Section 20160 provides that the Secretary may enforce the Crossing 
Inventory policy, procedures, and instructions in effect at the time of 
Section 20160's enactment (October 16, 2008). The policy, procedures, 
and instructions in effect at the time of Section 20160's enactment are 
the guidance we issued in August 2007 titled, ``U.S. DOT National 
Highway-Rail Crossing Inventory Policy, Procedures and Instructions for 
States and Railroads.''

III. The U.S. DOT National Highway-Rail Crossing Inventory Program

A. History

    As detailed in the preamble to the NPRM, in August 1972, DOT 
submitted a Report to Congress titled ``Railroad-Highway Safety Part 
II: Recommendations for Resolving the Problem'' (Report). DOT intended 
for the Report to provide recommendations to Congress for actions that 
would lead to a significant reduction in accidents, fatalities, 
personal injuries, and property damage at highway-rail crossings. In 
the Report, DOT recommended the establishment of an information system 
consisting of a national database of all highway-rail crossings in the 
Nation.
    Following the submission to and acceptance of the Report by 
Congress, FHWA, FRA, AAR, certain States and railroads cooperatively 
developed the Crossing Inventory. Based on an instruction manual that 
was issued in the early 1970s, railroads and States surveyed each 
highway-rail crossing --public and private, grade-separated and at-
grade--and recorded the data on an inventory form railroads submitted 
to FRA. This instruction manual evolved into the ``Highway-Rail 
Crossing Inventory Instructions and Procedures Manual,'' dated December 
1996. A revised policy and set of instructions, ``U.S. DOT National 
Highway-Rail Crossing Inventory Policy, Procedures and Instructions for 
States and Railroads,'' were subsequently issued in August 2007.
    As a result of these efforts, the Crossing Inventory has become a 
national database of highway-rail crossings, both at-grade and grade-
separated, that railroads, States, and others use to obtain information 
about the physical and operating characteristics of individual 
crossings. The Crossing Inventory is intended to provide a uniform 
inventory database which public and private agencies responsible for 
highway-rail crossing safety, as well as the railroad industry and 
academia, can merge with highway-rail crossing collision files and use 
to analyze information for planning and implementation of crossing 
improvement programs.
    The Crossing Inventory receives information from individual 
railroads and States to form a composite record for each crossing. This 
composite record has many purposes because it can be used to predict 
the likelihood of an accident at a specific crossing. Armed with this 
information, States, law enforcement organizations, the Federal 
Government, and others can focus their efforts on crossings that have a 
high risk of collisions and implement measures such as improved warning 
systems, enhanced enforcement, and community awareness.

B. Overview of the Reporting Process

    As previously explained, the Crossing Inventory is a national 
database that contains data on highway-rail crossings, which States and 
railroads have voluntarily submitted. Because the crossing data has 
been submitted to the Crossing Inventory voluntarily, FRA estimates the 
Crossing Inventory contains up-to-date information for approximately 50 
percent of the highway-rail crossings reported.
    To improve the accuracy of existing data in the Crossing Inventory 
and implement the statutory mandate contained in Section 20160, this 
final rule requires primary operating railroads (i.e., generally, the 
railroads that either own or maintain the track through the highway-
rail or pathway crossing, or operate the most trains through the 
crossing) to assign Inventory Numbers to previously unreported and new 
highway-rail and pathway crossings and, in most cases, to provide the 
assigned Inventory Number to the other railroads that operate through 
the crossing. In addition, the rule will require primary operating

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railroads to submit completed Inventory Forms (or the electronic 
equivalent) for previously unreported and new highway-rail and pathway 
crossings to the Crossing Inventory.
    FRA recognizes that as related to new and previously unreported 
highway-rail and pathway crossings, this rule requires primary 
operating railroads to submit some crossing data State agencies have 
traditionally maintained. Therefore, FRA strongly encourages primary 
operating railroads to work with the appropriate State agencies to 
obtain this information. However, in the event the primary operating 
railroad requests crossing data from a State agency that the State has 
traditionally maintained (e.g., highway system class, highway speed 
limit, estimated percent of truck traffic, and the average number of 
school buses per day), but does not timely receive the requested data, 
the primary operating railroad may notify FRA of the State's lack of 
response. In such a case, FRA will not hold the primary operating 
railroad responsible for failing to submit the requested data to the 
Crossing Inventory. (See the Section-by-Section Analysis of Sec. Sec.  
234.405(d) and 234.407(d) for more information.)
    This final rule also requires primary operating railroads to submit 
periodic updates to the Crossing Inventory every three years. To 
minimize the burden of submitting periodic updates, the final rule only 
requires the primary operating railroad to submit updated crossing data 
for specific data fields on the Inventory Form. Railroads have 
traditionally completed these data fields, identified in Appendix B to 
the Inventory Guide, which consist of information that railroads can 
identify and supply on their own (e.g., the total number of daily train 
movements and the speed of the trains at the crossing).
    This final rule also will require primary operating railroads to 
submit updates to the Crossing Inventory to report the closure of a 
highway-rail or pathway crossing within three months of the closure. In 
addition, the rule will require primary operating railroads to report 
changes in crossing surface or changes in warning devices at public 
highway-rail grade crossings within three months of the change. Also, 
any railroad that sells all, or part, of a highway-rail or pathway 
crossing must report the crossing sale to the Crossing Inventory within 
three months of the sale.
    As further explained below, this final rule implements the 
statutory mandate in Section 20160 to issue regulations requiring 
railroads to submit crossing data to the Crossing Inventory. Although 
this final rule does not require States to report crossing data to or 
update data in the Crossing Inventory, DOT, and FRA in particular, will 
continue to evaluate whether additional regulations are needed to 
address State reporting to the Crossing Inventory to maintain the 
accuracy of crossing records contained in the Crossing Inventory. DOT 
may issue regulations in the future that would address State reporting 
of public highway-rail and pathway crossing data to the Crossing 
Inventory. However, as stated above, FRA strongly encourages railroads 
to work with appropriate State agencies to obtain crossing data the 
State maintains. Similarly, FRA encourages State agencies responsible 
for maintaining crossing data to promptly release State-maintained data 
to railroads, upon request, and to submit timely updates to existing 
crossing records in the Crossing Inventory. As reflected by the 
detailed and thoughtful comments our State partners submitted during 
the course of this rulemaking, State agencies generally share FRA's 
interest in ensuring that Crossing Inventory records are up-to-date and 
accurate to the extent permitted by existing resources.

C. Use of Crossing Inventory Data in Private Litigation

    FRA received comments on the proposed rule from Orion's Angels, a 
non-profit organization located in Chattanooga, Tennessee, which 
recommended that this final rule should allow all crossing data to be 
discoverable in private litigation so courts can determine whether 
there has been compliance with railroad safety regulations. However, 
this recommendation falls outside the scope of FRA's statutory 
authority. The current prohibition against the use of crossing data in 
private litigation can be found in 23 U.S.C. 409. RSIA did not amend 
this statute. Therefore, in the absence of specific statutory authority 
to revise the current Federal prohibition against the use of crossing 
data in private litigation, FRA cannot adopt this recommendation in 
this final rule.

IV. Section-by-Section Analysis

    In response to the NPRM, FRA received comments from several State 
agencies, AAR, the Brotherhood of Railroad Signalmen (BRS), and other 
individual stakeholders. Although commenters generally expressed 
support for FRA's goal of improving the accuracy and completeness of 
Crossing Inventory data, commenters did make several recommendations 
about the practicalities of implementing the proposed reporting scheme. 
Accordingly, in developing this final rule, FRA carefully considered 
each of the comments received, as well as the testimony presented at 
the February 19, 2013 public hearing on the NPRM. Within the 
constraints imposed by the specific statutory mandate, FRA has, as 
appropriate, modified its original proposals in response to the 
comments received and those modifications are discussed in detail in 
the relevant section-by-section analyses below.

Section 234.1 Scope

    To reflect the proposed expansion of part 234 to include a new 
subpart F titled, Highway-Rail and Pathway Crossing Inventory 
Reporting, in the NPRM, FRA proposed to revise paragraph (a) of this 
section to include a reference to new proposed subpart F. FRA received 
no substantive comments in response to this specific proposal. 
Accordingly, with the slight modifications to the proposed language 
discussed below, FRA is adopting its proposed revisions to this section 
substantially as proposed.
    We are changing references to ``public, private, and pathway 
crossings'' in Sec.  234.1 and throughout subpart F to ``highway-rail 
and pathway crossings,'' to accurately reflect the proper 
classification of crossings in the Crossing Inventory. Pathway 
crossings are not included in the definition of the term ``highway-rail 
crossing.'' Thus, pathway crossings (like highway-rail crossings) can 
be classified as either ``public'' or ``private'', depending on the 
nature of the pathway.

Subpart F--Highway-Rail and Pathway Crossing Inventory Reporting

Section 234.401 Definitions
    This section contains definitions of terms used in this subpart, 
listed alphabetically. We provide additional explanation for some of 
these definitions below.
    FRA received comments from the Illinois Commerce Commission (ICC) 
recommending that the definitions of all terms used in the Inventory 
Guide should be included in the Definitions section of the final rule. 
However, this section is intended to define terms that are used in the 
text of the final rule. Therefore, while FRA has reviewed the 
definitions provided in the Inventory Guide to ensure consistency with 
the definitions provided in this section, we have not added the 
definitions of terms used exclusively in the Inventory Guide to this 
section.
Class I
    In the NPRM, FRA proposed to define the term ``Class I'', the same 
as Surface

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Transportation Board (STB) regulations. (See 49 CFR part 1201, General 
Instructions 1-1, Classification of carriers). As explained in the 
NPRM, this definition would include any revision to the definition the 
STB makes after the publication of this subpart, including any 
modifications in the class threshold based on revenue deflator 
adjustments. FRA received one comment in response to this proposed 
definition. Denver Regional Transportation District (Denver RTD), a 
transit agency that provides passenger rail service, asserted that it 
seems inappropriate to classify rail transit agencies as Class I, II, 
or III railroads since rail transit agencies are essentially subsidized 
public transportation operations. In response to Denver RTD's comment, 
FRA notes that it does not consider urban rapid transit operators as 
Class I rail carriers for purposes of this subpart. While the 
electronic submission requirement set forth in Sec.  234.403(c) applies 
to Class I railroads, urban rapid transit operators may submit hard 
copy Inventory Forms to the Crossing Inventory or submit their crossing 
data electronically.
Closed Crossing
    Although not proposed in the NPRM, we added a definition of the 
term ``closed crossing'' in this final rule. As discussed below in the 
Section-by-Section Analysis of Sec.  234.409(a), we added an exception 
to the requirement to submit periodic updates to the Crossing Inventory 
for closed crossings. To clarify the crossings to which this exception 
applies, we defined the term ``closed crossing'' as a location where a 
previous crossing no longer exists because either the railroad tracks 
have been physically removed, or each pathway or roadway approach to 
the crossing has been physically removed, leaving behind no 
intersection of railroad tracks with either a pathway or roadway. A 
grade-separated highway-rail or pathway crossing that has been 
physically removed is also considered a closed crossing.
Highway-Rail Crossing
    In the NPRM, FRA proposed to define ``highway-rail crossing'' as 
``the location where one or more railroad tracks intersect with a 
public highway, road, street, or private roadway, including associated 
sidewalks and pathways, either at-grade or grade-separated.'' In 
response to this proposed definition, in its comments, Denver RTD asked 
whether a pathway crossing is essentially a type of highway-rail 
crossing. A pathway crossing is not a type of highway-rail crossing. As 
reflected in the current version of FHWA's Manual on Uniform Traffic 
Control Devices (MUTCD), pathways are public ways that are physically 
separated from the roadway by an open space or barrier. Therefore, in 
order to draw a clear distinction between highway-rail and pathway 
crossings in this final rule, FRA has revised the proposed definition 
of ``highway-rail crossing'' by removing the reference to pathways. For 
purposes of this subpart, the term ``highway-rail crossing'' is defined 
as ``the location where one or more railroad tracks intersect with a 
public highway, road, street, or private roadway, either at grade or 
grade-separated, including associated sidewalks.'' This revised 
definition of ``highway-rail crossing'' is consistent with generally 
accepted use of this term.
    As explained in the NPRM, for purposes of the Crossing Inventory, 
railroad tracks that lie within the same pair of crossing warning 
devices are considered a single highway-rail or pathway crossing. For 
example, an intersection of a roadway with three tracks (e.g., two 
mainline and one spur) where the mainline tracks are equipped with 
flashing lights and the spur track is equipped with crossbucks would be 
considered two crossings with two separate Inventory Numbers for 
purposes of the Crossing Inventory. One highway-rail crossing would 
consist of the mainline tracks that lie between the flashing lights, 
while the other highway-rail crossing would consist of the spur track 
which is equipped with crossbucks.
Operating Railroad
    In the NPRM, FRA proposed to define the term ``operating railroad'' 
as any railroad that operates one or more trains through a highway-rail 
crossing or pathway crossing. FRA received three comments about this 
proposed definition. First, noting that the Inventory Form contemplates 
the submission of information related to ``transit operations,'' AAR 
asserted that it would be inconsistent with FRA's existing statement of 
agency policy on its safety jurisdiction to require submission of 
information related to transit operations to the Crossing Inventory. 
See 49 CFR part 209, appendix A (Appendix A). Despite this assertion, 
AAR suggested that if FRA were to require rail transit operations to be 
reported on the Crossing Inventory Form, transit operators, as opposed 
to general system railroads, should be required to submit the relevant 
information about those operations. The California Public Utilities 
Commission (CPUC) and Denver RTD, submitted comments seeking clearer 
guidance as to the applicability of the reporting and updating 
requirements contained in this subpart to transit agencies. In its 
comments, Denver RTD noted that rapid transit operations within an 
urban area that are not connected to the general railroad system of 
transportation are generally not considered to be ``railroads'' subject 
to FRA regulation. The CPUC submitted comments questioning whether 
transit agencies may submit crossing data for crossings which are not 
subject to train movements by railroads that are part of the general 
railroad system of transportation.
    In response to these comments, FRA first notes that AAR's assertion 
that FRA's policy on jurisdiction over passenger operations 
``categorically excludes rapid transit operations from [the agency's 
safety] jurisdiction'' is incorrect. Instead, FRA's policy statement 
(published at 49 CFR part 209, appendix A and titled ``FRA's Policy on 
Jurisdiction Over Passenger Operations''), specifically notes that the 
agency's statutory authority extends to all railroads except ``rapid 
transit operations in an urban area that are not connected to the 
general system of transportation.'' 49 U.S.C. 20102.
    As explained in more detail in Appendix A, the ``general railroad 
system of transportation'' is generally defined as the network of 
standard gage track over which goods may be transported throughout the 
nation and passengers may travel between cities and within metropolitan 
and suburban areas. Further, as explained in Appendix A, FRA can 
exercise its jurisdiction over a rapid transit operation if it is 
connected to the general railroad system and the agency does so 
depending upon the nature of the connection(s). For example, as noted 
in Appendix A, a connection that involves operation of transit 
equipment as part of, or over the lines of, the general system will 
trigger FRA's exercise of jurisdiction. Similarly, as also noted in 
Appendix A, another connection to the general system sufficient to 
warrant FRA's exercise of jurisdiction is a railroad crossing at grade 
where the rapid transit operation and other railroad cross each other's 
tracks. Further, Appendix A notes that FRA will also exercise 
jurisdiction to a limited extent over a rapid transit operation that, 
while not operated on the same tracks as a conventional railroad, is 
connected to the general system by virtue of operating in a shared 
right-of-way involving joint control of trains and in situations where 
transit

[[Page 750]]

operations share highway-rail grade crossings with conventional 
railroads.
    Thus, consistent with Appendix A and after careful consideration of 
the comments received, in this final rule FRA is revising the 
definition of ``operating railroad'' to include urban rapid transit 
operators that operate ``one or more trains through a highway-rail or 
pathway crossing on, or connected to, the general railroad system of 
transportation.''
    In other words, the term ``operating railroad'' as defined in this 
final rule includes urban rapid transit operators that operate trains 
through highway-rail and pathway crossings which are located on the 
same track used by railroads that are part of the general railroad 
system of transportation. Examples of these types of operations include 
(1) urban rapid transit operations that, even though conducted on the 
same track used by a general system railroad, are temporally separate 
from those general system operations, and (2) urban rapid transit 
operations that constitute simultaneous joint use with train movements 
by general system railroads. Please see FRA's policy statement 
(published at 49 CFR part 211, appendix A and titled ``Statement of 
Agency Policy Concerning Waivers Related to Shared Use of Trackage or 
Rights-of-Way by Light Rail and Conventional Operations'') for a 
definition of the term, ``simultaneous joint use.''
    The term ``operating railroad'' also includes urban rapid transit 
operators that operate trains through highway-rail and pathway 
crossings located within a common corridor or right-of-way with 
railroads that are part of the general railroad system of 
transportation. For example, an urban rapid transit operator that 
operates trains on separate tracks through highway-rail and pathway 
crossings, which are located within a common corridor or right-of-way 
with railroads that are part of the general railroad system of 
transportation and are served by the same set of crossing warning 
devices, is considered an operating railroad.
    However, this final rule does not require urban rapid transit 
operators that operate through highway-rail and pathway crossings which 
are not on, or connected to, the general system of railroad 
transportation to submit crossing data to the Crossing Inventory for 
those crossings. Nevertheless, we encourage urban rapid transit 
operators to voluntarily submit (and update) crossing data to the 
Crossing Inventory for highway-rail and pathway crossings that are not 
on, or connected to, the general system of railroad transportation, in 
order to improve the accuracy of crossing data reflected in the 
Crossing Inventory.
    It should be noted that urban rapid transit operators are 
distinguished from commuter railroads that serve an urban area, its 
suburbs, and more distant outlying communities in the greater 
metropolitan area. FRA considers commuter railroads, whose primary 
function is moving passengers back and forth between their places of 
employment in the city and their homes within the greater metropolitan 
area, to be part of the general railroad system of transportation and 
are therefore required to comply with the requirements of this subpart.
    In its comments, Denver RTD also requested guidance on whether FRA 
would consider an entity that has a long-term contract with a public 
transit agency to operate and maintain that agency's rail network the 
operating railroad, independent of the transit agency. CPUC submitted 
similar comments requesting guidance on whether a railroad that 
contracts out its train operations, such as commuter railroads, should 
identify itself as the primary operating railroad. The CPUC recommended 
that, in this instance, the commuter railroad should be identified as 
the primary operating railroad on the Inventory Form, as opposed to the 
short-term contracted railroad operator. FRA agrees. In situations 
where a railroad or public transit agency contracts with a third-party 
to conduct train operations or maintain the track that runs through the 
highway-rail or pathway crossing at issue, FRA will consider the 
railroad or public transit agency (not the third-party contractor) to 
be the operating railroad for purposes of this subpart to ensure long-
term continuity in reporting to the Crossing Inventory.
Pathway Crossing
    Denver RTD submitted comments seeking clarification as to whether 
FRA considers pedestrian station crossings to be pathway crossings and 
whether pathway crossings are considered to be a type of highway-rail 
crossing.
    As discussed above, a pathway crossing is separate and distinct 
from a highway-rail crossing. While highway-rail crossings may include 
associated sidewalks, pathway crossings are physically separated from a 
nearby roadway by an open space or barrier. As explained in the 
preamble to the NPRM, consistent with Section 20160, for purposes of 
the Crossing Inventory, a pathway crossing must have all of the 
following characteristics: (1) Explicit authorization by a public 
authority or an operating railroad; (2) dedicated use by non-vehicular 
traffic, including pedestrians, bicyclists, and others; (3) no 
association with a public highway, road, or street, or a private 
roadway; and (4) cross one or more railroad tracks either at grade or 
grade-separated. Since pedestrian station crossings generally have all 
of these characteristics, we consider them pathway crossings. However, 
as also noted in the NPRM, we do not consider an area where pedestrians 
trespass, even routinely, a pathway crossing.
    Denver RTD also submitted comments recommending that we revise the 
definition of ``pathway crossing'' to require explicit authorization by 
both the relevant public authority and the railroad that owns or 
operates over the crossing rather than one or the other. In this final 
rule, FRA is not adopting this recommendation because it would be 
inconsistent with the specific criteria for a pathway crossing 
paragraph (d)(1) of Section 20160 establishes.
Primary Operating Railroad
    In the NPRM, FRA proposed to define the term ``primary operating 
railroad'' as ``the operating railroad responsible for submitting and/
or updating data in the Crossing Inventory for a highway-rail crossing 
or pathway crossing.'' Denver RTD objected to this proposed definition 
and asserted that the proposed criterion for determining what entity is 
a primary operating railroad over a particular grade crossing was 
confusing and conflicting, especially with respect to rail transit 
operators. Therefore, in this final rule, FRA is revising the 
definition of ``primary operating railroad'' to include specific 
criteria that will determine primary operating railroad status. Under 
this definition, an operating railroad will qualify for primary 
operating railroad status if the operating railroad either owns or 
maintains the track through the highway-rail or pathway crossing, 
unless the crossing is located within a private company, port or dock 
area. If there is more than one operating railroad that qualifies for 
primary operating railroad status on the basis of this criterion, then 
the operating railroad that operates the most trains over the crossing 
is the primary operating railroad. If there is only one operating 
railroad that operates one or more trains through a highway-rail or 
pathway crossing, that operating railroad is the primary operating 
railroad.
    A different method is used to determine primary operating railroad 
status for crossings located within a private company, port, or dock 
area. In recognition of the existing practice of

[[Page 751]]

general system railroads to assign Inventory Numbers to these 
crossings, the definition of ``primary operating railroad'' provides 
that each railroad that owns track leading to the private company, 
port, or dock area is considered a primary operating railroad for the 
crossings within the private company, port, or dock area--even if the 
operating railroad does not own or maintain track through the 
crossings.
Private Crossing
    In the NPRM, FRA proposed to define the term ``private crossing'' 
as ``a highway-rail crossing that is not a public crossing.'' In the 
interest of clarity, in this final rule FRA is revising this proposed 
definition to include a specific reference to pathway crossings in 
addition to highway-rail crossings. As explained in the NPRM, the term 
``private crossing'' includes intersections of railroad tracks and 
roadways that are not open to public travel or maintained by a public 
authority. This explanation in the NPRM, however, failed to recognize 
that just as railroad tracks may cross roadways that are not open to 
the public or maintained by a public authority, railroad tracks also 
may cross private pathways that are not open to the public or 
maintained by a public authority. Typical types of private crossings 
include farm crossings, industrial plant crossings, and residential 
access crossings.
Public Crossing
    In the NPRM, FRA proposed to define the term ``public crossing'' as 
follows: ``a highway-rail crossing where the roadway is under the 
jurisdiction of and maintained by a public authority and open to public 
travel. All roadway approaches must be under the jurisdiction of the 
public roadway authority and no roadway approach may be on private 
property.'' FRA received several comments in response to this proposed 
definition. In response to those comments, which are discussed below, 
FRA is revising the definition of the term ``public crossing'' in this 
final rule to include a specific reference to pathway crossings (in 
addition to highway-rail crossings) and to replace references to 
``roadway approaches'' in the proposed definition with the more generic 
term ``approaches'' because pathway crossings generally do not have 
roadway approaches. FRA also revised the definition to specify that all 
approaches to a public crossing must be under the jurisdiction of the 
public authority and no approach may be on private property, ``unless 
State law or regulation provides otherwise.'' Further, FRA notes that 
for purposes of this definition, ``open to public travel'' means that 
the road or pathway section is available (except during scheduled 
periods, extreme weather, or emergency conditions) and open to the 
general public for use without restrictive gates, prohibitive signs, or 
regulation.
    As noted in the NPRM, FRA recognizes this definition of ``public 
crossing'' contains different criteria for determining the public 
nature of a highway-rail crossing than the existing definition of 
``public highway-rail grade crossing'', contained in 49 CFR 222.9 
related to the use of locomotive horns and quiet zones. However, as 
also noted in the NPRM, these criteria are intended to make the 
definition of the term ``public crossing'' in this final rule more 
consistent with the definition of the term ``public grade crossing'' 
contained in 23 CFR 924.3, which is widely used by States for Highway 
Safety Improvement Program planning and funding purposes.
    FRA received comments on the definition of ``public crossing'' from 
the ICC, which asserted the definition in the proposed rule failed to 
address situations in which a public authority, such as a forest 
preserve, owns and maintains the roadway or pathway approaches on both 
sides of the crossing. In addition, the Louisiana Department of 
Transportation and Development (LaDOTD) submitted comments recommending 
that pathway crossings should be classified as public or private, based 
upon the entity that maintains the approaches to the crossing.
    As explained above, if the highway-rail or pathway crossing is open 
to public travel and each approach to the crossing is under the 
jurisdiction of and maintained by a public authority, we will generally 
consider the highway-rail or pathway crossing to be a public crossing 
for purposes of this subpart. Therefore, a highway-rail or pathway 
crossing is considered a public crossing for purposes of this subpart, 
if each approach to the crossing is under the jurisdiction of and 
maintained by a governmental entity and the crossing is open to the 
general public for use without restrictive gates, prohibitive signs, or 
regulation. If only one approach is under the jurisdiction of and 
maintained by a governmental entity, the crossing will be considered a 
private crossing unless otherwise provided by State law.
    Denver RTD also submitted comments requesting guidance on how to 
determine the proper classification of a highway-rail or pathway 
crossing. In its comments, Denver RTD noted that, in many instances, 
the railroad owns the land on which the highway-rail or pathway 
crossing is located. While FRA acknowledges that highway-rail and 
pathway crossings are generally located on privately-owned railroad 
rights-of-way, the public/private nature of a highway-rail or pathway 
crossing has traditionally been determined by ownership of the 
approaches that lead up to the railroad's right-of-way. FRA intends its 
definition of the term ``public crossing'' in this final rule to be 
consistent with this practice.
    As noted in the NPRM, with respect to crossings in States where a 
State agency (such as a State department of transportation, State 
highway department, public utility commission, or State commerce 
commission) has been empowered to make determinations as to whether 
individual crossings are public or private, the determinations of that 
State agency will govern the public/private classification of highway-
rail and pathway crossings in the State for purposes of the Crossing 
Inventory. To clarify this point in the final rule and in response to 
comments received from LaDOTD and Tavla Solutions noting that some 
States have classified high-way rail grade crossings as public 
crossings despite the fact that there is only one roadway approach to 
the crossing on public property, in this final rule, we revised the 
definition of ``public crossing'' to include an exception to the 
requirement that all approaches to the crossing must be on public 
property ``unless State law or regulation provides otherwise.''
Temporary Crossing
    In the NPRM, FRA proposed to define ``temporary crossing'' to mean 
``a highway-rail crossing created to serve a specific activity for a 
temporary time period not to exceed six months.'' We revised this 
definition in the final rule to include a specific reference to pathway 
crossings, which we inadvertently omitted from the definition proposed 
in the NPRM.
    As explained in the NPRM, given the short-term nature of temporary 
crossings, Inventory Numbers have not historically been assigned to 
such crossings. FRA intends to maintain this practice and therefore, 
the reporting and updating requirements contained in this final rule do 
not apply to any crossing that meets the definition of ``temporary 
crossing.''
    AAR's comments recommend that the definition of ``temporary 
crossing'' be revised to include crossings that are in existence for a 
period ``not to exceed 12 months.'' In support of this recommendation, 
the AAR asserted that

[[Page 752]]

railroads are often faced with circumstances, such as construction, 
that necessitate use of a crossing on a temporary basis, but for 
periods exceeding six months. In its comments, Denver RTD concurred 
with AAR's recommendation.
    Although FRA recognizes the potential for certain non-permanent 
circumstances, including construction activities, to take longer than 
six-months, FRA does not believe that it is appropriate for purposes of 
this rule to define a ``temporary crossing'' as a crossing that exists 
more than six months. Moreover, FRA notes that the Crossing Inventory 
procedure in place for at least 18 years uses a six-month period for 
classifying highway-rail and pathway crossings as temporary crossings. 
Consistent with this existing practice, FRA is not revising the 
proposed definition to increase the temporary time from six months to 
12 months. Therefore, if a highway-rail or pathway crossing is 
reasonably expected to be in use for more than six months, or if it 
becomes apparent that the highway-rail or pathway crossing will need to 
remain in use for longer than a six-month period, the primary operating 
railroad must assign an Inventory Number to the crossing and report the 
crossing to the Crossing Inventory. When the crossing is no longer 
needed, the primary operating railroad is required to close the 
crossing and, under Sec.  234.411(b), provide notification of the 
crossing closure to the Crossing Inventory.
Section 234.403 Submission of Data to the Crossing Inventory, Generally
    As proposed in the NPRM, paragraph (a) of this section requires use 
of the Inventory Form, or its electronic equivalent, to submit highway-
rail and pathway crossing data to the Crossing Inventory. Although we 
are adopting this paragraph substantially as proposed, in the final 
rule FRA modified the language slightly to include specific references 
to both highway-rail and pathway crossings to reflect the two basic 
categories of grade crossings for which data will be collected. As also 
proposed in the NPRM, paragraph (a) generally allows submission of the 
Inventory Form in both hard copy format or electronically.
    Consistent with the proposal in the NPRM, paragraph (b) requires 
completion of the Inventory Form in accordance with the Inventory 
Guide. In this final rule, FRA is adopting paragraph (b) substantially 
as proposed, but adding a reference to the ``electronic equivalent'' of 
the Inventory Form to make it clear the rule allows for submission of 
the Inventory Form electronically. As noted in the NPRM and explained 
in the Inventory Guide, with the exception of highway-rail and pathway 
crossings that are located in a railroad yard, a passenger station, or 
an area belonging to a private company, port, or dock, one Inventory 
Form (or its electronic equivalent) must be submitted to the Crossing 
Inventory for each highway-rail or pathway crossing. Where there is 
more than one crossing in a railroad yard, a passenger station, or an 
area belonging to a private company, port, or dock area, the primary 
operating railroad may choose to either submit an Inventory Form (or 
its electronic equivalent) to the Crossing Inventory for each 
individual crossing or to submit an Inventory Form (or its electronic 
equivalent) for all (or a group) of the crossings within the railroad 
yard, passenger station, or area belonging to a private company, port, 
or dock.
    In the NPRM, FRA requested comments on whether it should retain its 
current practice of allowing railroads to assign a single Inventory 
Number to a group of crossings in a railroad yard, passenger station, 
or an area belonging to a private company, port, or a dock area should 
be retained. FRA received comments on this issue from a private 
citizen, the AAR, the CPUC, the ICC, Denver RTD, and BRS.
    AAR recommended that FRA retain the current practice of allowing 
railroads to assign a single Inventory Number to a group of crossings 
in a railroad yard or an area belonging to a private company, a port, 
or a dock. While noting there are a number of private restricted access 
facilities that have railroad crossings, the AAR asserted that 
railroads are often granted limited access into these facilities due to 
security concerns. Therefore, the AAR argued that there continues to be 
a need for a flexible approach allowing the assignment of a single 
Inventory Number to multiple crossings located within such facilities. 
In addition, the AAR noted that assigning a single Inventory Number to 
a group of crossings in a railroad yard or area belonging to a private 
company, a port, or a dock would be consistent with FRA requirements to 
place and maintain only one Emergency Notification System sign at each 
vehicular entrance to a railroad yard or port or dock facility.
    FRA also received comments from the CPUC, ICC, and the BRS 
asserting that the practice of assigning a single Inventory Number to a 
group of crossings should cease. The BRS expressed concern that the 
practice of assigning a single Inventory Number to multiple crossings 
could hinder accurate reporting of crossing malfunctions, stalled 
vehicles at crossing locations, and grade crossing accidents. While 
noting that large ports may have hundreds of crossings, the CPUC 
asserted that assigning a single DOT Inventory number to an entire port 
area would make it nearly impossible to identify the location of 
accidents and safety issues at a particular crossing within the 
facility. The CPUC recommended that each crossing should be assigned an 
individual DOT identification number because each crossing may have 
independent characteristics and accident history. In the alternative, 
the CPUC recommended that FRA should consider limiting the assignment 
of a single Inventory Number to multiple crossings located within a 
very small area, which is privately owned and subject to strictly 
limited access. The ICC recommended that each unique pathway crossing 
within a passenger station should be assigned an individual DOT 
identification number.
    After careful consideration of these comments and because the 
commenters did not provide any specific safety data to support their 
concerns, FRA has decided to retain the current practice of allowing 
railroads to assign one Inventory Number to multiple crossings that are 
located within an area belonging to a private company, a port or a dock 
area. FRA notes that crossing malfunctions and other crossing incidents 
are often reported directly to the facility or to an authorized 
facility representative who has knowledge of, or is otherwise familiar 
with, the location of crossings on the property. Section 204(a) of the 
RSIA directs the Secretary of Transportation to issue regulations that 
require railroads to submit crossing data to the Crossing Inventory. 
Consistent with that authority, while it might otherwise be reasonable 
and appropriate to require private property owners to obtain an 
individual Inventory Number for each highway-rail and pathway crossing 
on their property, we have determined that the responsibility for 
obtaining an Inventory Number for crossings located on private property 
or in a port or dock area should continue to be placed on the railroads 
who operate through the crossings. Therefore, FRA is retaining the 
current practice of assigning a single Inventory Number to a group of 
crossings located on private property, or in a dock or port area, which 
does not appear to have a negative impact on emergency response to 
crossing malfunctions or other types of crossing incidents.
    As for crossings within passenger stations, Denver RTD recommended 
that

[[Page 753]]

the Inventory Guide be revised to specifically state that one Inventory 
Number can be assigned to multiple crossings within a passenger 
station. As noted above, in these types of locations crossing 
malfunctions and other crossing incidents are typically reported 
directly to the facility or to an authorized representative of the 
facility who has knowledge of, or is otherwise familiar with, the 
location of the crossings on the property. In addition, the current 
practice of assigning a single Inventory Number to a group of crossings 
located in a railroad yard or passenger station does not appear to have 
a negative impact on emergency response to crossing malfunctions or 
other types of crossing incidents. Therefore, FRA also has decided to 
retain the current practice of allowing railroads to assign one 
Inventory Number to multiple crossings that are located in a railroad 
yard or passenger station.
    Paragraph (c) of this section requires Class I railroads to submit 
all crossing data to the Crossing Inventory electronically. The net 
effect of this provision is that Class II and Class III railroads, as 
well as urban rapid transit operators and State agencies, may submit 
their crossing data to the Crossing Inventory on a hard-copy Inventory 
Form or its electronic equivalent, while Class I railroads must submit 
the data electronically.
    In the proposed rule, FRA requested comments on whether it should 
require additional railroads to submit crossing data electronically to 
the Crossing Inventory. FRA received comments from the BRS recommending 
that all parties who are required to submit data to the Crossing 
Inventory should be required to submit their data electronically. By 
applying this requirement to all parties, the BRS asserted that FRA 
would be better able to track crossing data and there would be no 
issues with the legibility of the data entered on the hard copy 
Inventory Form. FRA also received comments from the ICC recommending 
that the scope of the electronic submission requirement should be 
expanded to require all primary operating railroads and States with 
more than 5,000 crossings to submit their crossing data electronically 
to the Crossing Inventory. Denver RTD submitted comments recommending 
that all crossing data be electronically submitted to the Crossing 
Inventory, whether submitted by a State agency or an operating 
railroad. On the other hand, the North Carolina Department of 
Transportation (NCDOT) submitted comments asserting it would be 
impractical and cost burdensome to require all railroads to submit 
crossing data electronically to the Crossing Inventory because some 
Class III railroads do not have electronic databases for their crossing 
records.
    FRA encourages Class II and Class III railroads, as well as urban 
rapid transit operators and State agencies, to submit their data 
electronically to the Crossing Inventory. However, in order to minimize 
the burdens associated with the reporting and updating of this subpart, 
the final rule does not require Class II or Class III railroads or 
urban rapid transit operators to submit crossing data electronically to 
the Crossing Inventory (unless they are a parent corporation submitting 
crossing data to the Crossing Inventory on behalf of a subsidiary 
railroad under paragraph (e) of this section). As for voluntary 
reporting by State agencies, State agencies may elect to either submit 
crossing data electronically to the Crossing Inventory or through 
submission of hard-copy Inventory Forms.
    Currently, some States and railroads use a PC-based software 
product (GX 32) to update the existing Grade Crossing Inventory System 
(GCIS) that contains the Crossing Inventory database. However, GX 32 
will be replaced with a new secure Web-based application on the final 
rule effective date. This new Web-based application will allow 
railroads and States to either upload their crossing data to the 
Crossing Inventory as an electronic file or to complete an online 
version of the Inventory Form. The new Web-based application will also 
have the capability to support bulk crossing data submissions. 
Railroads and States that previously used the GX 32 software product to 
update the Crossing Inventory will need to adjust their existing 
electronic data systems to ensure their systems work with the new Web-
based application. Please refer to the Electronic Submission 
Instructions that have been placed in the public docket for more 
information. FRA also intends to conduct outreach and training on the 
new Web-based application. More information about these upcoming FRA 
outreach and training sessions will be provided on FRA's Web site.
    Paragraph (d) of this section specifically addresses reporting by 
State agencies on behalf of operating railroads. In the proposed rule, 
FRA noted that it intended to allow State agencies with jurisdiction 
over highway-rail and pathway crossings to submit crossing data to the 
Crossing Inventory on behalf of primary operating railroads. These 
provisions were proposed in Sec. Sec.  234.405(a)(3), 234.405(b)(4), 
and 234.405(c)(4). However, as proposed, the rule might have allowed a 
wide range of third parties to submit crossing data to the Crossing 
Inventory on behalf of the primary operating railroad, which would have 
inadvertently expanded the intended scope of this provision. Therefore, 
in this final rule, FRA has redrafted these provisions and included 
them in paragraph (d) of this section, to specifically address the 
submission of data to the Crossing Inventory by a State agency on 
behalf of an operating railroad.
    Paragraph (d) is intended to minimize any potential burden the 
requirements of this subpart may impose on Class III railroads and to 
accommodate existing arrangements between shortline railroads and State 
agencies, where State agencies have agreed to submit crossing data to 
the Crossing Inventory on the railroads' behalf. To take advantage of 
this provision, the State agency and the operating railroad are 
required to provide written notice to the FRA Associate Administrator 
that the State agency has agreed to report and update crossing data in 
the Crossing Inventory on behalf of the operating railroad for all of 
the operating railroad's highway-rail and pathway crossings within the 
state. Unlike FRA's proposal in the NPRM, the operating railroad and 
State agency are not required to provide positive identification of 
each individual crossing for which the State agency has agreed to 
submit and update crossing data in the Crossing Inventory.
    NCDOT submitted comments seeking clarification as to the types of 
sanctions and/or consequences FRA might use to enforce the reporting 
and updating requirements contained in this subpart against State 
agencies that have agreed to report and update crossing data in the 
Crossing Inventory for operating railroads, yet fail to do so. FRA 
expects State agencies that agree to report and update crossing data on 
behalf of operating railroads will share FRA's interest in ensuring 
that Crossing Inventory records for highway-rail and pathway crossings 
within the State are kept up-to-date and accurate to the extent 
possible. FRA anticipates there will be few instances in which State 
agencies fail to timely report and/or update crossing data in the 
Crossing Inventory, per their agreement with the operating railroad. 
Nevertheless, FRA does reserve the right to take enforcement action 
(e.g., in the form of civil penalties or otherwise) against the 
operating railroad, when appropriate, if a State does not timely comply 
with the

[[Page 754]]

reporting and updating requirements contained in this subpart on behalf 
of the operating railroad.
    The ICC also submitted comments recommending that the primary 
operating railroad be allowed to assign responsibility for updating 
crossing data to a contractor, but not be allowed to assign 
responsibility for updating crossing data to the appropriate State 
agency. FRA is not adopting this recommendation with respect to State 
agency reporting. Operating railroads (including the primary operating 
railroad) may choose to enter into separate contractual arrangements 
with third-party contractors for the submission of crossing data to the 
Crossing Inventory on their behalf without regulatory authority. 
However, the operating railroad will remain fully responsible to FRA 
for any errors or omissions in crossing data the third-party contractor 
submits on its behalf.
    We added a new paragraph (e) to this section of the final rule to 
provide an option for reporting and updating of crossing data to the 
Crossing Inventory by the parent corporation of certain integrated 
railroad systems. Specifically, paragraph (e) provides that a parent 
corporation, and one or more subsidiary railroads, may provide written 
notification to the FRA Associate Administrator that the parent 
corporation will assume the reporting and updating responsibilities of 
its subsidiary railroad for purposes of complying with this subpart. 
Any written notification provided under paragraph (e) of this section 
must contain a list of all subsidiary railroads for which the parent 
corporation will assume reporting and updating responsibility and an 
explanation of how the parent corporation and the subsidiary railroads 
operate as a single, seamless, integrated United States railroad 
system. In addition, any written notification provided under paragraph 
(e) of this section must include a statement signed by the chief 
executive officer of the parent corporation, that the parent 
corporation consents to guarantee any monetary penalty assessments or 
other liabilities owed to the United States government the named 
subsidiaries incur for violating the reporting and updating 
requirements of this subpart. The parent corporation also must agree to 
provide immediate written notification to the FRA Associate 
Administrator of any change in the list of subsidiary railroads for 
which the parent corporation has assumed reporting and updating 
responsibility. Finally, the parent corporation must agree to submit 
crossing data for all of the subsidiary railroad's highway-rail and 
pathway crossings to the Crossing Inventory electronically.
Section 234.405 Submission of Initial Data to the Crossing Inventory 
for Previously Unreported Crossings
    As proposed, this section would have included requirements that 
primary operating railroads submit data to the Crossing Inventory for 
previously unreported crossings (proposed paragraph (a)) and new 
crossings (i.e., crossings not in existence as of effective date of 
final rule) (proposed paragraph (b)), as well as periodic update 
requirements (proposed paragraph (c)), and update requirements related 
to crossing sales, closures and changes in crossing characteristics 
(proposed paragraph (d)). In this final rule, FRA is revising this 
section by moving the provisions that address the reporting of new 
crossings and the periodic updating of existing crossing data, and the 
provisions that address the reporting of crossing sales, crossing 
closures, and changes in crossing characteristics, to separate 
sections. The reporting of new highway-rail and pathway crossings is 
now under Sec.  234.407, while the periodic updating of existing 
crossing data is under Sec.  234.409. In addition, the reporting of a 
crossing sale, crossing closure, or change in crossing characteristics 
is now under Sec.  234.411.
    As proposed in the NPRM, this section made primary operating 
railroads responsible for submitting completed Inventory Forms or their 
electronic equivalents, to the Crossing Inventory for previously 
unreported crossings through which the railroads operate. FRA received 
a number of comments relating to FRA's proposal to make railroads 
responsible for submitting completed Inventory Forms, as opposed to 
limiting railroads' duty to report to only railroad-maintained crossing 
data. In its comments, AAR recommended that the final rule require 
railroads to report only railroad-maintained crossing data (e.g., the 
total number of daily train movements and the speed of the train at the 
crossing) to the Crossing Inventory and should leave State agencies 
responsible for reporting State-maintained crossing data (such as 
highway system class, highway speed limit, estimated percent of truck 
traffic, and the average number of school buses per day). NCDOT 
submitted similar comments. In its comments, the Virginia Department of 
Transportation (VDOT) recommended that State agencies be responsible 
for updating crossing data because railroads do not have staff in every 
state. The Florida Department of Transportation (FDOT) recommended that 
primary operating railroads be required to coordinate with State 
agencies to obtain State-maintained crossing data before they submit 
this data to the Crossing Inventory for previously unreported highway-
rail and pathway crossings. The ICC submitted comments recommending 
that State agencies be permitted to submit crossing data to the 
Crossing Inventory for previously unreported crossings, if the primary 
operating railroad fails to do so in a timely fashion.
    After careful consideration of all comments submitted on this 
issue, FRA has retained the requirement that primary operating 
railroads must submit completed Inventory Forms (or the electronic 
equivalent) to the Crossing Inventory for previously unreported 
highway-rail and pathway crossings in the final rule. This final rule 
implements the statutory mandate in Section 20160 to issue regulations 
requiring railroads to submit crossing data to the Crossing Inventory 
for previously unreported crossings. While DOT may issue regulations in 
the future that would address State reporting of public highway-rail 
and pathway crossings to the Crossing Inventory, this final rule does 
not require State agencies to report or update the Crossing Inventory. 
However, FRA strongly encourages primary operating railroads to work 
with State agencies to obtain crossing data the State maintains.
    In response to commenters expressed concerns, and in recognition of 
the fact that even a primary operating railroad may not have access to 
all the data necessary to complete an Inventory Form, FRA added a new 
paragraph (d) to this section. This paragraph establishes a procedure 
for primary operating railroads to provide official notification to FRA 
if the primary operating railroad is unable to timely submit a complete 
Inventory Form (or its electronic equivalent) to the Crossing Inventory 
because it requested State-maintained crossing data from the State 
agency that has not yet been received.
    This section implements the statutory mandate contained in 
paragraph (a)(1) of Section 20160, which requires railroad carriers to 
report current information to the Secretary about warning devices and 
signs at each previously unreported crossing through which they 
operate. With respect to the reporting to the Crossing Inventory of 
previously unreported highway-rail and pathway crossings (which, for 
purposes of this subpart, are highway-rail and pathway crossings (both 
at-grade and grade-separated) that were not reported to the Crossing 
Inventory as of the effective date of this final rule), we

[[Page 755]]

revised paragraph (a) of this section. Paragraph (a) has been revised 
to include a provision, in paragraph (a)(1)(i), requiring the primary 
operating railroad to assign an Inventory Number to each previously 
unreported highway-rail and pathway crossing through which it operates, 
unless the crossing is located in a railroad yard, passenger station, 
or within a private company, port, or dock area. If the previously 
unreported crossings are located in a railroad yard, passenger station, 
or within a private company, port, or dock area, paragraph (a)(1)(ii) 
requires the primary operating railroad(s) to assign one or more 
Inventory Numbers to the previously unreported crossings. In these 
instances, each railroad that owns track leading to the private 
company, port, or dock area is considered the primary operating 
railroad for the crossings within the facility (see definition of 
``primary operating railroad'' in Sec.  234.401). Thus, if more than 
one railroad owns track leading into a private company, port, or dock 
area, it is possible that a single crossing could have more than one 
unique Inventory Number assigned to it. If a primary operating railroad 
does not already have an Inventory Number it can assign to the 
previously unreported highway-rail or pathway crossing, then the 
railroad must obtain an Inventory Number. Instructions for obtaining an 
Inventory Number are found in the Inventory Guide.
    As proposed in the NPRM, paragraph (a)(1)(iii) specifically 
provides that the requirements to assign Inventory Numbers to crossings 
and to submit Inventory Forms to the Crossing Inventory do not apply to 
any crossing meeting the definition of a ``temporary crossing.''
    We also revised paragraph (a)(2) in the final rule to require the 
primary operating railroad to provide the assigned Inventory Number to 
each operating railroad that operates through the previously unreported 
highway-rail or pathway crossing within ten months of the final rule's 
effective date. FRA added this requirement because each operating 
railroad will need to know the Inventory Number assigned to the 
previously unreported crossing. (For example, the operating railroad 
will need to be able to verify whether the primary operating railroad 
has timely reported the previously unreported crossing to the Crossing 
Inventory.) However, this requirement does not apply to the Inventory 
Numbers assigned to highway-rail and pathway crossings that are located 
within a private company, port, or dock area. As stated above, if more 
than one railroad owns track that leads into a private company, port, 
or dock area, each railroad that owns track leading to the private 
company, port, or dock area must assign its own Inventory Number to the 
highway-rail and pathway crossings that are located within the 
facility.
    As proposed in the NPRM, primary operating railroads would have had 
six months after the effective date of a final rule to report any 
previously unreported highway-rail and/or pathway crossings to the 
Crossing Inventory. NCDOT submitted comments recommending that the 
reporting requirements contained in the final rule should allow for a 
12-month transition period to accommodate changes to database code and 
validation rules, while FDOT submitted comments recommending that the 
final rule should allow for a six- to 12-month transition period. On 
the other hand, the ICC submitted comments recommending that the final 
rule should allow for a 24-month period after the final rule's 
effective date before the electronic submission of crossing data to the 
Crossing Inventory is required, in order to provide sufficient time 
within which to modify existing crossing database systems or to develop 
new systems to retain crossing data.
    After consideration of these comments, we revised paragraph (a)(3) 
of this section to extend the proposed six month initial reporting 
period to allow primary operating railroads to submit completed 
Inventory Forms (or their electronic equivalent) to the Crossing 
Inventory for the previously unreported highway-rail and pathway 
crossings through which they operate within 12 months of the final rule 
effective date. This will provide additional time for railroads, as 
well as State agencies, to modify existing systems or to develop new 
systems. FRA believes 12 months is ample time for railroads to modify 
their existing systems of reporting or to develop new systems. This 12-
month reporting period is applicable, regardless of whether the 
crossing data is submitted electronically or by hard-copy. FRA 
recognizes that some Class II and Class III railroads may elect to 
retain their crossing data on an electronic database, yet submit their 
crossing data to the Crossing Inventory on hard-copy Inventory Forms. 
FRA has no objection to this non-Class I railroad practice.
    FRA added paragraph (b) of this section to the final rule to 
address the situation when multiple operating railroads operate trains 
on separate tracks through the same highway-rail or pathway crossing. 
As discussed in the Section-by-Section Analysis of the definition of 
the term ``highway-rail crossing,'' railroad tracks that lie within the 
same pair of crossing warning devices are considered a single highway-
rail or pathway crossing for purposes of the Crossing Inventory.
    AAR's comments expressed agreement with FRA's proposal that when 
two or more railroads operate on the same track and through the same 
highway-rail or pathway crossing, the primary operating railroad should 
provide crossing data to the Crossing Inventory. However, when multiple 
railroads operate on separate tracks through the same crossing, AAR 
recommended that each operating railroad should submit separate reports 
to the Crossing Inventory for crossing data that is unique to its 
tracks. Denver RTD also submitted comments questioning whether any one 
railroad should be designated the primary operating railroad in the 
case of a shared crossing where each operating railroad owns, operates, 
and maintains its portion of the crossing.
    On the other hand, FRA received comments from the ICC recommending 
that only two entities--the primary operating railroad and the State--
be authorized to edit or update crossing data in the Crossing 
Inventory. In situations involving multiple operating railroads, the 
ICC recommended that FRA require other operating railroads to provide 
crossing data to the primary operating railroad for submission to the 
Crossing Inventory. The Minnesota Department of Transportation 
submitted similar comments recommending that the railroad responsible 
for the maintenance of the track at the crossing be the reporting 
railroad with the obligation to collect the required data, if any, from 
the other railroads that operate on its line. FDOT also submitted 
comments recommending that the primary operating railroad should not 
submit train count data to the Crossing Inventory until after it 
obtains a total count from all other railroads that operate through the 
crossing.
    As reflected in paragraph (a) of this section, the primary 
operating railroad is required to submit an accurate and complete 
Inventory Form, or its electronic equivalent, to the Crossing Inventory 
for previously unreported highway-rail and pathway crossings. However, 
in situations involving multiple railroads that operate on separate 
tracks through the same crossing, it may not be practicable for the 
primary operating railroad to submit train count and train speed data 
to the Crossing Inventory on behalf of all of the operating railroads 
that operate trains through the crossing. The primary

[[Page 756]]

operating railroad may not have sufficient information related to train 
movements for tracks over which it does not operate or dispatch trains. 
Therefore, paragraph (b) of this section requires multiple operating 
railroads that operate on separate tracks through the same highway-rail 
or pathway crossing to assume responsibility for reporting certain 
crossing data directly to the Crossing Inventory consistent with the 
Inventory Guide. This crossing data includes railroad-specific train 
count and train speed data, as well as railroad-specific location data 
such as the milepost location, railroad subdivision, and railroad 
division data. However, the primary operating railroad is still 
required to submit an accurate and complete Inventory Form, or its 
electronic equivalent, to the Crossing Inventory for the crossing, 
which includes train count and train speed data that is specifically 
related to the primary operating railroad's train operations.
    We intend for paragraph (c) of this section to address the 
situation when the primary operating railroad has not submitted a 
completed Inventory Form (or its electronic equivalent) to the Crossing 
Inventory for a previously unreported highway-rail or pathway crossing, 
under paragraph (a) of this section. Unless the primary operating 
railroad has provided a written certification statement to the FRA 
Associate Administrator under paragraph (d) of this section that it 
requested certain crossing data from the appropriate State agency which 
the State agency has not yet provided, other operating railroads that 
operate through the previously unreported crossing will need to monitor 
the Crossing Inventory to confirm that the primary operating railroad 
has timely submitted a completed Inventory Form (or its electronic 
equivalent) to the Crossing Inventory for the crossing. If an operating 
railroad discovers that the primary operating railroad has not 
submitted a completed Inventory Form (or its electronic equivalent) to 
the Crossing Inventory for a previously unreported highway-rail or 
pathway crossing (which is not a temporary crossing) by March 7, 2016, 
the operating railroad must provide written notification of this 
oversight to the FRA Associate Administrator. Otherwise, each operating 
railroad (including the primary operating railroad) that operates 
through the unreported highway-rail or pathway crossing may be subject 
to civil penalties for failure to timely report the crossing to the 
Crossing Inventory.
    FRA received a number of comments that were critical of the 
requirement contained in paragraph (c) of this section that each 
operating railroad must notify the FRA Associate Administrator when the 
primary operating railroad has not submitted a completed Inventory 
Form, or its electronic equivalent, to the Crossing Inventory. The AAR 
and the ICC submitted comments asserting that this requirement is 
burdensome. The AAR further asserted that FRA could implement the 
statutory mandate in Section 20160, without imposing reporting 
requirements on secondary railroads, by giving entities other than the 
primary operating railroad the ability to submit crossing data to the 
Crossing Inventory. For example, the AAR noted that the proposed rule 
already contained provisions that would allow reporting by other 
entities on behalf of the primary operating railroad, which appear to 
be consistent with other assignment provisions that appear in the rail 
safety regulations.
    Section 20160 contains specific language requiring that each 
railroad carrier ensure crossing data for previously unreported 
crossings has been reported to the Crossing Inventory by another 
railroad carrier that operates through the crossing. As discussed 
earlier, paragraph (a) of this section requires the primary operating 
railroad to submit an accurate and complete Inventory Form, or its 
electronic equivalent, for previously unreported highway-rail and 
pathway crossings. However, if the primary operating railroad fails to 
submit a completed Inventory Form in a timely manner, paragraph (c) of 
this section implements Section 20160's mandate to require each 
operating railroad to provide written notification to the FRA Associate 
Administrator that a previously unreported highway-rail or pathway 
crossing has not been timely reported to the Crossing Inventory. 
Therefore, we did not change this requirement in the final rule.
    The AAR also submitted comments asserting that requiring operating 
railroads to notify the FRA Associate Administrator when the primary 
operating railroad has not timely submitted crossing data to the 
Crossing Inventory would require operating railroads to differentiate 
between crossings through which they operate trains and crossings 
through which they simply have trackage rights (but do not operate 
trains), in order to determine whether they must follow up on a primary 
railroad's reporting responsibility. FRA acknowledges that the final 
rule will require railroads to differentiate between crossings through 
which they operate trains and crossings for which they simply have 
trackage rights to determine the extent of their reporting and updating 
responsibilities under this final rule. If a railroad or urban rapid 
transit operator simply has trackage rights (but does not operate 
trains) over a highway-rail or pathway crossing that is on, or 
connected to, the general railroad system of transportation, the 
railroad or rail transit operator will not be considered an ``operating 
railroad'' with respect to that crossing. Therefore, the railroad or 
rail transit operator will not be required by this subpart to submit or 
update crossing data to the Crossing Inventory for the highway-rail or 
pathway crossing for which it simply has trackage rights but does not 
operate trains.
    FRA added paragraph (d) of this section to the final rule to allow 
the primary operating railroad to provide written notification that it 
has requested, but not received, certain crossing data, from the 
appropriate State agency responsible for maintaining highway-rail and 
pathway crossing data. We added this paragraph to the final rule in 
response to comments noting that under the proposed rule, the primary 
operating railroad and all other operating railroads could be held 
responsible for the timely submission of crossing data, which may only 
be obtainable from the State agency that maintains highway-rail and 
pathway crossing data. As noted earlier, the AAR submitted comments 
asserting that railroads should only be required to report railroad-
maintained crossing data to the Crossing Inventory, thus leaving the 
responsibility for reporting State-maintained crossing data to State 
agencies. Denver RTD also submitted comments recommending that 
railroads only be responsible for failing to submit or update crossing 
information in the Crossing Inventory if the State timely provided the 
information requested and the railroad nevertheless failed to timely 
update the Crossing Inventory. The ICC submitted comments recommending 
that the final rule contain a mechanism for any party to inform the FRA 
Associate Administrator of the failure of the State agency (or the 
primary operating railroad) to submit data in a timely manner.
    Paragraph (d) will allow the primary operating railroad to submit a 
written statement to the FRA Associate Administrator, by certified 
mail, return receipt requested, certifying it requested certain 
crossing data from the appropriate State agency responsible for 
maintaining highway-rail and pathway crossing data at least 60 days 
earlier, which the State has not yet provided. If the primary operating 
railroad provides

[[Page 757]]

this written statement to the FRA Associated Administrator, FRA will 
not hold the primary operating railroad responsible for failing to 
submit an accurate and complete Inventory Form (or its electronic 
equivalent) to the Crossing Inventory. In addition, the rule will not 
require other operating railroads that operate through the crossing to 
notify the FRA Associate Administrator that a completed Inventory Form 
(or its electronic equivalent) has not been submitted for the 
previously unreported crossing.
    To take advantage of this provision, the primary operating railroad 
must limit the crossing data requested to one or more of the data 
fields that contain State-maintained crossing data, which the States 
are being asked to voluntarily update in the Crossing Inventory. We 
have identified these data fields in Appendix B in the Inventory Guide. 
The primary operating railroad must mail a written statement to the FRA 
Associate Administrator by certified mail, return receipt requested, 
which includes a list of each data field for which the primary 
operating railroad requested crossing information from the appropriate 
State agency and the date the crossing data was requested. The primary 
operating railroad also must mail copies of the written certification 
statement to each operating railroad that operates through the highway-
rail or pathway crossing and to the State agency responsible for 
maintaining highway-rail and pathway crossing data. In addition, the 
primary operating railroad must submit the requested crossing data to 
the Crossing Inventory within 60 days of receipt from the appropriate 
State agency.
Section 234.407 Submission of Initial Data to the Crossing Inventory 
for New Crossings
    Proposed Sec.  234.407 set forth the recordkeeping requirements for 
this subpart that would apply to each railroad subject to this subpart. 
In this final rule, we moved these recordkeeping requirements to 
Sec. Sec.  234.413 and 234.407 now addresses the reporting of new 
highway-rail and pathway crossings to the Crossing Inventory. This 
section implements paragraph (a)(1) of Section 20160, which requires 
railroad carriers to report current information to the Secretary about 
warning devices and signs at each new crossing through which they 
operate. Specifically, paragraph (a)(1)(i) of this section requires the 
primary operating railroad to assign an Inventory Number to each new 
highway-rail and pathway crossings through which it operates. 
Consistent with the reporting requirements in Sec.  234.405 regarding 
previously unreported crossings, this requirement does not apply to new 
highway-rail and pathway crossings located in a railroad yard, 
passenger station, or within a private company, port, or dock area or 
to temporary crossings.
    If new crossings are located in a railroad yard, passenger station, 
or within a private company, port or dock area, paragraph (a)(1)(ii) 
requires the primary operating railroad(s) to assign one or more 
Inventory Numbers to the crossings. The primary operating railroad(s) 
may assign an Inventory Number to a specific highway-rail or pathway 
crossing or to a group of highway-rail and pathway crossings located in 
a railroad yard, passenger station, or within a private company, port, 
or dock area.
    For new highway-rail and pathway crossings located within a private 
company, port, or dock area, we will consider each railroad that owns 
track leading to the private company, port, or dock area the primary 
operating railroad for the crossings within the facility (see 
definition of ``primary operating railroad'' in Sec.  234.401). Thus, 
if more than one railroad owns track leading into a private company, 
port or dock area, it is possible that a single crossing could have 
more than one unique Inventory Number assigned to it. If a primary 
operating railroad does not already have an Inventory Number that it 
can assign to the new highway-rail or pathway crossing, the railroad 
must obtain an Inventory Number. Instructions for obtaining an 
Inventory Number can be found in the Inventory Guide.
    Paragraph (a)(1)(iii) of this section provides that the requirement 
to assign Inventory Numbers to crossings and report those crossings to 
the Crossing Inventory does not apply to any crossing meeting the 
definition of a ``temporary'' crossing. However, the primary operating 
railroad must report a highway-rail or pathway crossing that was deemed 
to be a ``temporary'' crossing to the Crossing Inventory as a new 
crossing if it becomes apparent the highway-rail or pathway crossing 
will remain in place for more than six months.
    We also revised paragraph (a)(2) in the final rule to require the 
primary operating railroad to provide the assigned Inventory Number to 
each operating railroad that operates through the new highway-rail or 
pathway crossing no later than four months after the date the crossing 
becomes operational or ten months after the effective date of this 
rule, whichever occurs later. FRA added this requirement to the final 
rule because each operating railroad will need to know the Inventory 
Number assigned to the new highway-rail or pathway crossing. (For 
example, the operating railroad will need to verify whether the primary 
operating railroad timely reported the new crossing to the Crossing 
Inventory.) However, this requirement does not apply to the Inventory 
Numbers assigned to highway-rail and pathway crossings located within a 
private company, port, or dock area. As stated above, if more than one 
railroad owns track that leads into a private company, port, or area, 
each railroad that owns track leading to the private company, port, or 
dock area must assign its own Inventory Numbers to the highway-rail and 
pathway crossings that are located within the facility.
    As proposed in the NPRM, primary operating railroads would have had 
six months after the effective date of the final rule to report any new 
highway-rail and/or pathway crossings to the Crossing Inventory. In 
this final rule, FRA is providing additional flexibility in the 
timeframe for reporting of new crossings to the Crossing Inventory. 
Specifically, paragraph (a)(3) of this section requires primary 
operating railroads to submit accurate and complete Inventory Forms (or 
their electronic equivalent) to the Crossing Inventory for new highway-
rail and pathway crossings through which they operate no later than six 
months after the crossing becomes operational or within twelve months 
of the final rule's effective date, whichever occurs later.
    FRA received comments from the ICC and the Brotherhood of Railroad 
Signalmen recommending that the timeframe for reporting new crossings 
to the Crossing Inventory should be changed to 90 days from the date on 
which a new crossing is established. In its comments, the ICC explained 
that this recommended change would standardize the time period for 
reporting new crossings and changes in crossing characteristics. 
However, we retained the requirement to report new crossings within six 
months of the date on which the crossing becomes operational in this 
final rule consistent with the mandate of Section 20160. We also 
extended the deadline for submitting crossing data for new highway-rail 
and pathway crossings to the Crossing Inventory in the final rule to 
provide additional time for railroads and State agencies to modify 
existing reporting systems or to develop new systems. This initial 
extended reporting period applies to the submission of all new crossing 
data to the Crossing

[[Page 758]]

Inventory, regardless of whether the crossing data is submitted 
electronically or by hard-copy.
    FRA also received comments from the Iowa Department of 
Transportation recommending not adding new crossings to the Crossing 
Inventory unless railroads and State agencies have submitted crossing 
data. However, this final rule implements the statutory mandate in 
Section 20160 to issue regulations requiring railroads to report 
current information about new crossings through which they operate. 
While DOT may issue regulations in the future that address State 
reporting of public highway-rail and pathway crossing data to the 
Crossing Inventory, this final rule does not require State agencies to 
submit crossing data to the Crossing Inventory for new crossings. 
Therefore, paragraph (a)(3) requires primary operating railroads to 
submit accurate and complete Inventory Forms (or their electronic 
equivalent) to the Crossing Inventory for new crossings through which 
they operate. However, FRA strongly encourages primary operating 
railroads to work with State agencies to obtain crossing data the State 
maintains.
    Consistent with the addition of paragraph (b) to Sec.  234.405 as 
applied to previously unreported crossings (discussed above), FRA added 
a new paragraph (b) to this section in the final rule to address the 
situation in which multiple operating railroads operate trains on 
separate tracks through the same highway-rail or pathway crossing. 
Paragraph (b) requires multiple operating railroads that operate on 
separate tracks through the same highway-rail or pathway crossing to 
assume responsibility for reporting certain crossing data directly to 
the Crossing Inventory consistent with the Inventory Guide. This 
crossing data includes railroad-specific train count and train speed 
data, as well as railroad-specific location data such as the milepost 
location, railroad subdivision, and railroad division data. However, 
the primary operating railroad is still required to submit an accurate 
and complete Inventory Form, or its electronic equivalent, to the 
Crossing Inventory for the crossing, which includes train count and 
train speed data that is specifically related to the primary operating 
railroad's train operations.
    Consistent with paragraph (c) of Sec.  234.405 as applied to 
previously unreported crossings, paragraph (c) of this section 
establishes a requirement that each operating railroad must provide 
written notification to the FRA Associate Administrator, if the primary 
operating railroad has not submitted a completed Inventory Form (or its 
electronic equivalent) to the Crossing Inventory for a new highway-rail 
or pathway crossing. Again, this provision is intended to implement 
paragraph (a)(2) of Section 20160, which states that each railroad 
carrier must ensure another railroad carrier that operates through the 
crossing submits crossing data for new highway-rail and pathway 
crossings to the Crossing Inventory.
    Unless the primary operating railroad has provided a written 
statement to the FRA Associate Administrator, in accordance with 
paragraph (d) of this section, certifying that it requested State-
maintained crossing data from the appropriate State agency responsible 
for maintaining highway-rail and pathway crossing data which the State 
agency has not yet provided, other operating railroads that operate 
through the new crossing will need to monitor the Crossing Inventory to 
confirm that the primary operating railroad has timely submitted a 
completed Inventory Form (or its electronic equivalent) to the Crossing 
Inventory for the crossing. If an operating railroad discovers that the 
primary operating railroad has not submitted a completed Inventory Form 
(or its electronic equivalent) to the Crossing Inventory for a new 
highway-rail or pathway crossing (which is not a temporary crossing) 
within six months of the date on which the crossing became operational 
or March 7, 2016, whichever occurs later, the operating railroad must 
provide written notification of this oversight to the FRA Associate 
Administrator. This written notification must include, at a minimum, 
the latitudinal and longitudinal coordinates of the new highway-rail or 
pathway crossing. If the operating railroad fails to provide written 
notification of this oversight to the FRA Associate Administrator, FRA 
may assess civil penalties against each operating railroad (including 
the primary operating railroad) that operates through a new crossing, 
which was not timely reported to the Crossing Inventory.
    The AAR submitted comments expressing concern that the written 
notification requirement in paragraph (c) of this section would create 
confusion. In its comments, the AAR further asserted that a secondary 
railroad would have no way of knowing when a primary operating railroad 
opens a crossing because the primary operating railroad is not required 
to share this information. However, the installation of new highway-
rail and pathway crossings necessarily involves coordination between 
the primary operating railroad and all other operating railroads that 
operate trains through the crossing. At the very least, train crews for 
each operating railroad must be notified of changes in railroad 
operations that are necessary to accommodate construction work, such as 
slow orders. When the highway-rail or pathway crossing is complete, 
train crews will also need to be notified of required actions they must 
take upon approach to the crossing, such as sounding the locomotive 
horn to provide an audible warning for highway users. Therefore, it is 
reasonable to expect that each operating railroad will receive 
notification from the crossing owner whenever a new highway-rail or 
pathway crossing becomes operational. Upon receiving notification that 
a new highway-rail or pathway crossing has become operational, each 
operating railroad will need to monitor the Crossing Inventory to 
ensure that the new crossing is timely reported by the primary 
operating railroad.
    Consistent with the addition of paragraph (d) to Sec.  234.405 
regarding the reporting of previously unreported crossings to the 
Crossing Inventory, FRA added a new paragraph (d) to this section 
allowing primary operating railroads to provide written notification 
that they have requested, and have not received, certain crossing data 
from the appropriate State agency responsible for maintaining highway-
rail and pathway crossing data. If written notification is provided 
under this provision, we will not hold the primary operating railroad 
responsible for failing to submit the crossing data it has requested 
from the appropriate State agency and not received. In addition, we 
will not require the other operating railroads that operate through the 
crossing to notify FRA that a completed Inventory Form (or its 
electronic equivalent) has not been submitted for the new crossing. 
However, the primary operating railroad must submit the requested 
crossing data to the Crossing Inventory within 60 days of receipt from 
the appropriate State agency.
Section 234.409 Submission of Periodic Updates to the Crossing 
Inventory
    As proposed, provisions related to the periodic updating of 
information submitted to the Crossing Inventory were contained in 
paragraph (c) of proposed Sec.  234.405. FRA moved these provisions to 
Sec.  234.409 in this final rule and revised them to reflect 
consideration of comments received. We also made minor revisions to 
this section to include specific references to highway-rail and pathway 
crossings to reflect the two basic categories of

[[Page 759]]

crossings for which data will be collected in the Crossing Inventory. 
This section is intended to implement paragraph (b)(1) of Section 
20160, which requires railroad carriers to periodically report current 
information, including information about warning devices and signage as 
specified by the Secretary, to the Crossing Inventory concerning 
crossings through which they operate.
    As proposed in Sec.  234.405(c)(1), Sec.  234.409(a) of this final 
rule requires each primary operating railroad to periodically update 
existing crossing data in the Crossing Inventory for each highway-rail 
and pathway crossing through which it operates consistent with the 
Inventory Guide. However, we do not require submission of these 
periodic updates for closed or grade-separated highway-rail and pathway 
crossings. FRA has determined that changes in crossing characteristics 
do not appear to have a significant impact on existing risk levels at 
closed or grade-separated crossings. Once the highway-rail or pathway 
crossing has been closed or grade-separated, there will not be any 
changes at the crossing (other than re-opening the crossing) that have 
a significant impact on crossing safety.
    Paragraph (a) requires each primary operating railroad to submit 
up-to-date and accurate crossing data on a periodic basis to the 
Crossing Inventory for each highway-rail and pathway crossing (except 
grade-separated or closed crossings) through which it operates 
consistent with the Inventory Guide. The primary operating railroad 
must submit updated crossing data at least every three years from the 
date of the most recent submission of data by the primary operating 
railroad (or on behalf of the primary operating railroad) for the 
crossing or March 7, 2016, whichever occurs later. For hard-copy 
submissions to the Crossing Inventory, this three-year period is 
measured from the date on which the most recent submission of data for 
the crossing was mailed to the Crossing Inventory by the primary 
operating railroad (or on behalf of the primary operating railroad). 
However, FRA recommends that the primary operating railroad submit an 
update to the Crossing Inventory as soon as practicable, if there is 
any significant change in train count or train speed data, as opposed 
to waiting for the next required three-year periodic update to report 
the change.
    FRA extended the deadline for submitting initial periodic updates 
for existing highway-rail and pathway crossings to the Crossing 
Inventory in this final rule to three years from the last submittal or 
12 months after the final rule effective date, whichever is later (the 
NPRM provided for updates within three years from the last submittal or 
six months after effective date of final rule) to provide additional 
time for primary operating railroads to implement necessary changes to 
their crossing databases to ensure compatibility with FRA's new Web-
based application for the Grade Crossing Inventory System (GCIS) 
system. We made this revision in response to comments requesting 
additional time within which to comply with the final rule. FDOT 
submitted comments recommending that the final rule should allow for at 
least a six-month period for State agencies and railroads to address 
issues that will result from subjecting existing records to new 
validation rules. On the other hand, the AAR submitted comments 
recommending that the final rule effective date should be at least 
three years from the date on which the final rule is published to 
accommodate modifications that railroads and State agencies will need 
to make to crossing databases they maintain to comply with the 
reporting and updating requirements of this rule.
    FRA notes that primary operating railroads will have at least 14 
months from the publication date of this final rule to prepare for the 
submission of their initial required periodic updates to the Crossing 
Inventory. Moreover, the deadline for submitting required periodic 
updates is directly related to the date on which the primary operating 
railroad last submitted data for the crossing to the Crossing 
Inventory. Therefore, railroads that have recently submitted updates to 
their crossing data in the Crossing Inventory will have close to three 
years to prepare for the submission of their initial required periodic 
updates.
    FRA received comments from LaDOTD recommending that the final rule 
require submission of periodic updates on a five-year cycle, as opposed 
to every three years. However, LaDOTD did not submit any evidence to 
support the longer reporting period. On the other hand, the CPUC 
submitted comments recommending that we should encourage railroads to 
provide updates to train counts and train speed when they make 
significant operational changes. In making this recommendation, the 
CPUC noted that errors in the average count or maximum speed of trains 
can result in significant inaccuracies, especially when used in 
conjunction with the DOT Accident Prediction Formula.
    In the absence of evidence that a three-year cycle for the 
submission of periodic updates to the Crossing Inventory will pose an 
undue burden on primary operating railroads, FRA retained the 
requirement to submit periodic updates at least every three years. 
Section 20160 directs the Secretary to establish requirements for the 
periodic updating of the Crossing Inventory on either an annual basis 
or as otherwise specified by the Secretary. The three-year cycle for 
submitting periodic updates to the Crossing Inventory, which paragraph 
(a) of this section established, is intended to balance the updating 
burden imposed on primary operating railroads with the benefits derived 
from having up-to-date and accurate crossing data in the Crossing 
Inventory, such as improved grade crossing safety analyses.
    FRA also received comments from NCDOT recommending that the final 
rule be revised to require submission of periodic updates to the 
Crossing Inventory for grade-separated crossings at least every six 
years (or possibly every 12 years) to coincide with the three-year 
periodic updates that must be submitted for highway-rail and pathway 
grade crossings. Because FRA has found that changes in crossing 
characteristics do not appear to have a significant impact on existing 
risk levels at grade-separated crossings, we did not adopt this 
recommendation.
    FRA received a number of comments recommending who FRA should 
consider the appropriate party required to submit periodic updates of 
crossing data to the Crossing Inventory. The BRS submitted comments 
expressing strong support for requiring the primary operating railroad 
to submit updated crossing data to the Crossing Inventory, especially 
because FRA has noted its lack of oversight authority with regard to 
the reporting of crossing data by State agencies. FDOT submitted 
comments recommending that railroads be required to coordinate with 
State agencies to obtain State-maintained crossing information for data 
fields that States are being asked to update on a voluntary basis, as 
reflected in Appendix B to the Inventory Guide. NCDOT submitted 
comments recommending that FRA ask State agencies to voluntarily submit 
crossing data to the Crossing Inventory for data fields on the 
Inventory Form historically completed by State agencies within three to 
six months after the primary operating railroad submits crossing data 
to the Crossing Inventory. Tavla Solutions submitted comments 
recommending that the GCIS system be designed to facilitate electronic 
communication with State agencies, especially with respect to data 
fields on the Inventory Form that have

[[Page 760]]

traditionally completed by State agencies.
    The ICC submitted comments recommending that FRA require railroads 
to continue to provide crossing data updates to the appropriate State 
agencies for incorporation into the Crossing Inventory. In the 
alternative, the ICC noted that a mechanism could be developed to 
provide notice to the appropriate State agency that the primary 
operating railroad has submitted an update to the Crossing Inventory. 
While noting that a similar mechanism could be developed to notify the 
primary operating railroad whenever State agencies submit updated 
crossing data to the Crossing Inventory, the ICC asserted that this 
process would be preferable to that outlined in the proposed rule 
because the appropriate State agency will know whenever a new crossing 
is added to the Crossing Inventory.
    FRA also received comments from the CPUC recommending sending 
notifications to the appropriate State agency with jurisdiction over 
grade crossing safety and the operating railroad(s) responsible for 
submitting crossing data to the Crossing Inventory whenever updated 
data is posted to the Crossing Inventory. In the alternative, the CPUC 
recommended that the GCIS system should allow Crossing Inventory users 
to generate reports that show all changes made during a specified time 
period, such as the last month, quarter, or year.
    After consideration of these comments, FRA has decided to retain 
the process in the proposed rule wherein the primary operating railroad 
(and, as further discussed below, other operating railroads) submit 
updated crossing data directly to the Crossing Inventory. In response 
to comments the BRS submitted, although FRA previously stated it did 
not have authority to require States to report, upon further 
consideration FRA believes that Section 20160 does give the Secretary 
authority to require States to report and update highway-rail and 
pathway crossing information in the Crossing Inventory. Therefore, DOT 
may issue regulations in the future that address State reporting to the 
Crossing Inventory, which are based upon this existing statutory 
mandate. However, in the interim, FRA encourages primary operating 
railroads to send copies of their crossing data to the appropriate 
State agency responsible for grade crossing safety when they submit 
crossing data to the Crossing Inventory. As reflected in Appendix B to 
the Inventory Guide, data fields on the Inventory Form that State 
agencies have historically completed have generally been assigned to 
State agencies for updating on a voluntary basis. Therefore, State 
agencies are encouraged to submit updates to these data fields at least 
every three years.
    We have not designed the current version of the GCIS system to 
provide email notification or to facilitate electronic communication 
between State agencies and the primary operating railroad whenever 
crossing data related to a highway-rail or pathway crossing is 
submitted to the Crossing Inventory. However, we have configured the 
GCIS system to allow Crossing Inventory users to download crossing data 
for multiple crossings or individual crossings. This functionality will 
allow State agencies and operating railroads to verify that new or 
previously unreported crossings have been reported to the Crossing 
Inventory and that required updates have been submitted by the primary 
operating railroad. In addition, the GCIS system has been designed to 
allow Crossing Inventory users to generate reports showing all changes 
that have been made in the Crossing Inventory during a specified time 
period.
    The CPUC submitted comments recommending that there be a process 
for resolving conflicts that may arise due to State agencies and 
railroads providing conflicting data for the same data field. To 
address this potential concern, a private citizen submitted comments 
proposing that the Crossing Inventory be designed to reflect two 
entries for data fields for which conflicting data was submitted--one 
entry for data the primary operating railroad submits and the other 
entry for data the State submits. The commenter believes that by 
adopting this approach, the Crossing Inventory could flag conflicting 
data and record the date on which the data was submitted to the 
Crossing Inventory, but not allow the crossing data to be overridden by 
another entity.
    The AAR submitted comments recommending that FRA address the 
possibility that one entity could incorrectly modify or nullify a data 
field assigned to another entity for updating purposes. FRA also 
received comments from a private citizen, the Iowa Department of 
Transportation, the Minnesota Department of Transportation, and NCDOT 
recommending that railroads be prohibited from overwriting existing 
highway data and State agencies be prohibited from overwriting existing 
railroad data in the Crossing Inventory. In addition, LaDOTD 
recommended that there be a process in place for resolving 
discrepancies between States and railroads.
    In response to these comments, we revised Appendix B to the 
Inventory Guide to identify which data fields on the Inventory Form 
must be updated by the primary operating railroad for purposes of the 
three-year periodic update and which data fields State agencies are 
being asked to update on a voluntary basis. As a result, there should 
be fewer potential conflicts between the State agency and the primary 
operating railroad regarding the appropriate data for a specific data 
field since the entity responsible for updating the data field is 
ultimately responsible for ensuring the accuracy of the data submitted 
for that field. While the historical records associated with each 
highway-rail and pathway crossing will reflect changes in data that are 
submitted to the Crossing Inventory by the State agency and the primary 
operating railroad (and, in some cases, each operating railroad), the 
GCIS system has not been designed to reflect separate entries for an 
individual data field on the Inventory Form. Nor has the GCIS system 
been designed to prohibit entities that are authorized to submit 
crossing data to the Crossing Inventory from submitting revised data 
for existing crossing records. However, in the event that disputes 
arise over the accuracy of crossing data submitted to the Crossing 
Inventory, FRA will provide assistance upon request.
    Consistent with FRA's addition of paragraph (b) to Sec. Sec.  
234.405 and 234.407, we added paragraph (b) to this section to address 
submission of periodic updates by multiple operating railroads that 
operate trains on separate tracks through the same highway-rail or 
pathway crossing. For highway-rail and pathway crossings where multiple 
operating railroads operate trains on separate tracks through the 
crossing, paragraph (b) requires each operating railroad to 
periodically submit up-to-date and accurate crossing data for certain 
specified data fields on the Inventory Form to the Crossing Inventory 
consistent with the Inventory Guide. These data fields include 
railroad-specific train count and train speed data fields, as well as 
the milepost location, railroad subdivision, and railroad division data 
fields. Each operating railroad must submit these periodic updates at 
least every three years from the date of the most recent submission of 
data for the crossing by that operating railroad, or by March 7, 2016, 
whichever occurs later. For hard-copy submissions to Crossing 
Inventory, this three-year period will be measured from mailing date of 
the most recent

[[Page 761]]

submission of data by the operating railroad (or on behalf of the 
operating railroad). However, if there is a significant change in train 
count or train speed data, FRA recommends that the operating railroad 
submit an update to the Crossing Inventory, as opposed to waiting for 
the next required three-year periodic update.
    Consistent with paragraph (c) of Sec. Sec.  234.405 and 234.407, 
paragraph (c) of this section establishes a requirement that each 
operating railroad must provide written notification to the FRA 
Associate Administrator if the primary operating railroad fails to 
timely submit up-to-date crossing data to the Crossing Inventory for a 
highway-rail or pathway crossing (other than a grade-separated 
crossing) through which it operates. This provision is intended to 
implement paragraph (b)(1)(B) of Section 20160, which states that each 
railroad carrier must ensure updated crossing information is 
periodically submitted to the Crossing Inventory by another railroad 
carrier that operates through the crossing.
    If the primary operating railroad fails to submit up-to-date 
crossing data to the Crossing Inventory for a highway-rail grade 
crossing or pathway grade crossing within three years from the date of 
its last submission of crossing data to the Crossing Inventory for that 
crossing or March 7, 2016, whichever occurs later, each operating 
railroad that operates through the crossing must provide written 
notification of this oversight to the FRA Associate Administrator. This 
written notification must include, at a minimum, the Inventory Number 
for each highway-rail and pathway crossing through which it operates 
that was not timely updated by the primary operating railroad.
Section 234.411 Changes Requiring Submission of Updated Information to 
the Crossing Inventory
    Paragraph (d) of proposed Sec.  234.405 addressed changes requiring 
submission of updated information to the Crossing Inventory. In this 
final rule, FRA moved those provisions to Sec.  234.411. Specifically, 
proposed Sec.  234.405(d) is now Sec.  234.411(a) and proposed Sec.  
234.405(e) is now paragraphs (b) and (c) of this section.
    Paragraph (a) contains updating requirements for the sale of a 
highway-rail or pathway crossing. This provision implements paragraph 
(b)(2) of Section 20160, which requires each railroad carrier that 
sells a crossing or any part of a crossing to report to the Secretary 
current information concerning the change in ownership of the crossing 
within three months of the date of sale, or as otherwise specified in 
regulations.
    Paragraph (a) requires any railroad that sells all, or part, of a 
highway-rail or pathway crossing to submit updated ownership data to 
the Crossing Inventory within three months of the date of sale or March 
7, 2016, whichever occurs later, in accordance with Sec.  234.403. In 
this final rule, FRA has provided additional flexibility in the 
reporting of crossing sales by extending the reporting deadline to the 
latter of three months after the date of sale or 12 months after the 
final rule effective date. This will provide additional time for 
operating railroads to implement necessary changes to their crossing 
databases prior to the submission of updated crossing ownership data to 
the Crossing Inventory.
    FRA received comments from Denver RTD recommending that the final 
rule confirm that the ``date of sale'' referenced in paragraph (a) of 
this section refers to the date title passes, not the date a purchase 
and sale agreement has been executed. In response to this comment, FRA 
confirms that the ``date of sale'' in paragraph (a) of this section 
means the date title is transferred.
    A railroad that sells all, or part, of a highway-rail or pathway 
crossing should consult the Inventory Guide for guidance on reporting 
the crossing sale to the Crossing Inventory. In addition, FRA strongly 
recommends that the primary operating railroad submit updated crossing 
data for all of the data fields Appendix B to the Inventory Guide 
assigns to railroads within six months of the date on which the 
crossing was sold.
    The rule requires the primary operating railroad to submit a 
periodic update to the Crossing Inventory for the recently acquired 
highway-rail or pathway crossing to the Crossing Inventory under Sec.  
234.409 within three years of the date on which the last periodic 
update for the crossing was submitted to the Crossing Inventory. The 
report of crossing sale by the previous owner does not constitute a 
periodic update and therefore cannot be used for purposes of 
determining the date on which the next periodic update required by 
Sec.  234.409 will become due for the recently acquired highway-rail or 
pathway crossing.
    Paragraph (b) of this section contains the reporting requirements 
applicable to the closure of a crossing (these requirements were 
included in proposed Sec.  234.405(e) of the NPRM). When a highway-rail 
or pathway crossing is closed, the primary operating railroad is 
required to submit an Inventory Form (or its electronic equivalent) to 
the Crossing Inventory that reflects the closure of the crossing within 
three months of the date on which the crossing is closed or March 7, 
2016, whichever occurs later. We extended this deadline from the NPRM 
proposed three month deadline to allow reporting up to 12 months after 
the final rule's effective date. This will provide additional time for 
primary operating railroads to implement necessary changes to their 
crossings databases prior to the submission of updated crossing data to 
the Crossing Inventory. The primary operating railroad should consult 
the Inventory Guide for guidance on reporting the closure of a highway-
rail or pathway crossing to the Crossing Inventory.
    Paragraph (c) in the final rule requires the primary operating 
railroad to submit an Inventory Form (or its electronic equivalent) to 
the Crossing Inventory which reflects updated crossing information 
consistent with the Inventory Guide and Sec.  234.403, when there is a 
change in crossing surface or a change in warning device at a public 
highway-rail grade crossing within three months of the date the change 
was implemented. This is a change from the NPRM proposed requirement 
which would have required the reporting of a change in crossing surface 
or change in warning device at any public or private highway-rail or 
pathway crossing to the Crossing Inventory. The scope of this proposed 
requirement has been limited in the final rule because railroads are 
not required to submit data on crossing surface or crossing warning 
devices for private highway-rail grade crossings, pathway crossings, or 
grade-separated crossings. However, FRA strongly encourages railroads 
to voluntarily report data on train-activated warning devices, crossing 
signs, and crossing surface at private highway-rail grade crossings and 
pathway crossings to the Crossing Inventory. The National 
Transportation Safety Board (NTSB) recently issued Safety 
Recommendation R-14-48 that FRA should require equivalent levels of 
reporting for both public and private highway-rail grade crossings. FRA 
also received comments in support of requiring railroads to complete 
the entire Inventory Form for private highway-rail grade and pathway 
crossings. Therefore, FRA may issue regulations in the future that 
would require railroads to provide additional data on private highway-
rail and pathway crossings to the Crossing Inventory.
    Paragraph (c)(2) defines a ``change in warning device'' as ``the 
addition or removal of a crossbuck, yield or stop sign, flashing 
lights, or gates at a public

[[Page 762]]

highway-rail grade crossing.'' Consistent with the NPRM, a ``change in 
warning device'' means a change in the type of warning device installed 
at the crossing as opposed to a modification of an existing crossing 
device or replacement of a damaged or missing warning device. For 
example, the addition of cantilevered lights to a crossing that is 
already equipped with post-mounted flashing lights would be considered 
a ``change in warning device'' for the purpose of this provision. The 
installation of two-quadrant, three-quadrant, or four-quadrant gate 
systems where none were previously installed, or where existing warning 
systems are upgraded, would also be considered a ``change in warning 
device'' for the purpose of this provision. However, a change from 
incandescent to LED flashing lights would not be considered a ``change 
in warning device'' for the purpose of this provision.
    Prior to the submission of updated information concerning a change 
in crossing surface or change in warning device, the primary operating 
railroad should consult the Inventory Guide for guidance. FRA revised 
the Inventory Guide to clarify that, when there has been a change in 
crossing surface (such as replacing an asphalt crossing surface with a 
concrete crossing surface) or a change in warning device at a public 
highway-rail grade crossing, the primary operating railroad must update 
all data fields in Parts II and III of the Inventory Form. However, as 
stated in paragraph (c)(2), primary operating railroads are not 
required to report changes in warning devices to the Crossing Inventory 
that will be in place for a period not to exceed six months.
    In the preamble to the proposed rule, FRA solicited comments on the 
proposed requirement to report changes in crossing surface and changes 
in warning devices to the Crossing Inventory. The AAR submitted 
comments in support of the proposed requirement to report changes in 
crossing surface and changes in warning devices, as well as crossing 
closures, to the Crossing Inventory within three months of the date on 
which either the change is made or the crossing is closed. The CPUC 
submitted comments recommending that the proposed requirement to report 
changes in crossing surface and changes in warning devices be revised 
to require the primary operating railroad to report these changes to 
the appropriate State agency within 30 days. The CPUC then recommended 
that the State agency should be given 60 days within which to report 
the change to the Crossing Inventory. FRA also received comments from 
the ICC recommending that the reporting of changes to crossing 
characteristics be expanded to include changes to any data field 
element that feeds into the national risk assessment tool (PCAPS) 
utilized by FRA.
    On the other hand, FRA received comments from NCDOT recommending 
that the final rule be revised to provide a six-month timeframe for the 
reporting of crossing closures, changes in crossing surface, and 
changes in warning device at highway-rail and pathway crossings. In 
making this recommendation, NCDOT asserted that the proposed three-
month timeframe will not provide sufficient time to generate the 
required reports for the Crossing Inventory and may result in an undue 
financial burden, especially for State agencies that agree to submit 
crossing data to the Crossing Inventory on behalf of operating 
railroads. In addition, Denver RTD submitted comments recommending that 
the final rule be revised so that FRA will not hold the primary 
operating railroad responsible for failing to timely report changes in 
crossing characteristics if the appropriate State agency fails to 
notify the primary operating railroad of a change that has been made to 
the crossing.
    After considering these comments, FRA decided to retain the 
requirement that the primary operating railroad must report changes in 
crossing surface and changes in warning devices directly to the 
Crossing Inventory within three months. We retained the three-month 
period for reporting changes in crossing surface and changes in warning 
devices by the primary operating railroad in the final rule to be 
consistent with the requirement in paragraph (a) of this section to 
report the sale of all, or part, of a highway-rail or pathway crossing 
to the Crossing Inventory within three months. FRA notes that changes 
in crossing surface and changes in warning devices are generally 
planned well in advance and require coordination between the crossing 
owner and the State agency during the planning process. Therefore, we 
recommend that State agencies which agree to submit crossing data on 
behalf of operating railroads include an additional step in their 
planning processes for the reporting of changes in crossing surface and 
changes in warning devices to the Crossing Inventory to ensure the 
timely reporting of these changes.
    With regard to the concern expressed by Denver RTD related to FRA 
enforcement activity in situations in which a State or local government 
has installed or removed a yield or stop sign at a public highway-rail 
grade crossing without notifying the primary operating railroad, FRA 
has prosecutorial discretion to forgo enforcement if the primary 
operating railroad fails to submit updated crossing data to the 
Crossing Inventory within three months of the installation or removal 
of a yield or stop sign because the State or local entity installed or 
removed the sign without notifying the primary operating railroad. 
However, the primary operating railroad must submit up-to-date and 
accurate crossing data to the Crossing Inventory for each data field 
Appendix B to the Inventory Guide assigns to railroads for updating 
within three months of the date on which the primary operating railroad 
becomes aware that the State or local government has installed (or 
removed) a yield or stop sign at the crossing.
Section 234.413 Recordkeeping
    Denver RTD submitted comments on the provisions contained within 
this section in the proposed rule recommending that FRA defer to State 
laws governing the public's right of inspection of public records, with 
respect to the accessibility, format, and timeframes for retaining 
railroad records of compliance with the requirements of this subpart. 
However, the recordkeeping requirements contained in this section 
reflect the exercise of FRA's longstanding statutory authority to 
require railroads to produce, and make available for FRA inspection, 
relevant records of compliance with Federal safety regulations. 
Therefore, because we intend this section to require operating 
railroads to make their records of compliance reasonably available to 
FRA inspectors for inspection and enforcement purposes, we did not 
revise this section in the final rule.
Section 234.415 Electronic Recordkeeping
    We did not revise this section in the final rule. FRA received 
comments on the electronic recordkeeping provision in the proposed rule 
from Denver RTD recommending that electronic records be retained solely 
in non-native format so crossing data submitted to FRA cannot be 
changed. FRA agrees that electronic records of crossing data submitted 
to the Crossing Inventory must be retained in a manner that will not 
allow subsequent changes to be made to the original electronic record. 
However, FRA believes that paragraph (a) of this section, requiring the 
railroad to adequately limit and control accessibility to electronic 
records of crossing data they have submitted to the Crossing Inventory 
adequately addresses

[[Page 763]]

this concern. In addition, FRA notes that the GCIS system will maintain 
independent records of crossing data that was submitted electronically 
to the Crossing Inventory, which FRA can use for verification purposes 
if necessary.
    Denver RTD also submitted comments asserting that the requirements 
contained in paragraph (a) of this section may discourage electronic 
recordkeeping by requiring access, safety, and other control provisions 
that are not required for paper recordkeeping and do not appear to be 
consistent with current technology. For example, Denver RTD stated it 
did not understand the purpose of the dedicated terminal paragraph 
(a)(2) of this section requires. In addition, Denver RTD suggested that 
FRA consider email capability as relevant as fax and printer 
connections for purposes of paragraph (a)(3) of this section. FRA 
acknowledges that the electronic recordkeeping requirements in this 
section are not identical to the recordkeeping requirements in Sec.  
234.413, which generally apply to the retention of hard-copy records. 
However, the electronic recordkeeping requirements in this section are 
consistent with requirements in other FRA regulations that also permit 
electronic recordkeeping, such as Sec.  234.315 of this part.
    With respect to Denver RTD's specific comment asking about the 
purpose of the dedicated terminal required by paragraph (a)(2) of this 
section, we retained the requirement in the proposed rule that requires 
railroads to make a computer available at the office where the railroad 
reporting officer conducts his/her official business and at each 
location the railroad designates as having a copy of any required 
crossing records to ensure FRA inspectors are granted access the 
electronic records stored at these locations. FRA agrees that it would 
be helpful if the computer made available to FRA inspectors also has 
email capability so the operating railroad could also email any 
requested documents to FRA inspectors upon request. However, to reduce 
the burden on operating railroads that may wish to retain electronic 
records under this section, we did not revise the final rule to include 
an additional regulatory provision requiring an operating railroad to 
provide a computer with email capability. The operating railroad can 
provide its electronic records to FRA inspectors by email without the 
need for an additional regulatory provision/requirement.

Appendix A to Part 234--Schedule of Civil Penalties

    FRA revised this appendix by adding recommended civil penalties for 
specific violations of the reporting and updating requirements 
contained in subpart F of this part. For example, we added recommended 
civil penalties for failure of a Class I railroad to submit crossing 
data to the Crossing Inventory electronically, as well as failure by 
the primary operating railroad to timely submit accurate and complete 
Inventory Forms (or their electronic equivalent) to the Crossing 
Inventory for new and previously unreported crossings.
    Denver RTD responded to FRA's invitation to submit recommendations 
on appropriate civil penalty amounts it should issue for non-compliance 
with the requirements of this subpart. In its comments, Denver RTD 
stated the civil penalties established for non-compliance with the 
reporting and updating requirements contained in this subpart should 
not be excessive since they will be applied equally to Class I 
railroads and publicly operated transit agencies. Thus, Denver RTD 
recommended that failure to timely submit Inventory Forms (or their 
electronic equivalent) to the Crossing Inventory be treated as 
recordkeeping violations with associated civil penalties in the range 
of $1,000-$2,000.
    While FRA agrees that we should not establish excessive civil 
penalty amounts for violations of the reporting and updating 
requirements in this subpart, we believe it is reasonable to establish 
standard civil penalties for violations of this subpart which are 
consistent with civil penalties FRA established for failure to comply 
with the reporting requirements in 49 CFR parts 225 and 234. Therefore, 
primary operating railroads and other operating railroads that fail to 
timely submit Inventory Forms (or their electronic equivalent) to the 
Crossing Inventory may be subject to a $2,500 standard civil penalty 
per crossing per day. However, after FRA issues a civil penalty, FRA 
may adjust or compromise the initial penalty claim(s) based on a wide 
variety of mitigating factors, which include the severity of the safety 
or health risk presented, the entity's compliance history, the entity's 
ability to pay the assessed civil penalty, and evidence that the entity 
acted in good faith.

FRA Guide for Preparing U.S. DOT Crossing Inventory Forms

    The ICC submitted comments recommending that the Inventory Form 
should be submitted to an independent third party that specializes in 
data and asset management inventory systems so that current best 
practices may be incorporated. Then, once the desired data elements 
have been identified, defined, and responsibility assigned, several 
alternative versions of a new and improved inventory form which is 
consistent with modern asset management information systems could be 
created for approval. In the alternative, the ICC recommended that FRA 
delete all data fields on the Inventory Form it proposed as 
``optional,'' unless it can make a business case justifying the time 
and expense to retain the data field.
    FRA appreciates the recommendation to recreate the Inventory Form 
by evaluating each proposed data field for its continued usefulness and 
incorporating current best practices. However, FRA has decided to 
instead make revisions to the Inventory Form consistent with other 
comments the general public and all affected parties who have reviewed 
and evaluated it submitted. FRA notes that the Inventory Form was 
extensively vetted with State agencies and railroads prior to the 
issuance of the NPRM in this rulemaking.
    We retained most of the optional data fields on the Inventory Form. 
Railroads and States are not required to submit data for these data 
fields. Therefore, railroads and States are free to determine whether 
the safety benefits associated with the collection and evaluation of 
additional crossing information railroads and States voluntarily 
provide is justified by the time and expense associated with the 
collection and retention of this data.
Instructions for Completing the U.S. DOT Crossing Inventory Form
    In the proposed rule, FRA requested comments on whether we should 
retain the proposed Instructions in the Header of the Inventory Form. 
While the majority of commenters generally supported retaining 
Instructions in the Header of the Inventory Form, several commenters 
stated the proposed Instructions in the Header of the Inventory Form 
conflicted with the instructions in the Inventory Guide for submission 
of the Inventory Form.
    FRA agrees the proposed Instructions at the top of the Inventory 
Form were inconsistent with the guidance the Inventory Guide provided 
on the submission of Crossing Inventory Forms. Therefore, we revised 
the Instructions at the top of the Inventory Form to be consistent with 
the guidance in the Inventory Guide.
    The CPUC submitted comments recommending that FRA also revise the

[[Page 764]]

Instructions at the top of the Inventory Form to direct Crossing 
Inventory users to complete the Submission Information section at the 
end of the form. However, NCDOT recommended that FRA remove the 
Submission Information section from the Inventory Form and require 
Crossing Inventory users to submit hard-copy Inventory Forms with a 
cover letter that provides the identity and contact information for the 
Crossing Inventory user.
    While FRA agrees that revising the Instructions at the top of the 
Inventory Form would be beneficial, we decline to require Crossing 
Inventory users to submit cover letters with their hard-copy Inventory 
Forms in this final rule. We believe it is more burdensome to require 
Crossing Inventory users to prepare and submit a cover letter than to 
require Crossing Inventory users to complete four data fields at the 
bottom of the hard-copy Inventory Form. Therefore, we revised the 
Instructions to direct Crossing Inventory users to complete the 
Submission Information section at the end of the Inventory Form when 
submitting crossing data by hard copy. However, Crossing Inventory 
users will not be required to complete the Submission Information 
section when they submit crossing data electronically to the Crossing 
Inventory. The GCIS system has been designed to retain a record of the 
identity of the Crossing Inventory user, along with the date on which 
data is electronically submitted to the Crossing Inventory.
    AAR also submitted comments recommending that FRA explain which 
data fields on the Inventory Form railroads must complete and which 
data fields State agencies must complete. In response to this 
recommendation, the Introduction to the Inventory Guide explains which 
Parts of the Inventory Form need to be completed for the initial 
reporting of crossing data for new and previously unreported highway-
rail and pathway crossings. Appendix B to the Inventory Guide also 
contains a Responsibility Table which shows the data fields that 
primary operating railroads must update, as well as the data fields 
that State agencies are assigned for voluntary updating in the Crossing 
Inventory.
Header Information
Revision Date
    We retained the Revision Date data field (Item A in the Header of 
the Inventory Form) as proposed. Since the date the Inventory Form is 
submitted to the Crossing Inventory will often differ from the date 
changes took effect at the crossing, NCDOT and the ICC submitted 
comments recommending that we revise the Revision Date data field to 
show the date the changes in the Inventory Form took effect. However, 
the Revision Date data field is intended to show the date the Crossing 
Inventory was updated to reflect changes at the crossing. By requesting 
that reporting entities provide the date on which the Crossing 
Inventory Form was mailed or electronically submitted, the Crossing 
Inventory should contain a reasonably accurate record of the dates on 
which the Crossing Inventory was updated. This will assist operating 
railroads in determining when future periodic updates will become due.
    NCDOT also recommended that the Crossing Inventory should reflect 
separate submission dates for crossing data railroads supply and 
crossing data State agencies supply. As explained above, we designed 
the GCIS system to record the date crossing updates are electronically 
submitted to the Crossing Inventory, as well as the identity of the 
reporting entity who submitted the update. With respect to hard copy 
submissions, the Crossing Inventory will reflect the date contained 
provided in the Revision Date data field for each update.
Reporting Agency
    FRA retained the Reporting Agency data field (Item B in the Header 
of the Inventory Form) as proposed.
    The CPUC submitted comments recommending that we eliminate the 
``Other'' box from the ``Reporting Agency'' data field on the Inventory 
Form. Instead of allowing local agencies to submit crossing data 
directly to FRA, the CPUC stated that the local agency should be 
instructed to provide updated crossing data to the State agency and/or 
the railroad for submission to the DOT Crossing Inventory.
    FRA regulations in 49 CFR part 222 (49 CFR 222.49(a)), allow local 
governments that meet the definition of a ``public authority'' to file 
Inventory Forms with FRA if the State agency and railroad fail to 
timely do so. Therefore, we retained the ``Other'' box in the Reporting 
Agency data field to reflect FRA entry of updated crossing data for 
quiet zone-related purposes. The ``Other'' box is only intended for FRA 
use. Accordingly, to avoid improper use of the ``Other'' box, the GCIS 
system will not permit non-FRA users to check the ``Other'' box when 
submitting crossing data electronically.
    The CPUC expressed strong support for retaining the ``Transit'' box 
in the ``Reporting Agency'' data field due to the large number of 
crossings in California that also have urban rapid transit tracks and/
or urban rapid transit operations through the same crossing. However, 
the CPUC and Denver RTD encouraged FRA to include a discussion in the 
Inventory Guide on whether (and how) transit agencies are required to 
submit data for crossings subject to urban rail transit operations. 
NCDOT also requested clarification on the application of the proposed 
crossing reporting requirements to transit agencies.
    We retained the ``Transit'' box in the ``Reporting Agency'' data 
field. However, we added a discussion in the Inventory Guide on urban 
rapid transit operators who are subject to the reporting and updating 
requirements in the Crossing Inventory final rule. (The Section-by-
Section Analysis of the definition of ``operating railroad'' in Sec.  
234.401 also contains a detailed discussion on the application of the 
reporting and updating requirements of this subpart to urban rapid 
transit operators.) Urban rapid transit operators who submit crossing 
data to the Crossing Inventory (whether voluntarily or otherwise) 
should therefore check the ``Transit'' box in the ``Reporting Agency'' 
data field.
Reason for Update
    In the proposed rule, FRA requested comments on whether the rule 
should give railroads and States the option to select more than one 
reason for submitting data to the Crossing Inventory. FRA received 
comments from four State transportation agencies and the AAR expressing 
support for allowing railroads and States to select more than one 
reason for submitting crossing data to the DOT Crossing Inventory. The 
AAR reasoned that allowing States and railroads to select more than one 
reason for submitting crossing data to the DOT Crossing Inventory would 
allow them to capture more than one change in a single submittal.
    However, FRA also received comments from the ICC and FDOT 
recommending that FRA limit railroad and State users to selection of 
one reason for update. After considering the comments submitted, FRA 
decided to continue to require railroad and State users to select only 
one reason for update per submission. This will ensure historical 
records in the Crossing Inventory continue to reflect the primary 
reason for each data submission.
    FRA also received comments from LaDOTD and Tavla Solutions 
recommending that the Inventory Guide should indicate which entities 
have authority to submit the various types of

[[Page 765]]

updates in the ``Reason for Update'' data field. In response to this 
recommendation, we revised the Inventory Guide to state that only 
operating railroads should check the ``New Crossing'', ``No Train 
Traffic'', ``Re-Open'', and ``Change in Primary Operating RR'' boxes. 
However, all reporting entities may check the ``Change in Data'', 
``Date Change Only'', ``Closed'', and ``Admin. Correction'' boxes.
    New Crossing: The CPUC submitted comments recommending that the 
Inventory Guide description of the ``New Crossing'' box in the ``Reason 
for Update'' data field reference ``open'' crossings as opposed to 
``active'' crossings. The CPUC noted that the term ``active crossing'' 
is often used to refer to crossings equipped with automatic warning 
devices such as flashing light signals and gates. Thus, use of this 
term could limit the intended scope of the ``New Crossing'' box in the 
``Reason for Update'' data field. FRA agrees and adopted this 
recommendation.
    Closed: LaDOTD and Tavla Solutions submitted comments stating that 
the removal of track, or otherwise disconnecting crossings from the 
main line, should cause all crossings on that segment of rail line to 
be classified as closed crossings. NCDOT submitted comments stating 
removal of the crossing surface or other situations that make it 
impossible to use the crossing (such as fencing) should qualify as 
closing the crossing. For purposes of the ``Reason for Update'' data 
field, the ``Closed Crossing'' box should be checked when the railroad 
tracks have been physically removed or each pathway or roadway approach 
to the crossing have been physically removed. However, the ``Closed 
Crossing'' box only should be checked in situations involving the 
permanent closure of a highway-rail or pathway crossing. The use of 
fencing to deter or otherwise prevent access to the crossing does not 
constitute closure of a crossing for purposes of the Crossing 
Inventory.
    No Train Traffic: The CPUC submitted comments recommending that the 
``Abandoned'' box be eliminated from the ``Reason for Update'' data 
field. In support of this recommendation, the CPUC stated that 
abandonment of the segment of track on which a crossing is located 
under the authority of the Surface Transportation Board, merely means 
the railroad is no longer required to provide railroad service on that 
track segment. It does not necessarily indicate that the crossing is no 
longer used or maintained.
    However, FRA also received comments in support of retaining the 
``Abandoned'' box in the ``Reason for Update'' data field. NCDOT 
submitted comments recommending that the ``Abandoned'' box be retained 
to capture data on highway-rail and pathway crossings that are located 
on abandoned track yet are still used by hi-rail and other authorized 
vehicles that access the railroad right-of-way.
    FRA also received comments recommending that the ``Out-of-Service/
Inactive'' box be removed from the ``Reason for Update'' data field. 
The AAR stated that FRA should remove the ``Out-of-Service/Inactive'' 
box because there are no fixed definitions of ``out-of-service'' or 
``inactive.'' The CPUC stated that the data collected would be unlikely 
to accurately reflect the physical or operational status of the 
crossing since rail lines are often placed back into service with 
little or no notification to authorities.
    After considering the comments received, we removed the Abandoned 
and Out-of-Service/Inactive boxes from the ``Reason for Update'' data 
field on the final Inventory Form. However, FRA intends to continue to 
collect data regarding the operational status of crossings, as it may 
be useful to filter out crossings that are not subject to train traffic 
when conducting statistical analyses. Therefore, we added a new box 
titled, ``No Train Traffic'' to the ``Reason for Update'' data field on 
the Inventory Form to continue FRA's efforts to identify crossings that 
no longer have train traffic.
    We strongly encourage railroads to update the Crossing Inventory to 
reflect changes to ``No Train Traffic'' status as soon as possible. 
However, it is important to note the ``No Train Traffic'' box/category 
is separate and distinct from the ``Closed'' box/category. The 
``Closed'' box/category applies to crossings where the roadway 
approaches or railroad tracks have been physically removed, leaving 
behind no intersection of railroad tracks with either a pathway or 
roadway. Also, as discussed in more detail in the Section-by-Section 
Analysis of Sec.  234.411(b), the primary operating railroad must 
report the closure of a highway-rail or pathway crossing to the 
Crossing Inventory within three months.
    Re-Open: The ICC submitted comments recommending that the ``Re-
Open'' box be removed from the ``Reason for Update'' data field because 
the re-opening of crossings can be reported by checking the ``Change in 
Data'' box. However, FRA has decided to retain the ``Re-Open'' box in 
the ``Reason for Update'' data field to continue FRA's efforts to 
capture accurate data on the status of formerly closed crossings or 
crossings that are placed back into active service.
    The ICC also recommended that the final rule only allow State 
agencies to submit updates to the Crossing Inventory that reflect the 
re-opening of a formerly closed public crossing or a public crossing 
that was previously not subject to train traffic. However, as the 
Inventory Guide states, the primary operating railroad is responsible 
for providing updates to the Crossing Inventory showing the re-opening 
of a highway-rail or pathway crossing and that railroad should have 
ready access to up-to-date train traffic data for the crossing. While 
the primary operating railroad must report this change in operating 
status in the periodic update Sec.  234.409(a) requires, we also 
strongly encourage the primary operating railroad to update the 
Crossing Inventory as soon as possible after a highway-rail or pathway 
crossing is placed back in service.
    Date Change Only: While expressing concern that FRA should consider 
renaming the ``Date Change Only'' box in the ``Reason for Update'' data 
field, LaDOTD and Tavla Solutions stated the Inventory Guide fails to 
provide sufficient guidance for when this box should be checked. While 
we retained the title of this box as proposed, we changed the Inventory 
Guide to state the ``Date Change Only'' box should be checked to 
indicate the crossing data has not changed since the last update to the 
Crossing Inventory.
    Change in Primary Operating RR: The CPUC submitted comments 
recommending that the ``Operating RR Transfer'' box in the ``Reason for 
Update'' data field be removed because the new primary operating 
railroad can check the ``Change in Data'' box and provide updated 
information. While we removed the ``Operating RR Transfer'' box from 
the Inventory Form in the final rule, we added a new box titled, 
``Change in Primary Operating RR''. We added the ``Change in Primary 
Operating RR'' box to the Inventory Form to facilitate official 
notification of a change in primary operating railroad status that may 
result from the sale of a highway-rail or pathway crossing. The 
``Change in Primary Operating RR'' box should also be checked as part 
of the periodic updating process, if there has been a change in the 
primary operating railroad since the last railroad submission to the 
Crossing Inventory.
    Admin. Correction: FRA has decided to retain the ``Admin. 
Correction'' box in the ``Reason for Update'' data field despite 
comments from the ICC and

[[Page 766]]

CPUC recommending that the ``Admin. Correction'' box either be 
eliminated or combined with the ``Change in Data'' box. The ``Admin. 
Correction'' and ``Change in Data'' boxes have separate and distinct 
purposes. The ``Admin. Correction'' box should be checked when a 
railroad or State user intends to correct crossing data that was 
previously submitted in error. However, a railroad or State user should 
check the ``Change in Data'' box when it intends to submit crossing 
data associated with an actual change in crossing characteristics that 
is not reflected by any other box in the ``Reason for Update'' data 
field.
    LaDOTD and Tavla Solutions also submitted comments recommending 
that FRA allow railroads to check the ``Admin Correction'' box when 
reporting previously unreported crossings. However, previously 
unreported crossings are ``new'' to the Crossing Inventory. Therefore, 
the ``New Crossing'' box must be checked when reporting previously 
unreported crossings to the Crossing Inventory.
    Quiet Zone Update: The ICC submitted comments recommending that the 
``Quiet Zone Update'' box be removed from the ``Reason for Update'' 
data field because the ``Change in Data'' box could be checked when 
submitting quiet zone updates. However, FRA retained the ``Quiet Zone 
Update'' box to reflect FRA entry of Crossing Inventory data that has 
been submitted for quiet zone-related purposes. The ``Quiet Zone 
Update'' box is only intended for FRA use. Accordingly, the GCIS system 
will not allow users to check the ``Quiet Zone Update'' box when 
crossing data is submitted or updated electronically.
Part I, Location and Classification Information
    The ICC submitted comments recommending that the maximum character 
limits reflected in various boxes on the Inventory Form be increased. 
In response to these comments, FRA designed the GCIS database to 
contain generally accepted database standards for maximum character 
limitations. In addition, we revised the Inventory Form by removing 
most of the maximum character limits that were specified for individual 
data fields.
City/Municipality
    The ICC submitted comments recommending that the Inventory Guide 
advise Crossing Inventory users that they should provide the name of 
the city or municipality that is located closest to the crossing on the 
railroad line segment in the ``City/Municipality'' data field for 
crossings that are not located within a city or municipality. We agree 
and have revised the Inventory Guide to instruct Crossing Inventory 
users to enter the name of the city or municipality along the rail line 
that is closest to the crossing if the crossing is not located within 
the boundaries of a city or municipality.
Street/Road Name & Block Number
    A private citizen submitted comments recommending that Crossing 
Inventory users be allowed to provide a specific address for the 
``Street/Road Name & Block Number'' data field, especially for private 
crossings, as opposed to a block number. The commenter stated that 
because first responders are generally dispatched to an address, the 
private citizen believes retention of specific addresses in the 
Crossing Inventory could improve response time to problems at grade 
crossing locations until dispatchers have access to the latitude and 
longitude coordinates that will be submitted in the next required 
periodic update. While we designed the GCIS system designed to accept a 
specific street address in this data field, we did not revise the 
Inventory Guide to advise Crossing Inventory users to provide a 
specific street address in this data field because highway-rail and 
pathway crossings do not have specific street addresses.
    The ICC submitted comments recommending that the Street/Road Name 
data field be revised to include a subfield for the street name alias, 
such as the common name used locally or the name used by 911 system 
operators. Although we did not adopt this recommendation, State 
agencies may use the State Use data fields to record street name 
aliases associated with individual highway-rail crossings.
    NCDOT submitted comments recommending that the Block Number 
subfield in the Street/Road Name data field be classified as optional. 
We agree and revised the Inventory Form based on this recommendation.
Highway Type & No.
    NCDOT and the CPUC submitted comments recommending that FRA revise 
the Inventory Guide to include a reference to highways and roadways 
that are classified as ``SR'' in the list of highway types. FRA agrees 
that this revision would be beneficial and revised the Inventory Guide 
accordingly. In addition, since States generally determine highway type 
by using established criteria, we revised the Inventory Guide 
discussion of this data field to defer to methods States use to 
designate highway type.
Do other railroads operate a separate track at crossing?
    The CPUC submitted comments recommending that the Inventory Guide 
address submission of crossing data by operating railroads other than 
the primary operating railroad. Therefore, we have revised the final 
rule to specifically address this issue. Unless the ``Yes'' box has 
been checked in the ``Do Other Railroads Operate a Separate Track at 
Crossing'' data field, the primary operating railroad is the only 
operating railroad that is required to submit initial and updated 
crossing data for highway-rail and pathway crossings to the Crossing 
Inventory.
    If the ``Yes'' box is checked in the ``Do Other Railroads Operate a 
Separate Track at Crossing'' data field and the primary operating 
railroad has submitted one or more railroad codes to identify the 
operating railroads that operate over separate tracks at the crossing, 
each operating railroad that operates through the highway-rail or 
pathway crossing must submit certain crossing data directly to the 
Crossing Inventory and then submit updates to that data every three 
years. (However, the primary operating railroad is still required to 
submit an accurate and complete Inventory Form, or its electronic 
equivalent, to the Crossing Inventory for the crossing, which includes 
train count and train speed data that is specifically related to the 
primary operating railroad's train operations.) Please refer to the 
Inventory Guide for an explanation of the individual data fields that 
each operating railroad must complete.
RR Milepost
    The CPUC submitted comments recommending that the Inventory Guide 
advise Crossing Inventory users to measure the milepost location from 
the center of the highway-rail crossing. We did not adopt this 
recommendation. As long as the operating railroad adopts a consistent 
method for designating milepost locations, the milepost location the 
operating railroad submits should be sufficient.
    The CPUC also recommended that FRA eliminate the ``prefix'' and 
``suffix'' data subfields because this information appears to be 
intended for railroad use. In the alternative, the CPUC recommended 
that the ``prefix'' and ``suffix'' data subfields be put in a separate 
data field and not combined with milepost information. We decline to 
adopt this recommendation and retained the RR Milepost data field as

[[Page 767]]

proposed. The prefix or suffix an operating railroad uses is relevant 
and useful information that can be used to distinguish between milepost 
locations on different territories or lines.
    The ICC submitted comments recommending that the Inventory Form 
only capture milepost data to the hundredths of a mile, as opposed to 
the thousandths of a mile on the Inventory Form. Although we retained 
the RR Milepost data field as proposed, we modified the Inventory Guide 
to state that milepost data provided to the hundredths of a mile will 
be accepted.
Line Segment
    The ICC submitted comments recommending that the Line Segment data 
field be a required data field rather than an optional data field. In 
addition, the ICC recommended that FRA add a Line Segment data field 
for State use. Although we retained the Line Segment data field as an 
optional data field, we revised the Inventory Guide to advise railroads 
to provide line segment information, if applicable. Railroads and 
States are also encouraged to use the Railroad Use and State Use data 
fields on the Inventory Form to record additional line segment data for 
individual highway-rail and pathway crossings.
Crossing Type
    In the proposed rule, FRA requested comments on the proposed 
revision to the Inventory Form that would remove pedestrian crossings 
from the list of crossing types, yet allow railroads to select 
``Pathway, Ped.'' or ``Station, Ped.'' as the crossing purpose. FRA 
received comments in support of these revisions from a number of State 
agencies, such as the CPUC, the Delaware Department of Transportation 
(DelDOT), and the Nevada Department of Transportation (NDOT). However, 
FRA also received comments from Denver RTD and the AAR expressing 
concern that the Inventory Guide failed to provide sufficient guidance 
on the appropriate classification of crossings previously classified as 
pedestrian crossings.
    In its comments, the AAR stated the Inventory Guide fails to 
explain how crossings currently designated as ``pedestrian'' should be 
classified, for purposes of determining crossing type. Denver RTD 
requested guidance on whether FRA intended to collect data on the 
public/private status of pathway crossings. In response to these 
comments, we revised the Inventory Guide to provide definitions of 
public and private pathway crossings and public pedestrian station 
crossings to provide assistance to railroads and State agencies on the 
proper classification of crossings that were formerly classified as 
``pedestrian crossings'' for the Crossing Inventory.
    FRA also received comments on the appropriate entity (State agency 
or railroad) it should hold responsible for submitting updates to the 
``Crossing Type'' data field. LaDOTD recommended that FRA hold State 
agencies responsible for submitting crossing data for this data field 
because railroads are unable to determine crossing type for crossings 
are located on the State/county/municipal system. Similarly, the AAR 
submitted comments recommending that State agencies have the exclusive 
authority to determine whether a highway-rail or pathway crossing 
should be classified as a public or private crossing. However, the ICC 
submitted comments recommending that State agencies have exclusive 
responsibility for submitting crossing type and crossing purpose 
updates for public crossings and the primary operating railroad have 
the exclusive responsibility to submit crossing type updates for 
private crossings.
    As stated in the preamble to the proposed rule, FRA will defer to 
the determination of the relevant State agency for the public/private 
classification of highway-rail (and pathway) crossings. Accordingly, we 
are asking State agencies to submit voluntary updates to the Crossing 
Type data field in Part I of the Inventory Form, as stated in Appendix 
B to the Inventory Guide. In addition, as the Inventory Guide states, 
when Crossing Type is changed from Private to Public for a highway-rail 
grade crossing, we are asking the State agency to complete the 
remainder of the Inventory Form (or its electronic equivalent) for the 
affected crossing. The remainder of the Inventory Form reflects State-
maintained public crossing information, including highway or pathway 
traffic control device data and public highway information.
Crossing Purpose
    In the proposed rule, FRA requested comments on the newly added 
``Crossing Purpose'' data field on the Inventory Form, which is 
intended to allow railroads and States to identify highway-rail 
crossings, pedestrian crossings located within railway stations, and 
other pedestrian/pathway crossings. Denver RTD submitted comments 
recommending that FRA change the title of the ``Highway Vehicle'' box 
in the ``Crossing Purpose'' data field to ``Highway'' since highway-
rail crossings are, by definition, subject to vehicular use. The CPUC 
submitted comments recommending that the Inventory Guide advise 
Crossing Inventory users to check the ``Highway Vehicle'' box if the 
highway-rail crossing is equipped with both vehicular and pedestrian 
warning devices.
    In the final rule we changed the title of the ``Highway Vehicle'' 
box in the ``Crossing Purpose'' data field to ``Highway'' on the 
Inventory Form. In addition, we added a description of the crossings 
that should be classified as having a ``Highway'' crossing purpose to 
the Inventory Guide. (While crossings classified as having a 
``Highway'' crossing purpose may be equipped with vehicular and 
pedestrian warning devices, a crossing that is dedicated for the use of 
non-vehicular traffic should not be classified as having a ``Highway'' 
crossing purpose).
    As for the ``Pathway, Ped., Other'' box in the ``Crossing Purpose'' 
data field, Denver RTD submitted comments recommending that the title 
of the box be changed to ``Pathway'' since pathway crossings are, by 
definition, subject to pedestrian use. Denver RTD also asserted that 
use of the term ``Other'' in the title was confusing. We agree and 
changed the title of the ``Pathway, Ped., Other'' box to ``Pathway, 
Ped.'' on the Inventory Form to assist Crossing Inventory users seeking 
guidance on the appropriate classification of crossings that were 
formerly classified as pedestrian crossings and are not located within 
a railway station.
    While stating there is no need to distinguish between pedestrian 
crossings located within a station versus pedestrian crossings located 
outside of a station, the ICC submitted comments recommending that FRA 
eliminate the ``Station, Ped.'' box from the ``Crossing Purpose'' data 
field. However, Denver RTD submitted comments recommending the 
``station crossing'' box be retained, yet defined, so that it can be 
used to collect passenger transit data. (For example, Denver RTD 
requested guidance on whether FRA would classify a station crossing 
that is to be utilized only by fare-paying passengers and thus not 
otherwise open to or available for general public use as a private or 
public crossing).
    FRA retained the ``Station, Ped.'' box on the Inventory Form to 
capture crossing data related to passenger stations. However, we 
revised the Inventory Guide to include a definition of the type of 
pathway crossing that should be classified as ``Station, Ped.'' on the 
Inventory Form. We also revised the Inventory Guide to advise Crossing 
Users to classify pedestrian station

[[Page 768]]

crossings as public crossings on the Crossing Type data field discussed 
above.
Public Access
    NCDOT and the AAR submitted comments requesting additional guidance 
on what would constitute a private crossing with public access for 
purposes of the Crossing Inventory.
    NCDOT recommended that the Inventory Guide include a privately 
maintained road that serves a housing development of multiple property 
owners as an example of a private crossing with public access. 
Otherwise, NCDOT believes there may be inconsistent classification of 
these private crossings by reporting entities. FRA agrees that 
additional guidance would be helpful, so we revised the definition of 
public access in the Inventory Guide and added a privately-owned road 
that serves a residential housing development (of at least five 
dwellings) as another example of a private crossing with public access.
    The AAR stated that access for expected guests, including utilities 
and public services on private property, should not constitute public 
access for purposes of this data field. Instead, the AAR recommended 
that ``public access'' designations be restricted to situations where 
the public has an easement across a private crossing. However, the 
Public Access data field is intended to capture data for private 
highway-rail and pathway crossings where the railroad tracks intersect 
with a private road open to public travel. If we limited the definition 
of ``public access'' to situations involving public access easements, 
this data field would fail to capture private crossings where the 
public has a reasonable expectation of being able to travel through the 
private crossing without restrictions.
    Tavla Solutions also submitted comments asserting that the 
Inventory Guide has a different definition for the term ``public 
access'' than the standard definition of this term used in the real 
estate context. Tavla Solutions further asserted that the definition in 
the Inventory Guide may differ from State law definitions of this term. 
After considering these comments, FRA revised the Inventory Guide to 
make the definition of ``public access'' consistent with the definition 
in the Federal Highway Administration's MUTCD.
    The ICC submitted comments recommending that the Inventory Guide 
require completion of Parts I through V of the Inventory Form if the 
``Yes'' box in the Public Access data field is checked. While we did 
not adopt this recommendation in this final rule, FRA strongly 
encourages railroads to voluntarily report data on train-activated 
warning devices, crossing signs, and crossing surface at private 
highway-rail grade crossings and pathway crossings to the Crossing 
Inventory. The NTSB recently issued Safety Recommendation R-14-48 that 
FRA should require equivalent levels of reporting for both public and 
private highway-rail grade crossings. Therefore, FRA may issue 
regulations in the future that would require railroads to provide 
additional data on private highway-rail and pathway crossings to the 
Crossing Inventory.
Type of Train
    The AAR recommended that urban rapid transit operations should not 
be reported in the ``Type of Train'' data field because FRA's statement 
of jurisdiction published at appendix A to 49 CFR part 209 excludes 
rapid transit operations within an urban area that are not connected to 
the general railroad system of transportation.
    However, the ``Transit'' subfield has been retained in the ``Type 
of Train'' data field in Part I of the Inventory Form. As explained in 
the Section-by-Section Analysis of Sec.  234.401, urban rapid transit 
operators that operate one or more trains through highway-rail and 
pathway crossings that are on or connected to the general railroad 
system of transportation are considered to be operating railroads 
subject to the reporting and updating requirements in the final rule.
Average Passenger Train Count Per Day
    The CPUC submitted comments recommending that we add an additional 
line to the ``Average Passenger Train Count Per Day'' data field in 
Part I of the Inventory Form to capture data on the number of daily 
urban rapid transit movements through the highway-rail or pathway 
crossing. The CPUC believes the number of urban rapid transit movements 
should not be combined with the number of passenger/commuter rail train 
movements with significantly different safety concerns.
    Even though we retained this data field as proposed, FRA agrees 
that it will be useful to capture data on the number of rail transit 
movements through highway-rail and pathway crossings. Therefore, as 
explained in more detail in the discussion of Part II of the Inventory 
Form, we revised Part II of the Inventory Form by adding a data field 
dedicated to the total number of transit train movements per day.
    The ICC submitted comments recommending that we change the title of 
the ``Average Passenger Train Count Per Day'' data field to ``Average 
Passenger Train Count Per Weekday'' and instruct the primary operating 
railroad to submit data on the total number of trains operated Monday 
through Friday, divided by five. We decided to retain the title of this 
data field as proposed in the Inventory Form. While many commuter 
railroads operate a higher number of trains during the workweek as 
compared to week-end operations, other passenger railroads (such as 
Amtrak) may have a more consistent number of train movements throughout 
the week. Since the primary purpose of this data field is to collect 
data on passenger train movements on a typical operating day, the 
Inventory Guide gives operating railroads the flexibility to determine 
which day of the week best represents a typical operating day for their 
passenger train operations.
Type of Land Use
    The ICC submitted comments recommending that FRA change the title 
of the ``Type of Development--Primary Purpose of Crossing'' data field 
in Part I of the Inventory Form to ``Type of Land Use'' since this data 
field will capture data on the type of land use around the highway-rail 
or pathway crossing. To more accurately reflect the intended use of 
this data field, we changed the title to ``Type of Land Use''.
    The ICC also recommended that we change the title of the ``Farm 
(Field to Field)'' box in the ``Type of Development--Primary Purpose of 
Crossing'' data field to ``Farm'' since there are some Farm crossings 
that are not Field to Field crossings. The ICC also submitted comments 
recommending that the Inventory Guide discussion of the ``Farm (Field 
to Field)'' box refer to wineries and other types of non-traditional 
agricultural enterprises. We agree and revised the Inventory Guide 
based on these recommendations.
    DelDOT submitted comments recommending that the primary operating 
railroad be assigned the responsibility for submitting three-year 
periodic updates to this data field under Sec.  234.409(a). However, 
LaDOTD submitted comments recommending that State agencies be 
responsible for submitting crossing data for this data field since 
States routinely use demographic information for analysis purposes and, 
therefore, should have the requisite information.
    After considering these comments, FRA is asking State agencies to 
voluntarily submit updates for this data field for public highway-rail 
and pathway crossings, as reflected in

[[Page 769]]

Appendix B of the Inventory Guide. As noted by LaDOTD, the State agency 
with jurisdiction over public highway-rail and pathway crossings will 
likely have information related to the type of land use in the vicinity 
of the crossing. However, primary operating railroads are required to 
submit three-year periodic updates for this data field for private 
highway-rail grade crossings and private pathway grade crossings.
Is there an adjacent crossing with a separate number?
    NCDOT submitted comments recommending that we revise the Inventory 
Guide to define the term ``adjacent crossing'' as another set of tracks 
crossing the same highway with 25 feet or less between centerlines of 
tracks and where the tracks have different crossing numbers. However, 
we are defining adjacent crossings as having a distance of 100 feet or 
less between the centerlines of the tracks because queuing issues can 
occur at 100 feet. Therefore, FRA did not adopt this recommendation.
Quiet Zone
    The ICC, LaDOTD, and Tavla Solutions submitted comments 
recommending that we remove the ``Quiet Zone'' data field from the 
Inventory Form because FRA is the only entity that will have permission 
to submit data for this data field. However, FRA retained the Quiet 
Zone data field as proposed in the Inventory Form. To avoid confusion 
about whether this data field should be completed, we revised the 
Inventory Guide to add specific instructions to leave this data field 
blank.
HSR Corridor ID
    We revised the Inventory Guide to make this data field a required 
data field and to correct a typographical error in the reference to 
Appendix F, which contains a list of the High-Speed Rail Corridor 
Designations and Codes.
Latitude in Decimal Degrees/Longitude in Decimal Degrees
    FRA made technical corrections to the title of the Latitude and 
Longitude data fields to reflect the correct decimal format required 
for this data.
Lat/Long Source
    The ICC submitted comments recommending that we should define the 
``Actual'' box in the ``Lat/Long Source'' data field in the Inventory 
Guide to mean coordinates taken in the field centerline of the roadway 
or pathway to the centerline of the railroad tracks with a horizontal 
accuracy of one meter or better. The ICC recommended that coordinates 
which fail to meet this standard should be classified as estimates. 
However, Tavla Solutions submitted comments asserting that a 
requirement to conduct field measurements from the center of a highway-
rail grade crossing to meet the criteria for ``Actual'' latitude and 
longitude coordinates would create a safety hazard for the data 
collection team.
    We revised the Inventory Guide to advise Crossing Inventory users 
that they should measure latitude and longitude coordinates taken in 
the field at the intersection of the centerline of the roadway or 
pathway with the centerline of the railroad track, with a horizontal 
accuracy of one meter or better. However, the Crossing Inventory will 
continue to classify latitude and longitude coordinates taken using 
global positioning system equipment as ``Actual'' latitude and 
longitude coordinates. The Crossing Inventory also will continue to 
classify latitude and longitude coordinates obtained using free online 
technology as ``Actual'' latitude and longitude coordinates for 
purposes of the Crossing Inventory. The ``Estimated'' box in the ``Lat/
Long Source'' data field will therefore be largely populated by 
existing latitude and longitude coordinates that generated by early 
computer models that may have been somewhat inaccurate.
Railroad Use/State Use
    The AAR submitted comments recommending that the Railroad Use boxes 
be expanded to allow for crossings that have more than four operators. 
However, the number of Railroad Use boxes is not intended to directly 
correlate with the number of railroads that may operate through a 
highway-rail or pathway crossing because the Railroad Use boxes are 
optional. After reviewing current usage patterns associated with the 
Railroad Use boxes, we did not change the number of Railroad Use boxes 
on the Inventory Form.
Narrative
    We revised the Narrative box on the Inventory Form by dividing it 
into two separate boxes, with one Narrative box for railroad use and 
another Narrative box for State use. FRA made this change in response 
to ICC comments recommending this change to the Inventory Form. This 
change also should alleviate concerns expressed in comments NCDOT 
submitted that a Narrative box shared by Railroads and State agencies 
may lead to over-writing of data in the event of inconsistent 
information.
Emergency Notification Telephone No.
    FRA revised the Inventory Guide to provide clarification that 
``911'' cannot be used as an emergency notification telephone number in 
the Crossing Inventory. As stated in the Inventory Guide, the Emergency 
Notification System (ENS) telephone number the railroad publicized for 
use in reporting emergencies, malfunctions, and problems at the 
highway-rail or pathway crossing under subpart E to 49 CFR part 234, 
must be reported in this data field.
Part II, Railroad Information
Estimated Number of Daily Train Movements
    We changed the title of Item One in Part II of the Inventory Form 
from ``Estimated Average Number of Daily Train Movements'' to 
``Estimated Number of Daily Train Movements'' to clarify that this data 
field is intended to collect data on the estimated number of daily 
train movements not the average number of daily train movements.
    The CPUC submitted comments seeking clarification on whether local 
freight train movements, as well as passenger, commuter rail, and urban 
rapid transit train movements, should be included in the train counts 
reflected in the ``Estimated Number of Daily Train Movements'' data 
field. The CPUC recommended that urban rapid transit train movements 
not be reported in the ``Total Day Thru Trains'' data field, if the 
data captured in this data field is used for the DOT Accident 
Prediction Formula.
    In response to these comments, FRA revised the Inventory Guide to 
state that local freight through train movements, as well as passenger 
and commuter rail train movements, should be reported as ``Thru Train'' 
movements for purposes of the Crossing Inventory. We also revised the 
Inventory Form to include a separate subfield titled ``Total Transit 
Trains'' to capture data on urban rapid transit train movements through 
highway-rail and pathway crossings.
    FRA also provided additional guidance in the Inventory Guide on the 
train movement data the primary operating railroad must report. The 
primary operating railroad is responsible for reporting train movement 
data for all railroads that operate through the crossing, unless Item 
Seven in Part I of the Inventory Form (``Do Other Railroads Operate a 
Separate Track at Crossing?'') shows there are other operating 
railroads that operate over a separate track at the

[[Page 770]]

crossing. (If Item Seven in Part I of the Inventory Form shows there 
are other operating railroads that operate over a separate track at the 
crossing, each operating railroad is responsible for submitting their 
own train count and train speed data directly to the Crossing 
Inventory.) We provided this guidance in response to CPUC comments 
requesting clarification as to whether the primary operating railroad 
is responsible for reporting the number of train movements by other 
railroads through the crossing.
    FRA received comments recommending that the five proposed data 
fields dedicated to train counts be consolidated into fewer data 
fields. The ICC submitted comments recommending that four of the 
proposed data fields be consolidated into two data fields--one data 
field for all daytime train movements and another for all nighttime 
train movements. Under this scenario, the Crossing Inventory would not 
differentiate between train counts for through trains and switching 
train movements. We did not adopt this recommendation because the DOT 
Accident Prediction Formula relies upon the number of through train 
movements shown in the Crossing Inventory. (Many States use the DOT 
Accident Prediction Formula to determine the appropriate allocation of 
funding for needed crossing safety improvements.) Since the number of 
daily switching movements is not used in the DOT Accident Prediction 
Formula, we retained separate data fields on the Inventory Form for 
train counts of through train movements and switching train movements.
    The AAR recommended that the Inventory Form be revised to reflect 
the train count data fields contained in the 1999 version of the 
Inventory Form. In the 1999 version of the Inventory Form, there was 
one data field for total through train movements and another data field 
for total switching train movements. In support of this recommendation, 
the AAR noted that a previously published FRA guidance document related 
to data file structure and field input specifications contained 
language stating that distinctions between daytime train movements and 
nighttime train movements are no longer maintained in the Crossing 
Inventory. While asserting that train counts are not constant 
throughout the year for many reasons, including changes in operating 
plans and changes in shipping/delivery requests from local industries, 
the AAR stated that it will be difficult for railroads to break down 
their train counts into the requested 12-hour blocks.
    FRA agrees that train counts for daytime and nighttime switching 
movements should remain combined. However, we note that the 1999 
version of the Inventory Form also contained a third data field for 
total daylight through train movements during the 12-hour period 
between 6 a.m. to 6 p.m. As discussed above, a distinction was drawn 
between daytime through train movements and nighttime through train 
movements so daily through train movements could be used in the DOT 
Accident Prediction Formula. Therefore, while FRA understands it may be 
difficult to provide an accurate count of daily through train movements 
due to variations in operating plans and business arrangements, 
railroads should be accustomed to submitting data on estimated 
``daylight'' through train counts to the Crossing Inventory. 
Accordingly, we retained the separate data fields for daytime and 
nighttime through train movements on the Inventory Form as proposed.
Year of Train Count Data
    FRA did not revise the ``Year of Train Count Data'' data field in 
Part II of the Inventory Form. The CPUC submitted comments recommending 
expansion of this data field to collect data on the month, as well as 
the year, of the train count data submitted to the Crossing Inventory. 
However, we designed the GCIS system to capture the date on which any 
update to the Crossing Inventory is submitted, which includes any 
update to the train count data fields. Therefore, we retained this data 
field as proposed.
Speed of Train at Crossing
    FRA provided additional guidance in the Inventory Guide to clarify 
that the highest maximum timetable speed for any type of train movement 
through the crossing should be entered in the ``Speed of Train at 
Crossing'' data field in Part II of the Inventory Form. Therefore, if a 
highway-rail or pathway crossing is subject to freight and passenger 
train movements, the highest maximum authorized speed (which will 
generally apply to passenger train movements) should be entered in this 
data field. We provided this guidance in response to ICC comments 
recommending that the ``Speed of Train at Crossing'' data field should 
show the highest maximum authorized timetable speed for any type of 
train movement through the crossing.
Type and Count of Tracks
    In the proposed rule, FRA solicited comments on the definitions we 
provided in the Inventory Guide for the various types of track listed 
in the ``Type and Count of Tracks'' data field. FRA received comments 
from the AAR and the CPUC recommending that FRA reduce the proposed 
list of track types and define each track type consistent with 
definitions FRA and the Surface Transportation Board currently use. 
NCDOT submitted comments noting that the ``Spur/Lead'' and the 
``Storage'' track types appear to be repetitive. The ICC also submitted 
comments recommending that the ``Type and Count of Tracks'' data field 
be revised to capture data on the number of each type of track at the 
crossing. FRA generally agrees with these recommendations and has 
therefore reduced the number of track types. For example, we merged the 
``Spur/Lead'' and the ``Storage'' track types into the ``Yard'' track 
type. In addition, we removed the proposed ``Wye'' track type from the 
Inventory Form because there does not appear to be sufficient need to 
capture this data.
    In addition, we revised the definitions of the ``Main'', 
``Industry'', ``Siding'', and ``Yard'' track types in the Inventory 
Guide to make them consistent with the FRA Guide for Preparing 
Accident/Incident Reports. We also revised the ``Type and Count of 
Tracks'' data field to collect data on the number of each type of track 
at the crossing.
Train Detection
    In the NPRM, FRA solicited comments on whether we should collect 
data on the number of tracks at a crossing equipped with train 
detection technology. Noting the absence of information explaining 
FRA's purpose in collecting this data, AAR submitted comments asserting 
it could not support the proposed collection of data. However, if FRA 
decides to collect this data, AAR recommended elimination of the 
``PTC'' category because the Inventory Guide failed to identify which 
Positive Train Control characteristics must be present in the crossing 
circuitry to qualify as ``PTC'' for purposes of the Crossing Inventory.
    The CPUC, Denver RTD, and the ICC submitted comments in support of 
collecting data on the tracks at a crossing equipped with train 
detection technology. However, the CPUC and ICC believe FRA should only 
collect data on the train detection technology installed on mainline 
tracks through the crossing. The BRS submitted comments in support of 
reporting the various types of train detection equipment installed at a 
crossing so that FRA and railroad personnel can confirm the presence 
(or absence) of such equipment when performing inspections. The BRS 
also

[[Page 771]]

stated that collection of data on the various types or brands of train 
detection equipment installed at a crossing will make it easier for FRA 
and railroad personnel to confirm that proper prints are available at 
each crossing location. Similarly, Denver RTD stated that reporting the 
types of train detection equipment installed at a crossing will create 
a more accurate record for determining the root cause of accidents and 
ensure proper inspection and repairs of train detection equipment.
    We retained the ``Train Detection'' data field in Part II of the 
Inventory Form as proposed. Although FRA agrees that collection of data 
on train detection technology installed at highway-rail and pathway 
crossings is beneficial, FRA is not requiring the submission of data on 
individual brands of train detection equipment installed in the field. 
However, railroads that wish to record this information may use the 
``Railroad Use'' data fields in Part I of the Inventory Form for this 
purpose. We did revise the Inventory Guide discussion of the ``PTC'' 
box in the ``Train Detection'' data field to include a reference to 
FRA's Positive Train Control System regulations in 49 CFR 236.1005, 
which contains a list of the required functionalities for positive 
train control systems.
Is track signaled?
    The ICC submitted comments recommending that FRA add a subfield for 
PTC to the ``Is Track Signaled?'' data field in Part II of the 
Inventory Form. In support of this recommendation, the ICC explained 
that if the primary operating railroad submits data indicating that the 
highway-rail or pathway crossing is located on track equipped with a 
block signal, cab signal, or train control system to govern train 
operations, the Inventory Guide could direct the primary operating 
railroad to specify whether the track is equipped with a PTC system by 
checking an additional ``Yes/No'' box.
    We retained this data field as proposed. Since the type of train 
detection technology present on mainline tracks through the crossing 
must be reported in the ``Train Detection'' data field discussed above, 
there is not sufficient need to add a PTC subfield in this data field.
Event Recorder/Remote Health Monitoring
    NCDOT submitted comments asserting that the proposed title of the 
``Event Recorder Monitoring Device'' data field on the Inventory Form 
was too similar to the title of the ``Monitoring Devices'' data field 
in Part III of the Inventory Form and should therefore be changed. The 
ICC also submitted comments recommending that FRA divide the ``Event 
Recorder Monitoring Device'' data field on the Inventory Form into two 
separate data fields, with one data field for Event Recorders and 
another data field for Remote Health Monitors. In making this 
recommendation, the ICC noted that many crossings have remote health 
monitors, whereas far fewer have event recorders. FRA agrees it would 
be beneficial to revise this data field and has therefore revised the 
Inventory Form by dividing the former ``Event Recorder Monitoring 
Device'' data field into two separate data fields, with one data field 
for Event Recorders and another for Remote Health Monitoring devices.
Part III, Highway or Pathway Traffic Control Device Information
    FRA changed the title of Part III of the Inventory Form from 
``Highway Traffic Control Device Information'' to ``Highway or Pathway 
Traffic Control Device Information.'' We made this change in response 
to ICC comments to show that Part III of the Inventory Form is intended 
to collect traffic control device data for both highway-rail and 
pathway crossings.
Are there signs or signals?
    The ICC submitted comments recommending that FRA change the title 
of the ``No Signs or Signals'' data field in Part III of the Inventory 
Form to ``Are There Warning Signs or Signals in Place?'' and replace 
the ``Check if this applies'' box with Yes/No boxes. Consistent with 
this recommendation, FRA changed the title of the ``No Signs or 
Signals'' data field in Part III of the Inventory Form to ``Are there 
Signs or Signals?'' and added Yes/No boxes to replace the proposed 
``Check if this applies'' box.
Types of Passive Traffic Control Devices Associated With the Crossing
    The ICC submitted comments recommending that we rename the heading 
``Type of Passive Traffic Control Devices at Crossing--Signs'' for item 
two in Part III of the Inventory Form to ``Type of Passive Traffic 
Control Sign at and/or near the Crossing'' since many advance warning 
signs are not actually posted at the crossing, but are often located 
nearby on adjacent or intersecting roadways. Consistent with this 
recommendation, we changed the title for item two in Part III of the 
Inventory Form to ``Types of Passive Traffic Control Devices associated 
with the Crossing''.
    LaDOTD and Tavla Solutions also submitted comments recommending 
that the Inventory Guide include pictures or drawings of the MUTCD 
signs referenced in the data fields that make up item two of Part III 
of the Inventory Form. FRA agrees and added pictures of warning devices 
and signs to the Inventory Guide to provide additional clarification. 
However, FRA did not add pictures and drawings of all MUTCD-compliant 
signs referenced in the data fields in item two of Part III of the 
Inventory Form because the MUTCD is frequently revised. Instead, 
Crossing Inventory users are advised to consult the current edition of 
the MUTCD for additional information regarding MUTCD-compliant sign and 
warning device specifications.
Crossbuck Assemblies
    The ICC submitted comments recommending that the Inventory Guide 
advise Crossing Inventory users to submit data on the actual number of 
crossbuck signs associated with a crossing, rather than the number of 
crossbuck assemblies (which would be counted by the proposed method of 
reporting the number of masts or posts on which crossbuck signs have 
been installed). The ICC noted that, while unusual, there are 
situations in which there may be more than one crossbuck sign per 
assembly. The ICC also recommended that the Inventory Guide advise 
Crossing Inventory users to submit data on the number of all crossbucks 
signs present at the crossing, regardless of the presence of flashing 
lights or gates.
    FRA retained the guidance contained in the Inventory Guide to 
provide data on the number of masts or posts with mounted crossbucks. 
By requiring a count of the number of masts or posts with mounted 
crossbucks, Crossing Inventory users can monitor compliance with an 
FHWA requirement that crossbuck assemblies must be installed by 
December 31, 2019, or when adjustments are made to the crossing, 
whichever comes first. FRA also retained the proposed instruction to 
refrain from reporting the number of crossbuck signs installed on 
train-activated warning devices, such as flashing light structures and 
gate masts, because the ``Crossbuck Assemblies'' data field is 
primarily intended to collect data on the number of crossbuck 
assemblies present at passive crossings.
Stop Signs/Yield Signs
    Consistent with comments submitted on the ``Crossbuck Assemblies'' 
data

[[Page 772]]

field, the ICC submitted comments recommending that the Inventory Guide 
advise Crossing Inventory users to report the actual number of MUTCD-
compliant Stop signs and Yield signs at the crossing, rather than the 
number of posts or masts. The ICC also recommended that the Inventory 
Guide advise Crossing Inventory users to report the number of all Stop 
signs and Yield signs present at the crossing, regardless of the 
presence of flashing lights or gates. In addition, the ICC recommended 
that FRA add a new data field to the Inventory Form to capture data on 
crossings equipped with crossbucks and yield signs.
    Consistent with the approach taken for the ``Crossbuck Assemblies'' 
data field above, FRA retained the proposed guidance contained in the 
Inventory Guide to collect data on the number of posts or masts with 
stop signs and the number of posts or masts with yield signs (as 
opposed to the number of stop signs and yield signs). However, with 
respect to the ``Stop Signs'' and ``Yield Signs'' data fields, the 
Inventory Guide advises Crossing Inventory users to provide data on the 
number of posts or masts with stop signs and yield signs, regardless of 
the presence of any other type of warning device at the crossing. FRA 
notes that Crossing Inventory users can identify crossings equipped 
with crossbucks and yield signs by reviewing the ``Yield Signs'' data 
field, in conjunction with the ``Crossbuck Assemblies'' data field. 
Therefore, there is no need to add a separate data field exclusively 
dedicated to capturing data on crossings equipped with both crossbucks 
and yield signs.
Advance Warning Signs
    In the NPRM, FRA solicited comments on whether the Crossing 
Inventory should collect data on the actual number of advance warning 
signs posted at a crossing, as opposed to the number of posts or masts 
bearing the advance warning signs.
    The BRS submitted comments asserting that the number of signs at a 
particular crossing is far more important than the number of posts or 
masts bearing signs at the crossing. The CPUC, FDOT, NDOT, ICC, Denver 
RTD, and NCDOT also submitted comments recommending that the Crossing 
Inventory collect data on the number of advance warning signs posted at 
the crossing, rather than the number of posts or mast assemblies. Since 
this data field, unlike the data fields for Stop Signs and Yield Signs, 
contains boxes that should be checked to indicate the specific type of 
advance warning signs present at the crossing, the Inventory Guide has 
been revised to instruct Crossing Inventory users to submit a count of 
each type of advance warning sign present at the crossing.
    The ICC also submitted comments recommending that the Advance 
Warning Signs data field on the Inventory Form be replaced with a list 
of all warning signs provided in the current edition of the MUTCD. 
However, we would have to update the list of MUTCD-compliant signs on a 
continual basis to incorporate new signs that are added to the MUTCD, 
which would increase the reporting burden on railroads and may require 
railroads to continually update their crossing databases to keep up 
with changes that are made in future revisions of the MUTCD. Therefore, 
we retained the Advance Warning Signs data field as proposed.
Low Ground Clearance Sign
    The ICC submitted comments recommending that the ``Low Ground 
Clearance Sign'' data field in Part III of the Inventory Form show the 
number of MUTCD-compliant signs present at the crossing. FRA agrees 
with this recommendation and revised the Inventory Form consistent with 
this recommendation.
Pavement Markings/Channelization Devices
    The ICC submitted comments recommending that we add a box for 
Dynamic Envelope Markings to the Pavement Markings data field in Part 
III of the Inventory Form, a box for ``Other,'' and a text field of at 
least 40 characters to record the presence of any additional pavement 
markings. Although we did not add an ``Other'' box to the Pavement 
Markings data field, we revised the Pavement Markings data field in 
Part III of the Inventory Form to add a box for Dynamic Envelope 
markings. FRA encourages States to use the ``State Use'' data fields in 
Part I of the Inventory Form to record any additional pavement markings 
that may be present at the crossing.
    The ICC also recommended that FRA change the title of the 
``Channelization Devices'' data field in Part III of the Inventory Form 
to ``Medians and Channelization Devices.'' Consistent with this 
recommendation, we changed the title of this data field to 
``Channelization Devices/Medians''.
    The ICC submitted comments recommending that we move the Pavement 
Markings and Channelization Devices data fields to a location after the 
``Types of Train-Activated Warning Devices at the Grade Crossing'' 
section in Part III of the Inventory Form, so all warning signs and 
then devices are inventoried sequentially. However, we retained these 
data fields in their proposed location on the Inventory Form. We 
believe it is appropriate to retain these data fields under the 
heading, ``Types of Passive Control Devices associated with the 
Crossing'' in Part III of the Inventory Form since pavement markings 
and channelization devices are considered to be passive traffic control 
devices associated with crossings.
Channelization Devices/Medians
    NCDOT submitted comments recommending that FRA revise the Inventory 
Guide to clarify the proper classification of medians. Therefore, we 
revised the Inventory Guide to provide guidance on how to properly 
complete this data field when channelization devices or medians are 
present at the crossing.
EXEMPT Sign/ENS Sign Displayed
    The ICC submitted comments recommending that we add the word 
``Sign'' to the title of the ``Exempt'' data field in Part III of the 
Inventory Form to clarify that the presence (or absence) of Exempt 
signs at the crossing should be reported. FRA agrees and changed the 
title of this data field to ``EXEMPT Sign''.
    The ICC also recommended that we revise the ``EXEMPT Sign'' and 
``ENS Sign Displayed'' data fields in Part III of the Inventory Form to 
require submission of the number of MUTCD-compliant signs present at 
the crossing. However, we retained these data fields as proposed. FRA 
is primarily interested in obtaining data on the presence (or absence) 
of these signs, not the number of these signs present at the crossing.
Other Signs/Private Crossing Signs
    The ICC submitted comments recommending that we revise the ``Other 
Signs'' data field to accept data on the presence of non-MUTCD 
compliant signs, including private crossing signs, at the crossing. 
However, given the wide variety of non-MUTCD compliant signs that may 
be in use at grade crossings, FRA does not perceive any significant 
benefit that would justify the additional burden associated with 
obtaining data on every type of non-MUTCD compliant sign currently in 
use. Therefore, we retained the ``Private Crossing Signs'' data field 
proposed on the Inventory Form to collect data on private crossing 
signs at private highway-rail and pathway crossings. In addition, the 
Inventory Guide continues to advise Crossing Inventory users to submit 
data on the presence of MUTCD-

[[Page 773]]

compliant signs in the ``Other Signs'' data field in Part III of the 
Inventory Form.
    The ICC also recommended that signs and warning devices at private 
crossings be inventoried and recorded in the same data fields used for 
reporting signs and warning devices at public highway-rail grade 
crossings. The ICC noted that this approach would eliminate the need 
for the ``Private Crossing Signs'' data field. While FRA has not 
adopted this recommendation, we may revisit this recommendation in a 
future rulemaking. As noted previously, the NTSB recently issued Safety 
Recommendation R-14-48 that FRA should require equivalent levels of 
reporting for both public and private highway-rail grade crossings. 
Therefore, FRA may issue regulations in the future that would require 
railroads to complete the data fields used for reporting signs and 
warning devices in Part III of the Inventory Form for private highway-
rail and pathway crossings as well. However, in the meantime, FRA 
strongly encourages primary operating railroads to voluntarily report 
data on train-activated warning devices and crossing signs at private 
highway-rail grade crossings and pathway crossings to the Crossing 
Inventory.
    The ICC also submitted comments recommending that we require 
submission of the number of signs that are present at the crossing in 
the data fields for ``Private Crossing Signs'' and ``LED Enhanced 
Signs'' in Part III of the Inventory Form. However, FRA is primarily 
interested in obtaining data on the presence (or absence) of these 
signs, as opposed to the number of these signs present at a crossing. 
Therefore, we retained the Private Crossing Signs and LED Enhanced 
Signs data fields in Part III of the Inventory Form as proposed.
    The ICC recommended that FRA revise the ``Other Signs'' data field 
in Part III of the Inventory Form by adding a check box to denote 
whether any signs are ``LED enhanced.'' The ICC suggested that this 
check box could replace the ``LED Enhanced Signs'' data field in Part 
III of the Inventory Form. We retained the ``LED Enhanced Signs'' data 
field as proposed on the Inventory Form. However, we revised the 
Inventory Guide to advise Crossing Inventory users to include 
references to the applicable MUTCD code when reporting various types of 
LED enhanced signs present at a crossing.
Types of Train-Activated Warning Devices at the Crossing
    The ICC submitted comments recommending that FRA change the heading 
for item three in Part III of the Inventory Form from ``Type of Active 
Warning Devices at Crossing--Train Activated Devices'' to ``Type of 
Train-Activated Warning Devices at the Crossing.'' The ICC also 
recommended that we arrange the data fields in item three in Part III 
of the Inventory Form covered by this heading in hierarchal order to 
address flashing light assemblies before gates. Consistent with the 
ICC's recommendation, we changed the title of the heading for item 
three in Part III of the Inventory Form to ``Types of Train Activated 
Warning Devices at the Grade Crossing.'' However, we retained the order 
of the data fields in item three in Part III of the Inventory Form as 
proposed to provide continuity between the current version of the 
Inventory Form and previous versions of this form. We hope this 
continuity will minimize the burden on entities that submit electronic 
data to the Crossing Inventory that may need to revise their existing 
databases to conform to changes made to the Inventory Form.
    In the NPRM, FRA solicited comments on whether we should require 
the primary operating railroad to submit updates to the Crossing 
Inventory after implementation of one or more train-activated warning 
devices at a crossing. FDOT submitted comments recommending that all 
updates to the data fields in item three of Part III of the Inventory 
Form, under the heading (``Type of Train Activated Warning Devices at 
Crossing--Train Activated Devices'') be assigned to State agencies so 
any changes railroads make to train-activated warning devices at a 
crossing would have to be reported to the State agency. The State 
agency would then submit all updates to these data fields to the 
Crossing Inventory.
    As stated in Sec.  234.411(c), the primary operating railroad is 
required to submit updated data directly to the Crossing Inventory 
within three months of any change in warning device at a public 
highway-rail grade crossing. While we also encourage the primary 
operating railroad to submit a copy of this updated data to the 
appropriate State agency, it is not required to do so. However, as 
stated in Appendix B to the Inventory Guide, the data fields in item 
three of Part III of the Inventory Form (``Types of Train Activated 
Warning Devices at the Grade Crossing'') have been assigned to State 
agencies for voluntary updating.
Gate Arms
    In the proposed rule, FRA solicited comments on whether we should 
assign the Gate Arms data field in Part III of the Inventory Form to 
State agencies for updating. FRA received comments from NCDOT, FDOT and 
the AAR recommending that State agencies be assigned the responsibility 
for updating this data field. However, FRA also received comments from 
the CPUC, DelDOT, NDOT, and the BRS recommending that the primary 
operating railroad be required to update this data field since the 
primary operating railroad should have information about the warning 
devices they install and maintain.
    After considering these comments, FRA decided to retain the 
assignment of responsibility in Appendix B of the Inventory Guide. 
Therefore, it assigned the responsibility for submitting voluntary 
updates to the Gate Arms data field to State agencies. This assignment 
of responsibility roughly coincides with FHWA's annual reporting 
requirement for States for Highway Safety Improvement Plan purposes. 
However, the primary operating railroad must still submit updated data 
on the number of gate arms installed at a highway-rail or pathway 
crossing to Crossing Inventory within three months of any change, 
consistent with Sec.  234.411(c).
    The ICC submitted comments recommending that FRA revise the 
Inventory Guide to explain that the Gate Arms data field in Part III of 
the Inventory Form is only intended to collect data on the number of 
traditional red-white gate arms present at the crossing. The ICC 
believes the number of pedestrian swing gates or other types of 
pedestrian gates that may be present at the crossing should not be 
reported in this data field. FRA agrees the proposed revision is 
beneficial. Therefore, we revised the Inventory Guide to include a 
description of pedestrian gate arms, as well as specific guidance that 
this data field is not intended to collect data on the presence of any 
pedestrian swing gates at the crossing.
    The ICC also recommended that we replace the word ``Count'' with 
``Quantity'' in the Gate Arms data field. FRA notes that the term 
``Count'' has been used in multiple places on the Inventory Form in 
order to denote that the Crossing Inventory user should provide data on 
the number of devices present at the crossing. Therefore, to be 
consistent, we retained the term ``Count'' as proposed in this data 
field.
Gate Configuration
    The ICC submitted comments recommending that FRA revise the 
Inventory Guide to include illustrations of the various types of gate 
configurations that may be present at a crossing to help Crossing 
Inventory users identify them. However, the attributes associated with 
individual

[[Page 774]]

gate configurations tend to vary greatly. Therefore, while the 
Inventory Guide contains detailed descriptions of each gate 
configuration listed on the Inventory Form, we did not add gate 
configuration illustrations.
    The ICC also recommended that we use the terminology and 
definitions in the MUTCD for the various types of gate configurations 
in the Inventory Guide. In addition, the ICC noted that the proposed 
Inventory Guide discussion of four-quadrant gate systems included an 
incorrect reference to Section 8.D of the MUTCD. We removed the 
erroneous reference to Section 8.D of the MUTCD from Appendix D to the 
Inventory Guide. However, FRA notes that the MUTCD does not provide an 
official definition for the two-quadrant, three-quadrant, or four-
quadrant gate systems listed on the Inventory Form. Moreover, the terms 
used in the Inventory Guide to describe the various types of highway-
rail grade crossing gate configurations constitute standard terminology 
commonly used within the railroad industry. Therefore we did not change 
the definitions and terminology.
    Finally, FRA revised the Gate Configuration data field by removing 
the ``Full Entrance Closure'' box. After further evaluation of the gate 
configuration options listed on the Inventory Form, FRA determined that 
the ``Full Entrance Closure'' box would likely result in collection of 
redundant data.
Cantilevered (or Bridged) Flashing Light Structures
    The ICC submitted comments in support of the Inventory Guide 
instruction to report the number of posts that support the cantilevered 
flashing lights at a crossing, as opposed to the number of flashing-
light pairs. FRA agrees that the number of flashing light pairs should 
not be reported to the Crossing Inventory in this data field. 
Therefore, the Inventory Guide continues to instruct Crossing Inventory 
users to provide a count of the flashing light structures that are 
present at the crossing in this data field.
    NCDOT also submitted comments recommending that FRA either remove 
the LED boxes from the ``Cantilevered (or Bridged) Flashing Light 
Structures'' and the ``Post-Mounted Flashing Light Assemblies'' data 
fields in Part III of the Inventory Form or move the LED boxes to a new 
data field which the railroad would be responsible for updating. In 
support of this recommendation, NCDOT asserted that States will have a 
very difficult time verifying this data element since the only way to 
verify the presence of LED lights is to either open the lens or obtain 
access into the signal cabinet bungalow.
    FRA notes that upgrades from incandescent to LED lights are 
typically financed, at least in part, by Federal funding, which 
requires State DOT involvement. In addition, the presence of certain 
LEDs can be detected through simple observation of the flashing light 
lens. The primary operating railroad is required to complete the 
``Cantilevered (or Bridged) Flashing Light Structures'' and ``Mast 
Mounted Flashing Lights'' data fields in Part III of the Inventory Form 
(and check the ``LED'' boxes, if applicable) for previously unreported 
and new public highway-rail grade crossings. In addition, FRA strongly 
encourages primary operating railroads to complete the ``Cantilevered 
(or Bridged) Flashing Light Structures'' and ``Mast Mounted Flashing 
Lights'' data fields for previously unreported and new private highway-
rail grade crossings. As noted previously, the NTSB recently issued 
Safety Recommendation R-14-48 that FRA should require equivalent levels 
of reporting for both public and private highway-rail grade crossings. 
Therefore, FRA may issue regulations in the future that would require 
railroads to provide additional data on private highway-rail and 
pathway crossings to the Crossing Inventory. However, the 
``Cantilevered (or Bridged) Flashing Light Structures'' and ``Mast 
Mounted Flashing Lights'' data fields in Part III of the Inventory Form 
(and the ``LED'' boxes contained therein) should be voluntarily updated 
by State agencies for public highway-rail grade crossings. In addition, 
we retained the LED boxes as proposed.
Mast-Mounted Flashing Lights
    In the proposed rule, FRA solicited comments on whether we should 
revise the Post-Mounted Flashing Light Assemblies data field in Part 
III of the Inventory Form to require reporting of side lights installed 
for the benefit of highway users on an approaching parallel roadway.
    NCDOT, CPUC, DelDOT, FDOT, NDOT and the BRS submitted comments 
recommending that we revise the Inventory Form to require reporting of 
side lights installed on mast-mounted flashing light assemblies. The 
BRS asserted that side-mounted lights provide the same level of safety 
to individuals approaching the crossing from a parallel roadway as that 
provided to individuals approaching the crossing on the main road.
    NCDOT and CPUC recommended adding a check box to this data field to 
indicate side lights have been installed on the flashing light 
structures. In making this recommendation, NCDOT asserted this 
information could prove helpful when conducting a diagnostic analysis 
of warning devices at a crossing. The BRS also believes revising the 
Inventory Form to collect this data will facilitate prompt replacement 
of side-mounted lights after a knock down or accident, if all parties 
involved in the inspection, testing, and maintenance of the crossing 
know that side lights have been installed at the crossing. FRA agrees 
and revised the ``Mast Mounted Flashing Lights'' data field to include 
a check box to indicate that side lights have been installed at the 
crossing.
    The ICC submitted comments recommending that FRA require counting 
all individual posts housing flashing-light assemblies whether they 
contain side lights or regular forward-facing lights. The ICC also 
recommended that we include illustrations in the Inventory Guide of 
flashing light pairs and back lights. We agree and revised the 
Inventory Guide to advise Crossing Inventory users that they should 
count the total number of masts with flashing lights and indicate 
whether they include back lights and side lights. We also added 
illustrations of flashing light pairs, back lights, and side lights to 
the Inventory Guide.
    The AAR submitted comments recommending that we assign States the 
responsibility for updating the ``Mast Mounted Flashing Lights'' data 
field because this information is maintained by the States and it 
benefits highway users. FRA agrees with this recommendation and revised 
Appendix B to the Inventory Guide to assign responsibility for 
submitting voluntary updates to this data field to State agencies. 
However, the primary operating railroad is required to submit updated 
data within three months of any change in the number of masts with 
flashing lights at a public highway-rail grade crossing under Sec.  
234.411(c). In addition, FRA strongly encourages primary operating 
railroads to complete the ``Mast Mounted Flashing Lights'' data fields 
for private highway-rail grade crossings. As noted previously, the NTSB 
recently issued Safety Recommendation R-14-48 that FRA should require 
equivalent levels of reporting for both public and private highway-rail 
grade crossings. Therefore, FRA may issue regulations in the future 
that would require railroads to provide additional data on private 
highway-rail and pathway crossings to the Crossing Inventory.
    We also changed the title of this data field from ``Post-Mounted 
Flashing Light Assemblies'' to ``Mast-Mounted Flashing Lights'' to 
distinguish between

[[Page 775]]

flashing-lights and crossbuck assemblies.
Total Count of Flashing Light Pairs
    With respect to the ``Total Count of Flashing Light Pairs'' data 
field in Part III of the Inventory Form, the ICC submitted comments 
recommending that the Inventory Guide advise Crossing Inventory users 
to submit data on each pair of flashing lights installed at the 
crossing, whether backlight, sidelight or regular, forward facing 
flashing-lights. In addition, the ICC recommended that FRA add an 
illustration of a pair of flashing-lights to the Inventory Guide to 
eliminate confusion between side by side flashing lights and two pairs 
of back to back flashing lights. Consistent with this recommendation, 
FRA revised the Inventory Guide to advise Crossing Inventory users to 
count each pair of flashing lights installed at the crossing, including 
back lights, side lights, and flashing light pairs installed on 
cantilever structures and added illustrations of flashing light pairs 
to the Inventory Guide.
Installation Date of Current Active Warning Devices
    In the proposed rule, FRA solicited comment on whether it should 
collect data on the installation date of active warning devices 
installed after the final rule effective date for the Crossing 
Inventory.
    The CPUC submitted comments supporting collection of data on the 
original installation date of the active warning devices installed at 
the crossing for the Crossing Inventory to facilitate data analysis of 
the types of active warning devices at the crossing when certain 
crossing accidents occurred. The CPUC also recommended that the 
installation date shown in the Crossing Inventory should only be 
updated when there is a change in the configuration of warning devices, 
such as the installation of gates at a crossing equipped with flashing 
lights.
    The ICC, Denver RTD, and NDOT submitted comments recommending that 
FRA only require submission of data on the installation date of active 
warning devices that are installed after the final rule effective date. 
In addition, the ICC recommended that FRA only require reporting of 
installation year since the specific date of any change in warning 
devices could be found from a review of the ``history file'' for the 
grade crossing. Denver RTD also noted that use of the term ``original 
installation date'' in the proposed title of this data field on the 
Inventory Form (``Original Installation Date of Current Active Warning 
Devices'') could be confusing, especially if additional active warning 
devices are installed at a later date.
    In response to the comments, we changed the title of this data 
field on the Inventory Form to ``Installation Date of Current Active 
Warning Devices'' to avoid confusion. FRA also agrees it would be 
helpful to record the installation date of active warning devices 
installed at a crossing after the final rule effective date to 
facilitate grade crossing safety analyses. FRA encourages the voluntary 
submission of data on the installation date of active warning devices 
installed at public highway-rail grade crossings prior to March 9, 
2015, as well as the voluntary submission of data on the installation 
date of active warning devices installed at private highway-rail grade 
crossings. However, the primary operating railroad is only required to 
submit data on the installation date of active warning devices 
installed at public highway-rail grade crossings after the effective 
date of this final rule. We hope limiting the application of this data 
collection requirement to active warning devices installed after March 
9, 2015 will help minimize the reporting burden on the primary 
operating railroad. However, the Inventory Guide does require the 
primary operating railroad to report the month and year the active 
warning devices are installed or upgraded. This will be beneficial if 
there is more than one change in warning devices during the calendar 
year.
    DelDOT submitted comments recommending that we not hold State 
agencies responsible for submitting data or updates to this data field 
since railroads should have this information readily available. The 
primary operating railroad is required to update this data field within 
three months of any change in train-activated warning devices at a 
public highway-rail grade crossing under Sec.  234.411(c). In addition, 
FRA strongly encourages primary operating railroads to complete this 
data field for private highway-rail grade crossings. As noted 
previously, the NTSB recently issued Safety Recommendation R-14-48 that 
FRA should require equivalent levels of reporting for both public and 
private highway-rail grade crossings. Therefore, FRA may issue 
regulations in the future that would require railroads to provide 
additional data on private highway-rail and pathway crossings to the 
Crossing Inventory.
    However, States generally have some involvement in approving the 
installation of train-activated warning devices at public highway-rail 
grade crossings. Therefore, we are asking States to consider submitting 
voluntary updates to this data field for train-activated warning 
devices that have already been installed, as well as train-activated 
warning devices that are installed after the final rule effective date. 
Even though the primary operating railroad is required to update this 
data field within three months of any change in train-activated warning 
devices at a public highway-rail grade crossing, we retained the 
language in Appendix B to the Inventory Guide to invite States to 
voluntarily update this data field if the primary operating railroad 
fails to do so in a timely manner.

Wayside Horn/Highway Traffic Signals Controlling Crossing

    The ICC submitted comments recommending that FRA merge the 
``Automated Wayside Horn'' and ``Highway Traffic Signals Controlling 
Crossing'' data fields in Part III of the Inventory Form into the 
``Special Active Warning'' data field. The ICC states that there are 
not many crossings equipped with wayside horn system installations or 
controlled by highway traffic signals. However, if we retain a separate 
data field to collect data on wayside horn systems, the ICC recommended 
we change the title of the ``Automated Wayside Horn'' data field to 
``Wayside Horn System''. In addition, the ICC recommended that the 
Inventory Guide discussion of this data field should refer to Section 
8C.07 of the MUTCD, which contains a discussion of wayside horn 
systems.
    We retained a separate data field for wayside horn systems on the 
Inventory Form to facilitate collection of data on the prevalence of 
these warning devices and the date the wayside horn was installed. 
Consistent with the ICC's recommendation, we changed the title of the 
``Automated Wayside Horn'' data field to ``Wayside Horn.'' However, we 
did not add a reference to Section 8C.07 of the MUTCD in the Inventory 
Guide because the MUTCD is frequently revised.
Non-Train Active Warning
    The ICC submitted comments recommending that we change the title of 
the ``Special Active Warning'' data field in Part III of the Inventory 
Form to remove the reference to FRA's ``WD-5'' warning device code to 
avoid confusion of individuals who are not familiar with this code. FRA 
agrees and changed the title of the ``Special Active Warning'' data 
field to ``Non-Train Active Warning'' and removed the reference to 
FRA's warning device code.
    The ICC also recommended that FRA remove the boxes for ``Manually 
Operated Signals'' and ``Watchman''

[[Page 776]]

from the ``Special Active Warning'' data field on the Inventory Form 
unless these types of warning can be found at more than 500 locations 
nationwide. While FRA acknowledges that manually operated signals and 
watchmen are being utilized at a diminishing number of crossings, we 
retained the boxes on the Inventory Form to indicate the presence of 
manually operated signals and watchmen at crossings to allow long-term 
analysis of existing crossing data.
    In addition, the ICC recommended that the Inventory Guide explain 
the various scenarios that might constitute ``flagging,'' such as a 
flag attached to a crossbuck assembly or a fusee/flare left to burn on 
the ground at a crossing. As indicated in the Inventory Guide, the term 
``flagging'' is generally understood to mean an appropriately equipped 
flagger is actively controlling the flow of vehicular traffic. Thus, 
for purposes of the Crossing Inventory, merely attaching a flag to a 
crossbuck assembly or lighting a fuse/flare and leaving it to burn on 
the ground at a crossing does not, in and of itself, constitute 
flagging. Flagging situations are so varied and site specific that 
providing a useful list would be impractical.
Other Flashing Lights or Warning Devices
    The ICC submitted comments recommending that we merge the 
``Wigwags'' data field in Part III of the Inventory Form into the 
``Other Flashing Lights or Warning Devices'' data field since there 
were only 440 crossings equipped with wigwags as of December 2012. FRA 
agrees it is no longer necessary to retain a separate data field for 
the collection of data on wigwags. Therefore, we revised the Inventory 
Guide to advise Crossing Inventory users to submit data on the presence 
of wigwags in the ``Other Flashing Lights or Warning Devices'' data 
field in Part III of the Inventory Form.
Does nearby hwy intersection have traffic signals?
    The ICC submitted comments recommending that the Inventory Guide 
define a ``nearby highway intersection'' as a highway intersection 
located within 500 feet from the near rail at a crossing. FRA agrees 
and revised the Inventory Guide accordingly.
    The ICC also recommended that the Crossing Inventory collect data 
on nearby intersections equipped with stop signs to identify crossings 
with potential queuing problems. However, potential queuing problems 
can be identified by the data collected on intersecting roadways 
located within 500 feet of the grade crossing in Part IV of the 
Inventory Form. Therefore, FRA did not adopt this recommendation.
    NCDOT submitted comments recommending that we assign railroads the 
responsibility for updating the data fields which pertain to the 
presence of traffic signals at a nearby highway intersection and the 
presence of highway traffic signal interconnection and preemption since 
some municipalities do not report this information to the State. 
However, the ICC submitted comments recommending that we assign the 
responsibility for updating the Highway Traffic Signal Interconnection 
data field exclusively to State agencies. After considering these 
comments, Appendix B to the Inventory Guide, now assigns responsibility 
for submitting voluntary updates for items 4.A., 4.B, and 4.C (``Does 
nearby Hwy Intersection have Traffic Signals?'', ``Hwy Traffic Signal 
Interconnection'' and ``Hwy Traffic Signal Preemption'') on Part III of 
the Inventory Form to State agencies. However, the primary operating 
railroad is required to complete these data fields for new and 
previously unreported public highway-rail grade crossings. The primary 
operating railroad also is required to update items 4.B and 4.C (``Hwy 
Traffic Signal Interconnection'' and ``Hwy Traffic Signal Preemption'') 
after a change in crossing characteristics at a public highway-rail 
grade crossing, if applicable.
 Highway Traffic Signal Interconnection
    The ICC submitted comments recommending that the Inventory Guide 
use terms and definitions consistent with terminology the MUTCD uses 
and refer to the appropriate MUTCD sections that address traffic signal 
interconnection and preemption. NCDOT and the CPUC submitted comments 
noting that the Inventory Guide did not provide guidance on when the 
``For Warning Signs'' box in the ``Hwy Traffic Signal Interconnection'' 
data field should be checked. FRA has incorporated terms and 
definitions that are consistent with the MUTCD in the Inventory Guide, 
where applicable. In addition, we revised the Inventory Guide to state 
the meaning of ``Not Interconnected'', ``For Traffic Signals'', and 
``For Warning Signs.'' However, we did not revise the Inventory Guide 
to contain specific references to the applicable MUTCD section(s) due 
to frequent updating of the MUTCD.
 Highway Traffic Pre-Signals
    NCDOT submitted comments recommending that the definition for 
``Stop Line Distance'' in the Inventory Guide should state that stop 
line distance is the distance between the highway intersection's stop 
line and the nearest crossing gate(s). However, after evaluating the 
proposed definition for ``stop line distance'' in the Inventory Guide, 
which defines stop line distance as the distance between the stop line 
and the crossing gates, we determined that the proposed definition 
accomplishes the same purpose.
    The ICC submitted comments recommending that we add illustrations 
demonstrating how the measurements for Storage Distance and Stop Line 
Distance should be obtained to the Inventory Guide discussion of the 
Highway Traffic Pre-Signals data field. We did not adopt this 
recommendation because these terms are widely used in highway safety 
parlance and additional guidance on how to obtain these measurements 
can be obtained from a variety of sources, including the MUTCD.
    The CPUC and ICC submitted comments recommending that the Inventory 
Guide should direct Crossing Inventory users to complete the ``Storage 
Distance'' subfield in the ``Highway Traffic Pre-Signals'' data field, 
if an intersecting roadway is located within 500 feet of the grade 
crossing or if a nearby highway intersection has traffic signals. We 
did not revise the Inventory Guide to require completion of the 
``Storage Distance'' subfield. However, storage distance can be 
calculated by using data reported in the ``Intersecting Roadway within 
500 feet?'' data field in Part IV of the Inventory Form, which should 
contain data on the approximate distance of any intersecting roadway 
within 500 feet of the crossing.
Highway Monitoring Devices
    The ICC submitted comments recommending that FRA change the title 
of the ``Monitoring Devices'' data field in Part III of the Inventory 
Form to ``Automated Enforcement (of Traffic Laws).'' NCDOT also 
submitted comments recommending that the title of this data field be 
revised to avoid confusion with the ``Remote Health Monitoring'' data 
field in Part II of the Inventory Form. FRA agrees and changed the 
title of this data field to ``Highway Monitoring Devices'' to clarify 
the intent of this data field is to collect data on the presence of 
device(s) at the crossing that monitor highway vehicles.
    The ICC recommended that we revise the Inventory Guide to provide 
additional explanation of the two types of highway monitoring devices 
featured

[[Page 777]]

in this data field. The ICC also recommended that the Inventory Guide 
advise Crossing Inventory users that this data field is only intended 
to collect data on crossings with train activated warning devices. FRA 
agrees and revised the Inventory Guide to provide additional 
explanation of the two types of highway monitoring devices in the 
``Highway Monitoring Devices'' data field. We also revised the 
Inventory Guide to advise Crossing Inventory users that the ``Highway 
Monitoring Devices'' data field only applies to crossings equipped with 
train activated warning devices.
    NCDOT submitted comments recommending that we change the ``Photo/
Video Enforcement'' box in the ``Highway Monitoring Devices'' data 
field to ``Photo/Video Recording'' since efforts to use photo and video 
data for enforcement purposes are being challenged in court. We agree 
and changed the title of the ``Photo/Video Enforcement'' box to 
``Photo/Video Recording.'' We also revised the Inventory Guide to state 
the temporary installation of these devices (e.g., for research 
purposes) should not be reported to the Crossing Inventory.
Crossing Warning Device WD Code
    The ICC submitted comments recommending that FRA remove the 
``Crossing Warning Device WD Code'' data field from the Inventory Form 
since this data field has been reserved for the exclusive use of FRA. 
We adopted this recommendation.

Part IV, Physical Characteristics

    The ICC submitted comments recommending that Parts IV and V of the 
Inventory Form be merged into one section titled ``Roadway/Pathway 
Information.'' We did not adopt this recommendation because we want to 
maintain a clear demarcation between the physical and operating 
characteristics of highway-rail and pathway crossings.
Traffic Lanes Crossing Railroad
    NCDOT submitted comments recommending that we revise the Inventory 
Guide to clarify that only dedicated travel lanes should be counted in 
this data field. NCDOT noted that some highway-rail crossings have a 
double-yellow solid painted cross-hatch island approaching the 
crossing, yet further away (say 100 to 200 feet) from the crossing, the 
painted island may change/revert into a center turn lane or left turn 
lane. Therefore, at a crossing which may be 60 feet wide and physically 
capable of carrying five 12-foot wide lanes across the crossing, only 
four lanes are painted as crossing the tracks. In this type of 
scenario, NCDOT recommended that only dedicated travel lanes be counted 
as traffic lanes crossing the tracks. We agree and revised the 
Inventory Guide to state this data field is intended to capture through 
traffic lanes that cross the railroad tracks.
    NCDOT also recommended that the Inventory Guide should clarify that 
the term, ``divided traffic'', refers to the characteristic of the 
entire roadway longitudinally away from the crossing. NCDOT believes 
the mere presence of channelization at a crossing should not be 
considered for purposes of determining whether there is divided highway 
traffic on the roadway that crosses the railroad tracks. We adopted 
this recommendation and revised the Inventory Guide to state that the 
Divided Traffic box in the ``Traffic Lanes Crossing Railroad'' data 
field refers to the characteristics of the entire roadway (as opposed 
to the presence of channelization devices at the crossing).
Is roadway/pathway paved?
    The ICC submitted comments recommending that the Inventory Guide 
advise Crossing Inventory users to submit data on paved pathways, in 
addition to paved roadways. The ICC also recommended that the 
definition of a paved roadway be consistent with the FHWA and/or the 
American Association of State Transportation and Highway Officials 
(AASHTO) definition of a paved road. We did not change the Inventory 
Guide description of a paved roadway because it reflects generally 
accepted use of the term. However, we did revise the title of this data 
field and the Inventory Guide discussion of this data field to include 
a reference to paved pathways in addition to paved roadways, at 
crossings.
Does track run down a street?
    NCDOT submitted comments recommending that the Inventory Guide 
provide additional clarification for completing this data field. FRA 
agrees and revised the Inventory Guide to provide additional guidance 
on the type of crossing configuration for which data is being 
collected.
Is crossing illuminated?
    NCDOT submitted comments recommending that we should revise the 
Inventory Guide state that an illuminated crossing must have publicly 
maintained street lighting. However, FRA is primarily interested in 
collecting data on the presence (or absence) of street lighting at the 
crossing. Since FRA does not wish to exclude crossings that are 
illuminated by privately maintained street lighting, we did not adopt 
this recommendation.
Crossing Surface
    The ICC submitted comments recommending that FRA remove the box for 
``Width'' from the ``Crossing Surface'' data field since it is 
essentially captured by the number of tracks at the crossing. The ICC 
also recommended that the Inventory Guide explain how length should be 
measured when there are sidewalks present at the crossing and add 
helpful illustrations on how to measure crossing length in a variety of 
different environments.
    We retained the box for ``Width'' as proposed in the Crossing 
Surface data field since the distance between railroad tracks is not 
uniform and therefore cannot be relied upon for purposes of determining 
crossing width. However, we revised the Inventory Guide to provide 
additional explanation on how crossing length (and width) should be 
measured.
    NCDOT submitted comments recommending that we revise the Inventory 
Guide description for the subfield ``Asphalt and Timber'' to refer to a 
range of materials that could be used to form flangeway openings, such 
as ``rubber, steel, or other flange material.'' However, after 
evaluating the language in the Inventory Guide, FRA determined the 
description for this subfield (which states that other material which 
could be used to form flangeway openings may include rubber) is broad 
enough to accomplish the same purpose. Therefore, we did not adopt this 
recommendation.
Intersecting roadway within 500 feet?
    LaDOTD submitted comments recommending that FRA revise this data 
field to collect data on the presence of an intersecting roadway within 
200 feet of the crossing to identify highway-rail crossings that might 
be good candidates for highway traffic signal preemption. While the 
MUTCD recommends the use of highway traffic signal preemption for 
highway-rail grade crossings located less than 200 feet from an 
intersecting roadway, FRA believes highway traffic signal preemption 
may be beneficial for highway-rail grade crossings that are located up 
to 500 feet from an intersecting roadway. Therefore, we did not revise 
this data field.
    The CPUC submitted comments recommending addition of checkboxes to 
the ``Intersecting Roadway within 500 feet?'' data field in Part IV of 
the Inventory Form that would capture additional data on the type of 
any highway traffic control device present at the highway intersection. 
Although we

[[Page 778]]

did not adopt this recommendation, State agencies may record data on 
the types of highway traffic control devices that are present at the 
crossing in the State Use data fields in Part I of the Inventory Form.
Smallest Crossing Angle
    The CPUC submitted comments recommending that FRA revise the 
Inventory Form to require reporting of the smallest crossing angle as a 
whole number between 0 and 90 degrees, as opposed to a 30-degree range 
to improve precision. We did not adopt this recommendation because the 
specific data that would be captured does not justify the additional 
burden that would be imposed by the proposed revision to this data 
element.
    The CPUC also recommended that Inventory Guide advise Crossing 
Inventory users to determine the smallest crossing angle from the 
roadway approach lane to the track on the right-hand side of the 
roadway approach. The CPUC asserted that research of detailed angle 
data and associated accident history seems to indicate that small 
angles on the right-hand side of the roadway approach may be a 
significant factor in crossing collisions. FRA did not adopt this 
recommendation because FRA has historically collected data on the 
smallest angle present at the crossing rather than limiting data 
collection to the size of the angle present on the right-hand side of 
the roadway approach. The presence of acute angles on the left-hand 
side of the roadway approach can also be problematic. Whenever the 
railroad tracks intersect roadway approaches at an acute angle, drivers 
must look over one shoulder to watch for approaching trains. However, 
States may record the measurements of acute angles on either side of 
the roadway approach in the State Use fields in Part I of the Inventory 
Form.
Is commercial power available?
    The ICC submitted comments recommending removal of the ``Is 
Commercial Power Available'' data field from Part IV of the Inventory 
Form unless an analysis determines this data field is sufficiently 
utilized and demonstrates collecting this data is worth the effort. 
However, we retained this data field as proposed on the Inventory Form 
because the data collected in this data field is often relied upon when 
evaluating crossings that are candidates for potential crossing 
improvements.

Part V, Public Highway Information

    The CPUC submitted comments recommending that FRA add a new data 
field to Part V of the Inventory Form for the name of the local highway 
agency responsible for installing and maintaining signs and pavement 
markings near the crossing. FRA also received comments from the 
University of Nebraska-Lincoln recommending that we add a new data 
field to Part V of the Inventory Form to capture data on estimated 
pedestrian and bicycle traffic counts at the crossing.
    FRA encourages State agencies to use their ``State Use'' data 
fields in Part I of the Inventory Form to record the name of the local 
highway agency that is responsible for installing and maintaining signs 
and pavement markings, as well as estimated pedestrian and bicycle 
traffic counts. However, we did not add data fields to Part V of the 
Inventory Form to collect this data.
Highway System
    The ICC submitted comments recommending that we remove the 
``Highway System'' data field in Part V of the Inventory Form unless an 
analysis determines that this data is sufficiently utilized such that 
the burden associated with collecting and reporting this information is 
justified. However, we retained the ``Highway System'' data field as 
proposed since the data collected in this data field can be useful for 
nationwide analyses.
Functional Classification of Road at Crossing
    In the proposed rule, FRA solicited comment on whether the ``Local 
Access'' functional classification code should be changed to ``Local'' 
to be consistent with the official functional classification codes 
contained in the FHWA's Highway Performance Monitoring System (HMPS) 
Manual. FRA received multiple comments from State agencies, including 
the CPUC, NCDOT, DelDOT, FDOT, and NDOT, requesting that FRA revise the 
proposed Functional Classification categories provided on the Inventory 
Form to make them consistent with FHWA's current Functional 
Classification Codes. FRA adopted this recommendation and revised the 
functional classification codes in this data field to be consistent 
with FHWA's current Functional Classification Codes.
Linear Referencing System (LRS Route ID)/LRS Milepost
    LaDOTD and Tavla Solutions submitted comments recommending 
elimination of the Linear Referencing System data fields in Part V of 
the Inventory Form based on the assertion that this information can 
vary within the State and railroad system. The ICC submitted comments 
recommending that the Inventory Guide discussion of the ``Linear 
Referencing System'' (LRS) data field explain that this data field is 
intended to show whether the crossing is on a State-defined linear 
referencing system or the Federal Highway Performance Monitoring System 
(HPMS).
    We retained these data fields in the Inventory Form as proposed. 
However, to address situations when more than one LRS code is used, FRA 
revised the Inventory Guide to recommend that the LRS code entered 
should match the HPMS data reported to the Federal Highway 
Administration. In addition, FRA notes that the Linear Referencing 
System data fields in Part V of the Inventory Form are optional.
Annual Average Daily Traffic
    FRA changed the title of the ``Estimated Average Daily Traffic'' 
data field in Part V of the Inventory Form to ``Annual Average Daily 
Traffic'' to make the title consistent with generally accepted terms 
used in highway safety parlance. We made this revision in response to 
comments the ICC submitted recommending that the title of this data 
field be revised to reflect the terminology used in the MUTCD. While 
the ICC also recommended that we add subfields for ``Actual'' and 
``Estimated'' to this data field, we did not adopt this recommendation 
because there are very few annual average daily traffic counts that 
reflect actual (as opposed to estimated) values.
Estimated Percent of Trucks
    We changed the title of the ``Estimated Percent Commercial Trucks'' 
data field in Part V of the Inventory Form to ``Estimated Percent 
Trucks.'' In addition, in response to ICC comments requesting 
clarification of the primary purpose of this data field, FRA revised 
the Inventory Guide to explain that this data field is intended to 
collect data on crossing usage by vehicles having a manufacturer's 
gross vehicle weight (GVW) rating of 9,000 pounds for more and having 
dual tires on at least one rear axle. This would include buses, single-
unit trucks, combination trucks, and campers/recreational vehicles, but 
not school buses.
    The ICC also submitted comments recommending that we add a subfield 
to the Estimated Percent Trucks data field to collect data on whether 
the crossing is located on a State's officially designated Truck Route 
System or a

[[Page 779]]

locally-designated municipal Truck Route. While FRA encourages State 
agencies to use their ``State Use'' data fields in Part I of the 
Inventory Form to collect this data, we did not add these subfields to 
the Inventory Form because the potential benefits that might result 
from collecting this additional data do not appear to justify the 
increased burden associated with collection of this data.
Regularly used by school buses?
    The ICC submitted comments recommending that the ``Regularly Used 
by School Buses'' data field in Part V of the Inventory Form be 
analyzed to determine whether this data can be collected with 
statistical reliability. However, if this data field is retained, the 
ICC recommended that FRA revise the Inventory Guide to capture data on 
whether the crossing is located on a local school district's published 
school bus route system or a local mass transit fixed route bus system 
used to transport schoolchildren. The ICC also recommended that we add 
boxes for ``Unknown'' and ``No'' to this data field.
    We retained this data field as proposed except we added a ``No'' 
box for crossings that are not subject to at least one school bus 
movement on a normal school day. While we did not revise the Inventory 
Guide to require the submission of data on whether a crossing is 
located on a local school district's published school bus route system 
or a local mass transit fixed route bus system that is used to 
transport schoolchildren, State agencies may use their State Use data 
fields in Part I of the Inventory Form to record this data.
Regularly used by hazmat vehicles?
    With respect to the data field titled, ``Regularly Used by Hazmat 
Vehicles?'' in the Inventory Form, in the NPRM, FRA solicited comments 
on how it should define ``regular use'' in the Inventory Guide. DelDOT 
submitted comments asserting the collection of data on crossing use by 
vehicles transporting hazardous materials could be time consuming and 
costly because it would require additional field data collection. 
LaDOTD and Tavla Solutions submitted comments asserting the collection 
of this data would be difficult to obtain, not reliable, and might have 
liability implications. AAR also submitted comments stating that 
railroads do not maintain the type of information which would be 
collected in this data field. In response to these comments, we removed 
the ``Regularly Used by Hazmat Vehicles?'' data field from the 
Inventory Form. However, State agencies may record this information in 
one of the State Use fields in Part I of the Inventory Form.
Emergency Services Route
    With respect to the ``Regular Emergency Services Route'' data field 
in Part V of the Inventory Form, FRA solicited comments in the NPRM on 
how it should define the term ``regular emergency services route.''
    The AAR submitted comments stating that railroads do not maintain 
information about emergency service routes and therefore should not be 
held responsible for reporting information to the Crossing Inventory 
that State agencies maintain. However, under this rule, the primary 
operating railroad is only required to provide information for this 
data field for new and previously unreported public highway-rail grade 
crossings. In addition, under Sec. Sec.  234.405(d) and 234.407(d), if 
the primary operating railroad cannot obtain information for this data 
field from the applicable State agency responsible for grade crossing 
safety, the primary operating railroad may provide a written 
certification statement to the FRA Associate Administrator noting that 
it has requested, and not yet received, this information from the 
appropriate State agency.
    FRA also received comments from NCDOT requesting that we clarify 
what would constitute a regular emergency services route. In response, 
we added guidance in the Inventory Guide to explain that the ``Yes'' 
box in the ``Emergency Services Route'' data field should be checked if 
highway vehicles routinely use a crossing to obtain access to emergency 
facilities including hospitals and police and fire stations.
    While FRA received comments from the ICC, LaDOTD, and Tavla 
Solutions recommending elimination of the Emergency Services Route data 
field in Part V of the Inventory Form, FRA decided to retain this data 
field in order to facilitate safety analysis of crossings located on 
emergency services routes. However, we changed the title of the 
``Regular Emergency Services Route'' data field in Part V of the 
Inventory Form to ``Emergency Services Route.'' We also drew a clear 
demarcation between the section titled, ``Submission Information,'' and 
Part V of the Inventory Form. FRA made this change in response to CPUC 
comments recommending that we revise the Inventory Form to include a 
clear separation between Part V and the data fields which identify and 
provide contact information for the individual who submits crossing 
data to the Crossing Inventory.

Appendix A, U.S. DOT Crossing Inventory Form

    We revised Appendix A by including specific instructions for the 
initial reporting of new and previously unreported highway-rail and 
pathway crossings. We also added instructions for reporting changes in 
crossing characteristics at a public highway-rail grade crossing, under 
Sec.  234.411(c), as well as changes to the public/private status of 
highway-rail and pathway grade crossings to this appendix.
    Appendix A contains a draft of the revised Form FRA F6180.71, 
``U.S. DOT Crossing Inventory Form.'' Form FRA F6180.71 was submitted 
to OMB for approval and is still pending OMB approval. Therefore, 
operating railroads and State agencies cannot use the form until it has 
been approved. FRA expects that, prior to the final rule effective 
date, the form will be approved. Following approval, the final form 
will be available on FRA's safety data Web site under the Forms/
Publications tab.

Appendix B, Responsibility Table for Periodic Updates to the Crossing 
Inventory

    In the NPRM, FRA requested comments on the proposed Crossing 
Inventory Responsibility Table, which assigns responsibility for 
updating specific data fields on the Inventory Form to either the State 
or railroad.
    Several commenters recommended that FRA assign responsibility for 
the completion of each individual data field (with the exception of the 
data fields contained in the Header of the Inventory Form) to either 
the State or the railroad. For example, DelDOT submitted comments 
recommending that we assign responsibility for updating the ``Type of 
Land Use'' data field in Part I of the Inventory Form to railroads, 
while Tavla Solutions submitted comments recommending that we assign 
responsibility for updating this data field exclusively to States. The 
CPUC also submitted comments recommending that we assign responsibility 
for updating the ``Gate Arms'' data field in Part III of the Inventory 
Form to railroads, while NCDOT submitted comments recommending that we 
assign responsibility for updating the ``Highway Traffic Signal 
Interconnection'' and ``Highway Traffic Signal Preemption'' data fields 
in Part III of the Inventory Form to railroads.
    FRA also received comments recommending that we assign 
responsibility for updating certain data fields exclusively assigned to 
States. NCDOT and the CPUC submitted

[[Page 780]]

comments recommending that we assign responsibility for updating the 
``Latitude in decimal degrees'' and ``Longitude in decimal degrees'' 
data fields in Part I of the Inventory Form to States, while Tavla 
Solutions submitted comments recommending that we assign responsibility 
for updating the ``Crossing Type'' data field in Part I of the 
Inventory Form to States. The ICC submitted comments recommending that 
we assign responsibility for updating all of the data fields in Parts 
III through V of the Inventory Form for public highway-rail grade 
crossings to States.
    In response to these comments, FRA revised Appendix B to the 
Inventory Guide to clarify which data fields are assigned to States for 
voluntary updating and which data fields are assigned to primary 
operating railroads for mandatory updating. For example, we assigned 
the responsibility for updating the ``Type of Land Use'' data field in 
Part I of the Inventory Form to primary operating railroads for private 
highway-rail grade crossings and private pathway grade crossings, while 
State agencies are being asked to voluntarily update this data field 
for public highway-rail grade crossings and public pathway grade 
crossings. Similarly, we assigned the responsibility for updating the 
``Crossing Type'', ``Latitude in decimal degrees'' and ``Longitude in 
decimal degrees'' data fields in Part I of the Inventory Form to 
primary operating railroads for private highway-rail grade crossings 
and private pathway grade crossings, while asking State agencies to 
voluntarily update these data fields for public highway-rail grade 
crossings and public pathway grade crossings.
    We are not requiring primary operating railroads to submit data for 
Parts III--V of the Inventory Form for private highway-rail crossings 
and private pathway crossings (with the exception of the ``Private 
Crossing Sign'' data field in Part III of the Inventory Form). This 
final rule only requires primary operating railroads to update one data 
field (the ``Private Crossing Sign'' data field) in Parts III--V of the 
Inventory Form for private highway-rail grade crossings and private 
pathway grade crossings. However, FRA strongly encourages primary 
operating railroads to voluntarily report data on train-activated 
warning devices and crossing signs at private highway-rail grade 
crossings and private pathway crossings to the Crossing Inventory. As 
noted previously, the NTSB recently issued Safety Recommendation R-14-
48 that FRA should require equivalent levels of reporting for both 
public and private highway-rail grade crossings. Therefore, FRA may 
issue regulations in the future that would require railroads to 
complete Parts III-V of the Inventory Form for private highway-rail 
crossings and private pathway crossings. With respect to public pathway 
grade crossings, Appendix B states that State agencies are being asked 
to submit voluntary updates to certain specified data fields in Part I 
of the Inventory Form. However, with respect to public highway-rail 
grade crossings, State agencies are being asked to submit voluntary 
updates to certain specified data fields in Part I of the Inventory 
Form for public highway-rail grade crossings, along with the data 
fields in Parts III-V of the Inventory Form (with the exception of the 
``Private Crossing Sign'' data field in Part III of the Inventory 
Form).

Appendix C, Reporting Crossings That Have Multiple Operating Railroads

    FRA revised Appendix C to the Inventory Guide to provide specific 
guidance on the reporting and updating of Crossing Inventory data by 
operating railroads that operate trains on separate tracks through 
highway-rail and pathway crossings. The requirements that apply to the 
reporting and updating of Crossing Inventory data by individual 
operating railroads are in Sec. Sec.  234.405(b), 234.407(b), and 
234.409(b).

Appendix D, Definitions

    We added new definitions for various terms used in the Inventory 
Guide to Appendix D and revised the proposed definitions for certain 
terms (e.g., ``adjacent crossing'', ``operating railroad'', ``primary 
operating railroad'', and ``public crossing'') as further explained 
below.
    FRA revised the definition of ``adjacent crossing'' in Appendix D 
to the Inventory Guide to provide additional detail. As stated in the 
revised definition, adjacent crossings have separate warning devices 
and separate Crossing Inventory Numbers, even though they are located 
on the same vehicular highway or pathway and the distance between the 
inside rail of each crossing does not exceed 100 feet.
    We added a definition of ``Annual Average Daily Traffic (AADT)'' to 
Appendix D to the Inventory Guide and the Inventory Guide discussion of 
the ``Annual Average Daily Traffic (AADT)'' data field in Part V of the 
Inventory Form to clarify the meaning of this term.
    We also added a definition of ``back lights'' to Appendix D to the 
Inventory Guide and an illustration of ``back lights'' in the Inventory 
Guide discussion of the ``Mast Mounted Flashing Lights'' data field in 
Part III of the Inventory Form. FRA added the definition and 
illustration in response to ICC comments recommending that we add an 
illustration of back lights to the Inventory Guide to clarify the 
meaning of this term.
    As discussed previously in the Section-by-Section Analysis of the 
``Reason for Update'' data field in Part I of the Inventory Form, we 
revised the definition of ``closed crossing'' in response to comments 
submitted by LaDOTD, NCDOT, and Tavla Solutions. Therefore, we made the 
same revision to the definition of ``closed crossing'' in Appendix D to 
the Inventory Guide.
    In addition, we added definitions for ``event recorder'' and 
``remote health monitoring'' to Appendix D to the Inventory Guide and 
to the Inventory Guide discussion of the ``Event Recorder'' and 
``Remote Health Monitoring'' data fields in Part II of the Inventory 
Form. These data fields were originally combined on the Inventory Form 
to collect data on the presence of either an event recorder or a remote 
health monitoring system at a highway-rail or pathway crossing. 
However, in response to comments the ICC submitted, we divided the 
``Event Recorder Monitoring Device'' data field on the Inventory Form 
into two separate data fields, with one data field for Event Recorders 
and another data field for Remote Health Monitoring Systems. Likewise, 
we added definitions for ``event recorder'' and ``remote health 
monitoring'' to Appendix D to the Inventory Guide to clarify the 
meaning of these terms for Crossing Inventory users.
    FRA added a definition of ``flashing light pairs'' to Appendix D to 
the Inventory Guide and illustrations of flashing light pairs to the 
Inventory Guide discussion of the ``Total Count of Flashing Light 
Pairs'' data field in Part III of the Inventory Form. These additions 
were made in response to ICC comments recommending that an illustration 
of a pair of flashing lights be added to the Inventory Guide to provide 
further clarification of the meaning of this term for Crossing 
Inventory users.
    We made revisions to the definition of ``gate'' and the definitions 
for specific types of gate configurations (such as ``Two Quadrant 
Gates'', ``Three Quadrant Gates'' and ``Four Quadrant Gates'') in 
Appendix D to the Inventory Guide to correct inadvertent errors and 
clarify the meaning of these terms for Crossing Inventory users. In 
addition, we removed the proposed definition for ``full entrance 
closure gates'' from Appendix D to the Inventory Guide because the 
``Gate Configuration'' data field in Part III of the Inventory Form no

[[Page 781]]

longer contains a reference to full entrance closure gates.
    To clarify that the term ``grade crossing'' applies to both 
highway-rail grade crossings and pathway grade crossings (including 
pedestrian station crossings), we added a definition of ``grade 
crossing'' to Appendix D to the Inventory Guide. We also added 
definitions of ``highway-rail grade crossing,'' ``pathway grade 
crossing,'' and ``pedestrian station grade crossing'' to Appendix D to 
the Inventory Guide because these terms are used frequently in the 
Inventory Guide. These terms are not defined in Sec.  234.401, due to 
the limited use of these terms in the text of the final rule.
    In response to comments seeking clarification as to whether a 
pathway crossing is essentially a type of highway-rail crossing, we 
revised the definition of ``highway-rail crossing'' in Sec.  234.401. 
Therefore, to be consistent, we also made the same revision to the 
definition of ``highway-rail crossing'' in Appendix D to the Inventory 
Guide.
    We added a definition of ``median'' to Appendix D to the Inventory 
Guide and to the Inventory Guide discussion of the ``Channelization 
Devices/Medians'' data field in Part III of the Inventory Form. This 
definition addresses NCDOT comments recommending that the Inventory 
Guide be revised to clarify the classification of medians.
    We made the same revisions to the definition of ``operating 
railroad'' in Appendix D to the Inventory Guide as the revisions that 
were made to the definition of this term in Sec.  234.401.
    FRA added to the definition of ``pathway crossing'' in Appendix D 
to the Inventory Guide to clarify that pathways located more than 25 
feet from the location where a highway, road, or street intersects with 
one or more railroad tracks are generally considered to be separate 
pathway crossings.
    Denver RTD submitted a comment requesting guidance on the proper 
classification of station crossings that are used by fare-paying 
passengers. In response to this comment, we added a definition of 
``pedestrian station crossing'' to Appendix D to the Inventory Guide 
and to the Inventory Guide discussion of the ``Crossing Purpose'' data 
field in Part I of the Inventory Form. The Inventory Guide also states 
that for the ``Crossing Purpose'' data field, pedestrian station 
crossings are basically pathway crossings that are located within 
passenger stations.
    We also added a definition of ``plant railroad'' to Appendix D to 
the Inventory Guide in response to comments from NCDOT and the CPUC 
recommending that we add a definition of this term to this appendix. As 
stated in Sec.  234.3, plant railroads are not subject to the reporting 
and updating requirements of this subpart. Nonetheless, we added a 
definition of ``plant railroad'' consistent with the definition in 
Sec.  234.5 for reference purposes.
    To be consistent with the revisions we made to the definition of 
``primary operating railroad'' in Sec.  234.401, we also revised this 
definition in Appendix D to the Inventory Guide.
    We revised the definition of ``private crossing'' in Appendix D to 
the Inventory Guide to specifically reference pathway crossings in 
addition to highway-rail crossings. In addition, FRA revised the 
definition of ``public crossing'' in Appendix D to the Inventory Guide 
to specifically reference pathway crossings, in addition to highway-
rail crossings, and to replace the term ``roadway approaches'' with 
``approaches'' to acknowledge the fact that pathway crossings generally 
do not have roadway approaches. We also merged the proposed definition 
of ``open to public travel'' in Appendix D to the Inventory Guide with 
the definition of ``public crossing'' and added an exception to the 
requirement that all approaches to the crossing must be on public 
property for situations where State law or regulation provides 
otherwise.
    To clarify the meaning of the term ``side lights'' for Crossing 
Inventory users, we added a definition of this term to Appendix D to 
the Inventory Guide and an illustration of ``side lights'' to the 
Inventory Guide discussion of the ``Mast Mounted Flashing Lights'' data 
field in part III of the Inventory Form.
    We revised the definition of ``temporary crossing'' in Appendix D 
to the Inventory Guide to specifically reference pathway crossings in 
addition to highway-rail crossings.
    The ICC submitted comments recommending we add all definitions to 
Sec.  234.401, or in the body of the Inventory Guide, where the data 
item is discussed. FRA notes that the definitions of terms in Sec.  
234.401 are consistent with the definitions in Appendix D to the 
Inventory Guide. We did not adopt this recommendation because the 
definitions in Sec.  234.401 are intended to clarify terms used in the 
rule text. For the most part, the definitions in Appendix D to the 
Inventory Guide are also in the Inventory Guide discussion of the 
specific data field on the Inventory Form where the defined term is 
used. However, in some instances, FRA determined that illustrations of 
specific defined terms would be especially helpful to Crossing 
Inventory users. In those instances, we included illustrations of the 
defined term in the Inventory Guide discussion of the relevant data 
field on the Inventory Form, but retained the official definition of 
the term in Appendix D to the Inventory Guide for reference purposes.

Appendix E, Frequently Asked Questions (FAQs)

    To be consistent with changes we made to the final rule and 
Inventory Guide, we made minor revisions to the questions and answers 
in Appendix E to the Inventory Guide. We also added new questions and 
answers to Appendix E to provide guidance on the following topics: (1) 
Whether the Crossing Inventory records for closed or grade-separated 
crossings must be updated; (2) how to report a previously closed 
crossing that has recently been re-opened; (3) how to report the sale 
of a highway-rail or pathway crossing to the Crossing Inventory; (4) 
how to report a change in crossing characteristics (such as a change in 
the crossing surface or a change in the crossing warning devices); and 
(5) whether a private company can have more than one Inventory Number.

Appendix F, High-Speed Rail ID Corridor Designations and Codes

    We updated Appendix F to the Inventory Guide to show current high-
speed rail corridor designations and codes.

V. Regulatory Impact and Notices

A. Executive Order 12866 and 13563 and DOT Regulatory Policies and 
Procedures

    This final rule has been evaluated in accordance with existing 
policies and procedures and determined to be non-significant under both 
Executive Order 12866 and 13563 and DOT policies and procedures. See 44 
FR 11034, Feb. 26, 1979. FRA has prepared and placed in the docket a 
Regulatory Evaluation addressing the economic impact of this rule. The 
primary purpose of the Crossing Inventory is to provide a uniform 
inventory database that can be merged with highway-rail crossing 
collision files and used to analyze information for planning and 
implementation of crossing improvement programs by public and private 
agencies responsible for highway-rail crossing safety, as well as the 
railroad industry and academia.
    As part of the regulatory evaluation, FRA has assessed quantitative 
estimates of the costs expected to result from the

[[Page 782]]

implementation of this rule. FRA's analysis follows DOT's ``Guidance on 
the Economic Value of a Statistical Life in US Department of 
Transportation Analyses,'' published in March 2013. Based on real wage 
growth forecasts from the Congressional Budget Office, DOT's estimates 
that there will be a 1.07 percent annual growth rate in median real 
wages over a 20-year period (2014-2034). Real wages represent the 
purchasing power of nominal wages. FRA assumed an income elasticity of 
1.0 and adjusted the Value of Statistical Life (VSL) in future years in 
the same way. VSL is the basis for monetizing avoided casualties. FRA's 
analysis further accounts for expected wage growth by adjusting the 
taxable wage component of labor costs. Other non-labor based costs and 
benefits are not impacted.
    The NPRM estimated the costs of the proposed rule to be $2.1 
million. Using a 7-percent discount rate the cost estimate will be $1.5 
million. The final rule's estimated cost is $2.8 million, discounted to 
$2.0 million (7 percent). From the NPRM to the final rule, the base 
cost estimates increased due to the adjustment of the CBO real wage 
forecasts for each year of the analysis. FRA also updated wage inputs 
using the Surface Transportation Board's newest wage rates for 2012, 
which impacted the overall cost estimate. FRA also assumed that the 
implementation year will be 2014 and adjusted all wages accordingly. 
While the final rule will not take effect until 2015, FRA does not 
believe this will materially impact the findings of its analysis. FRA 
conducted a break-even analysis of the rule and believes that potential 
benefits from the rule will equal or exceed total costs.
    FRA analyzed the industry costs associated with requiring railroads 
to establish and maintain an inventory for all public and private 
highway-rail crossings and pathway crossings. Many railroads have 
already implemented components of the final rule prior to publication 
of the rulemaking. FRA estimates that as many as 50 percent of all 
highway-rail crossings currently have up-to-date information in the 
National Inventory. For more details on the costing, please see the 
Regulatory Evaluation contained in the public docket. The burdens of 
the rule relate to the collection of recent information and to the 
periodic update of the inventory. The table below presents the 
estimated costs associated with the rule.

                       20-Year Cost for Final Rule
------------------------------------------------------------------------
 
------------------------------------------------------------------------
Initial Update of Inventory................................   $1,178,701
Periodic Update of Inventory...............................      819,473
                                                            ------------
    Total..................................................    1,998,174
------------------------------------------------------------------------
Future costs are discounted to present value using a 7 percent discount
  rate.

    In the Regulatory Evaluation, FRA has explained the expected likely 
benefits for the final rule, and provided a break-even analysis. The 
main benefit derived from the rule is improved crossing inventory data. 
This more precise information will better enable FRA, railroads, and 
any other entity to accurately analyze pertinent data, detect trends, 
and if needed, initiate crossing-related safety initiatives. In this 
analysis, FRA determined that if there were a decrease of 0.015 percent 
of crossing accidents over the twenty-year period the costs associated 
with the rule will break-even. In the last decade there were over 
26,000 collisions at grade crossings. This break-even analysis 
indicates that preventing at least three incidents over the next twenty 
years would justify the rule. FRA anticipates that this rulemaking will 
increase the precision, completeness, and utility of railroad records 
and will improve the Crossing Inventory. This will allow FRA to 
identify certain highway-rail crossings and pathway crossings that are 
not currently recorded in the existing voluntary crossing inventory. 
FRA believes that such clarification helps offset costs associated with 
the rulemaking by simplifying the reporting process. FRA believes the 
value of the anticipated benefits justify the cost of implementing the 
final rule.

B. Regulatory Flexibility Act and Executive Order 13272

    To ensure potential impacts of rules on small entities are properly 
considered, FRA has developed this final rule in accordance with 
Executive Order 13272 (``Proper Consideration of Small Entities in 
Agency Rulemaking'') and DOT's procedures and policies to promote 
compliance with the Regulatory Flexibility Act of 1980 (5 U.S.C. 601 et 
seq.).
    The Regulatory Flexibility Act requires an agency to review 
regulations to assess their impact on small entities. An agency must 
prepare a regulatory flexibility analysis (RFA) unless it determines 
and certifies that a rule, if promulgated, would not have a significant 
economic impact on a substantial number of small entities.
    The primary purpose of the Crossing Inventory is to provide a 
uniform inventory database that can be merged with highway-rail 
crossing collision files and used to analyze information for planning 
and implementation of crossing improvement programs by public and 
private agencies responsible for highway-rail crossing safety, as well 
as the railroad industry and academia.
    (1) Description of Regulated Entities and Impacts: The ``universe'' 
of the entities to be considered generally includes only those small 
entities that are reasonably expected to be directly regulated by this 
action. This final rule directly affects Class I, Class II, and Class 
III railroads that own or operate over at-grade or grade-separated 
crossings.
    ``Small entity'' is defined in 5 U.S.C. 601. Section 601(3) defines 
a ``small entity'' as having the same meaning as ``small business 
concern'' under section three of the Small Business Act. This includes 
any small business concern that is independently owned and operated and 
is not dominant in its field of operation. Section 601(4) likewise 
includes within the definition of this term not-for-profit enterprises 
that are independently owned and operated and are not dominant in their 
field of operation. The U.S. Small Business Administration (SBA) 
stipulates in its size standards that the largest a railroad business 
firm that is ``for profit'' may be and still be classified as a ``small 
entity'' is 1,500 employees for ``Line Haul Operating Railroads'' and 
500 employees for ``Switching and Terminal Establishments.'' 
Additionally, 5 U.S.C. 601(5) defines as ``small entities'' governments 
of cities, counties, towns, townships, villages, school districts, or 
special districts with populations less than 50,000.
    Federal agencies may adopt their own size standards for small 
entities in consultation with SBA and in conjunction with public 
comment. Pursuant to that authority, FRA has published a final 
statement of agency policy that formally establishes ``small entities'' 
or ``small businesses'' as being railroads, contractors, and hazardous 
materials shippers that meet the revenue requirements of a Class III 
railroad as set forth in 49 CFR 1201.1-1, which is $20 million or less 
in inflation-adjusted annual revenues; and commuter railroads or small 
governmental jurisdictions that serve populations of 50,000 or less. 
See 68 FR 24891, May 9, 2003, codified at appendix C to 49 CFR part 
209. The $20 million-limit is based on the Surface Transportation 
Board's revenue threshold for a Class III railroad. Railroad revenue is 
adjusted for inflation by applying a revenue deflator formula in 
accordance with 49 CFR 1201.1-1. FRA is using this definition for this 
rulemaking.

[[Page 783]]

    Railroads: There are a total of 756 regulated railroads. This 
rulemaking does not affect 152 railroads because they do not own any 
crossings. There are seven Class I railroads and 12 Class II railroads, 
all which are not considered small. There are a total of ten out of 29 
commuter/passenger railroads, including Amtrak, this rule will affect. 
However, all the affected commuter railroads are part of larger public 
transportation agencies that receive Federal funds and serve major 
jurisdictions with populations greater than 50,000. There are also 11 
transit operators. FRA typically does not regulate transit operators. 
However, some transit operators have crossings which must be included 
in the Crossing Inventory.
    The costs each railroad incurs will generally vary in proportion to 
the number of crossings they maintain. For instance, railroads with 
fewer crossings should have lower overall costs associated with 
implementing the standards. There are 710 Class III railroads, and of 
those railroads, this rule affects 569. However, large holding 
companies own 113 of these railroads and, thus, are not considered 
small entities for purposes of this analysis. Hence, there are 456 
railroads considered to be small entities impacted by this rule.
    For the purpose of this analysis, FRA broke Class III railroads 
into two categories. We considered any Class III railroad with more 
than 40 crossings a Larger Class III railroad and any Class III 
railroad with 40 or less crossings a Smaller Class III railroad. FRA 
anticipates the majority of the Larger Class III railroads will use 
FRA's Web based program to submit their inventories to the FRA. FRA 
believes the Smaller Class III railroads will manually fill out and 
send their inventory forms, by either mail or email, to the FRA. FRA 
also estimates that 50 percent of all railroads in the industry are 
already in compliance with the rule.
    In the regulatory evaluation FRA determined that there are 322 
Larger Class III railroads. FRA estimates each Larger Class III 
railroad will initially task one person for approximately one week to 
review and update its inventory. Subsequently, FRA estimates it will 
take one person two days to update a Larger Class III railroad 
inventory every year. The initial cost associated with Larger Class III 
railroads will be around $1,945 per railroad. We estimate the cost to 
periodically update their inventory is about $780 per railroad. FRA 
does not believe the regulation will significantly impact the Larger 
Class III railroads.
    In the regulatory evaluation FRA determined that there are 247 
Smaller Class III railroads. FRA estimates that each Smaller Class III 
railroad will initially need one person to work 16 hours to review and 
update each inventory. Subsequently, the periodic inventory update cost 
will be the same, requiring one person to work eight hours each year. 
We estimate the initial cost associated with Smaller Class III 
railroads will be $778 per railroad. The cost to periodically update 
their inventory is about $389 per railroad. Again, FRA believes that 
the regulation will not significantly burden any of the Smaller Class 
III railroads.
    During the NPRM public comment period, FRA did not receive any 
comments discussing the Initial Regulatory Flexibility Analysis or 
Executive Order 13272. FRA certifies that the final rule will not have 
any significant economic impact on the competitive position of small 
entities, or on the small entity segment of the railroad industry as a 
whole.
    (2) Certification: Pursuant to the Regulatory Flexibility Act (5 
U.S.C. 605(b)), FRA certifies that this final rule will not have a 
significant economic impact on a substantial number of small entities. 
Although a substantial number of small railroads will be affected by 
the final rule, none of these entities will be significantly impacted.

C. Federalism

    Executive Order 13132, ``Federalism'' (64 FR 43255, Aug. 10, 1999), 
requires FRA to develop an accountable process to ensure ``meaningful 
and timely input by State and local officials in the development of 
regulatory policies that have federalism implications.'' ``Policies 
that have federalism implications'' are defined in the Executive Order 
to include regulations that have ``substantial direct effects on the 
States, on the relationship between the national government and the 
States, or on the distribution of power and responsibilities among the 
various levels of government.'' Under Executive Order 13132, the agency 
may not issue a regulation with federalism implications that imposes 
substantial direct compliance costs and that is not required by 
statute, unless the Federal government provides the funds necessary to 
pay the direct compliance costs incurred by State and local 
governments, or the agency consults with State and local government 
officials early in the process of developing the regulation. Where a 
regulation has federalism implications and preempts State law, the 
agency seeks to consult with State and local officials in the process 
of developing the regulation.
    This final rule has been analyzed in accordance with the principles 
and criteria contained in Executive Order 13132. This rule will not 
have a substantial effect on the States or their political 
subdivisions; it will not impose any compliance costs; and it will not 
affect the relationships between the Federal government and the States 
or their political subdivisions, or the distribution of power and 
responsibilities among the various levels of government. Therefore, the 
consultation and funding requirements of Executive Order 13132 do not 
apply.
    This final rule amends part 234, which contains FRA's principal 
regulations regarding grade crossing safety. Part 234 could have 
preemptive effect by operation of law under a provision of the former 
Federal Railroad Safety Act of 1970 (repealed and recodified at 49 
U.S.C. 20106). Section 20106 provides that States may not adopt or 
continue in effect any law, regulation, or order related to railroad 
safety or security that covers the subject matter of a regulation 
prescribed or order issued by the Secretary (with respect to railroad 
safety matters) or the Secretary of Homeland Security (with respect to 
railroad security matters), except when the State law, regulation, or 
order qualifies under the ``essentially local safety or security 
hazard'' exception to section 20106.
    In sum, FRA has analyzed this final rule in accordance with the 
principles and criteria contained in Executive Order 13132. As 
explained above, FRA has determined that this final rule has no 
federalism implications, other than the possible preemption of State 
laws under Federal railroad safety statutes, specifically 49 U.S.C. 
20106. Accordingly, FRA has determined that preparation of a federalism 
summary impact statement for this final rule is not required.

D. Paperwork Reduction Act

    The information collection requirements in this final rule 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. 
The sections that contain new information collection requirements and 
the estimated time to fulfill each requirement are as follows:

[[Page 784]]



----------------------------------------------------------------------------------------------------------------
                                                             Total annual      Average time per    Total annual
            CFR section             Respondent universe       responses            response        burden hours
----------------------------------------------------------------------------------------------------------------
234.403(a-c)--(New Requirements;
 Formerly Voluntary)
    --Submission of Data to the     51 States/entities   4,212 forms........  30 minutes........           2,106
     U.S. DOT Highway-Rail           & 618 railroads.
     Crossing Inventory:
     Completion of Inventory Form.
    --Mass Update Lists of          51 States/entities   257 lists..........  30 minutes........             129
     Designated Data Submitted by    & 618 railroads.
     Railroads/States.
    --Excel Lists of Submitted      51 States/entities   1,234 lists........  30 minutes........             617
     Data.                           & 618 railroads.
    --Changes/Corrections to        51 States/entities   35,845 records.....  6 minutes.........           3,585
     Crossing Inventory Data         & 618 railroads.
     Submitted via GX 32 Computer
     Program.
    --Written Requests by States/   51 States/entities   10 requests........  15 minutes........               3
     Railroads for FRA Crossing      & 618 railroads.
     Inventory Guide (New
     Requirement).
    (d)--Reporting Crossing         51 States/entities   20 notices.........  30 minutes........              10
     Inventory Data by State         & 618 railroads.
     Agencies on Behalf of
     Railroads: Written Notices to
     FRA (New Requirement).
    (e)(1)--Consolidated Reporting  51 States/entities   250 notices........  30 minutes........             125
     by Parent Corporation on        & 618 railroads.
     Behalf of Its Subsidiary
     Railroads: Written Notice to
     FRA (New Requirement).
    (e)(2)--Immediate Notification  51 States/entities   75 notices.........  30 minutes........              38
     to FRA by Parent Corporation    & 618 railroads.
     of Any Changes in the List of
     Subsidiary Railroads for
     Which It Reports (New
     Requirement).
234.405(a)(1)--Initial Submission   51 States/entities   2,120 assigned       5 minutes + 5                  525
 of Previously Unreported Highway-   & 618 railroads.     numbers + 4,180      minutes.
 Rail and Pathway Crossings                               provided assigned
 through which They Operate by                            numbers.
 Primary Operating Railroads:
 Providing Assigned Crossing
 Inventory Number to Each Railroad
 that Operates One or More Trains
 Through Crossing (New
 Requirement).
    (a)(2)(i)--Completed Inventory  51 States/entities   2,120 forms........  30 minutes........           1,060
     Forms for Each Previously       & 618 railroads.
     Unreported Crossing (New
     Requirement).
    (c)--Duty of All Operating      51 States/entities   450 notices/         30 minutes........             225
     Railroads: Notification to      & 618 railroads.     notifications.
     FRA of Previously Unreported
     Crossing through Which It
     Operates (New Requirement).
    (d)--Incomplete Submission by   51 States/entities   35 certification     45 minutes........              26
     State Agency: Written           & 618 railroads.     statements.
     Certification by Primary
     Operating Railroad that State
     has Not Provided Requested
     Crossing Information (New
     Requirement).
    --Copies of Written             51 States/entities   105 mailed           2 minutes.........               4
     Certification Statements to     & 618 railroads.     certification
     Other Operating Railroads and                        copies.
     Responsible State Agency (New
     Requirement).
234.407(a)--Submission of Initial   51 States/entities   100 assigned         5 minutes + 5                   16
 Data to the Crossing Inventory      & 618 railroads.     numbers + 100        minutes.
 for New Crossings: Providing                             provided assigned
 Assigned Inventory Numbers for                           numbers.
 New Highway-Rail and Pathway
 Crossings through which They
 Operate by Primary Operating
 Railroads to Each Railroad that
 Operates One or More Trains
 Through the Crossing (New
 Requirement).
    (a)(2)(i)--Completed Inventory  51 States/entities   100 forms..........  90 minutes........             150
     Forms for Each New Highway-     & 618 railroads.
     Rail and Pathway Crossing
     (New Requirement).
234.409(a)--Submission of Periodic  51 States/entities   80,775 crossing      2.5025 minutes....           3,369
 Updates to the Crossing Inventory   & 618 railroads.     inventory updates.
 (New Requirements; Formerly
 Voluntary).
    (c) Duty of All Operating       51 States/entities   950 written notices  20 minutes........             317
     Railroads: Written              & 618 railroads.
     Notification to FRA of that
     Up-to-date and Accurate
     Information has Not Been
     Timely Submitted to the
     Crossing Inventory (New
     Requirement).
234.411(a)--Crossing Sale:          51 States/entities   650 updated          2 hours...........           1,300
 Submission of Crossing Inventory    & 618 railroads.     crossing inventory
 Form by Any Operating Railroad                           forms.
 that Sells All or Part of Highway-
 Rail and Pathway Crossing (New
 Requirement).
    (b)--Crossing Closure:          51 States/entities   85 crossing          5 minutes.........               7
     Submission of Crossing          & 618 railroads.     inventory forms
     Inventory Form by Primary                            (closures).
     Operating Railroad that
     Closes Highway-Rail and
     Pathway Crossing (New
     Requirement).
    (c)--Primary Operating RR       51 States/entities   650 forms..........  30 minutes........             325
     Submission of Inventory form    & 618 railroads.
     for Any Surface/Warning
     Device Changes at Crossing
     (New Req.).
234.413(a & b)(1)--Recordkeeping:   51 States/entities   5,901 duplicate      1 minute..........              98
 Duplicate Copy of Each Inventory    & 618 railroads.     copies.
 Form Submitted in Hard Copy (New
 Requirement).
    (a & b)(2)--Railroad Copy of    51 States/entities   80,775 copies......  1 minute..........           1,346
     FRA Confirmation after          & 618 railroads.
     Electronic Submission of
     Crossing Data to the Crossing
     Inventory (New Requirement).
    (c)--Railroad List of           51 States/entities   618 lists..........  5 minutes.........              52
     Establishment Locations Where   & 618 railroads.
     Any Required Records are Kept
     (New Requirement).
----------------------------------------------------------------------------------------------------------------


[[Page 785]]

    All estimates include the time for reviewing instructions; 
searching existing data sources; gathering or maintaining the needed 
data; and reviewing the information. Pursuant to 44 U.S.C. 
3506(c)(2)(B), FRA solicits comments concerning: Whether these 
information collection requirements are necessary for the proper 
performance of the functions of FRA, including whether the information 
has practical utility; the accuracy of FRA's estimates of the burden of 
the information collection requirements; the quality, utility, and 
clarity of the information to be collected; and whether the burden of 
collection of information on those who are to respond, including 
through the use of automated collection techniques or other forms of 
information technology, may be minimized. For information or a copy of 
the paperwork package submitted to OMB, contact Mr. Robert Brogan, 
Information Clearance Officer, Office of Safety, at 202-493-6292, or 
Ms. Kimberly Toone, Records Management Officer, Office of Information 
Technology, at 202-493-6132 or via email at the following addresses: 
[email protected]; [email protected].
    Organizations and individuals desiring to submit comments on the 
collection of information requirements should direct them to the Office 
of Management and Budget, Office of Information and Regulatory Affairs, 
Washington, DC 20503, Attention: FRA Desk Officer. Comments may also be 
sent via email to OMB at the following address: 
[email protected].
    OMB is required to make a decision concerning the collection of 
information requirements contained in this final rule between 30 and 60 
days after publication of this document in the Federal Register. 
Therefore, a comment to OMB is best assured of having its full effect 
if OMB receives it within 30 days of publication.
    FRA cannot impose a penalty on persons for violating information 
collection requirements which do not display a current OMB control 
number, if required. FRA intends to obtain current OMB control numbers 
for any new information collection requirements resulting from this 
rulemaking action prior to the effective date of this final rule. The 
OMB control number, when assigned, will be announced by separate notice 
in the Federal Register.

E. Environmental Impact

    FRA has evaluated this rule in accordance with its ``Procedures for 
Considering Environmental Impacts'' (FRA's Procedures) (64 FR 28545, 
May 26, 1999) as required by the National Environmental Policy Act (42 
U.S.C. 4321 et seq.), other environmental statutes, Executive Orders, 
and related regulatory requirements. FRA has determined that this final 
rule is not a major FRA action (requiring the preparation of an 
environmental impact statement or environmental assessment) because it 
is categorically excluded from detailed environmental review pursuant 
to section 4(c)(20) of FRA's Procedures. See 64 FR 28547, May 26, 1999.
    In accordance with section 4(c) and (e) of FRA's Procedures, the 
agency has further concluded that no extraordinary circumstances exist 
with respect to this regulation that might trigger the need for a more 
detailed environmental review. As a result, FRA finds that this final 
rule is not a major Federal action significantly affecting the quality 
of the human environment.

F. Unfunded Mandates Reform Act of 1995

    Pursuant to Section 201 of the Unfunded Mandates Reform Act of 1995 
(Pub. L. 104-4, 2 U.S.C. 1531), 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).'' Section 202 of the Act 
(2 U.S.C. 1532) further requires that ``before promulgating any general 
notice of proposed rulemaking that is likely to result in the 
promulgation of any rule that includes any Federal mandate that may 
result in expenditure by State, local, and tribal governments, in the 
aggregate, or by the private sector, of $100 million or more (adjusted 
annually for inflation) 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. 
This final rule will not result in the expenditure, in the aggregate, 
of $140,800,000 or more (as adjusted annually for inflation) in any one 
year, and thus preparation of such 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 final rule in accordance with Executive 
Order 13211. FRA has determined that this 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 ``significant energy action'' within the meaning of Executive 
Order 13211.

H. Trade Impact

    The Trade Agreements Act of 1979 (Pub. L. 96-39, 19 U.S.C. 2501 et 
seq.) prohibits Federal agencies from engaging in any standards setting 
or related activities that create unnecessary obstacles to the foreign 
commerce of the United States. Legitimate domestic objectives, such as 
safety, are not considered unnecessary obstacles. The statute also 
requires consideration of international standards and, where 
appropriate, that they be the basis for U.S. standards. FRA has 
assessed the potential effect of this final rule on foreign commerce 
and believes that its requirements are consistent with the Trade 
Agreements Act of 1979. The requirements imposed are safety standards 
which, as noted, are not considered unnecessary obstacles to trade.

I. Privacy Act

    In accordance with 5 U.S.C. 553(c), DOT solicits comments from the 
public to better inform its rulemaking process. DOT posts these 
comments, without edit, including any personal information the 
commenter provides, to www.regulations.gov, as described in the system 
of records notice (DOT/ALL-14 FDMS), which can be reviewed at 
www.dot.gov/privacy.

List of Subjects in 49 CFR Part 234

    Highway safety, Penalties, Railroad safety, Reporting and 
recordkeeping requirements, State and local governments.

The Rule

    In consideration of the foregoing, FRA amends part 234 of chapter 
II, subtitle

[[Page 786]]

B of title 49, Code of Federal Regulations as follows:

PART 234--GRADE CROSSING SAFETY

0
1. The authority citation for part 234 is revised to read as follows:

    Authority:  49 U.S.C. 20103, 20107, 20152, 20160, 21301, 21304, 
21311, 22501 note; Pub. L. 110-432, Div. A., Sec. 202, 28 U.S.C. 
2461, note; and 49 CFR 1.89.


0
2. The heading for part 234 is revised to read as set forth above.

0
3. Amend Sec.  234.1 by revising paragraphs (a)(3) and (4) and adding 
paragraph (a)(5) to read as follows:


Sec.  234.1  Scope.

    (a) * * *
    (3) Requirements for particular identified States to develop State 
highway-rail grade crossing action plans;
    (4) Requirements that certain railroads establish systems for 
receiving toll-free telephone calls reporting various unsafe conditions 
at highway-rail grade crossings and pathway grade crossings, and for 
taking certain actions in response to those calls; and
    (5) Requirements for reporting to, and periodically updating 
information contained in, the U.S. DOT National Highway-Rail Crossing 
Inventory for highway-rail and pathway crossings.
* * * * *

0
4. Subpart F is added to part 234 to read as follows:
Subpart F--Highway-Rail and Pathway Crossing Inventory Reporting
Sec.
234.401 Definitions.
234.403 Submission of data to the Crossing Inventory, generally.
234.405 Submission of initial data and periodic updates to the 
Crossing Inventory.
234.407 Recordkeeping.
234.409 Electronic recordkeeping.
Appendix A to Part 234--Schedule of Civil Penalties

Subpart F--Highway-Rail and Pathway Crossing Inventory Reporting


Sec.  234.401  Definitions.

    As used in this subpart--
    Class I has the meaning assigned by regulations of the Surface 
Transportation Board (49 CFR part 1201; General Instructions 1-1), as 
those regulations may be revised and applied by order of the Board 
(including modifications in class threshold based on revenue deflator 
adjustments).
    Closed crossing means a location where a previous crossing no 
longer exists because either the railroad tracks have been physically 
removed, or each pathway or roadway approach to the crossing has been 
physically removed, leaving behind no intersection of railroad tracks 
with either a pathway or roadway. A grade-separated highway-rail or 
pathway crossing that has been physically removed is also considered a 
closed crossing.
    Crossing Inventory means the U.S. DOT National Highway-Rail 
Crossing Inventory.
    FRA Associate Administrator means the FRA Associate Administrator 
for Railroad Safety/Chief Safety Officer.
    Highway-rail crossing means the location where one or more railroad 
tracks intersect with a public highway, road, street, or private 
roadway, either at-grade or grade-separated, including associated 
sidewalks.
    Inventory Form means the U.S. DOT Crossing Inventory Form (Form FRA 
F 6180.71).
    Inventory Guide means the FRA Guide for Preparing Highway-Rail 
Crossing Inventory Forms in effect at the time of the submission of 
data to the Crossing Inventory.
    Inventory Number means the number assigned to a highway-rail 
crossing or pathway crossing in the Crossing Inventory.
    Operating railroad means any railroad or urban rapid transit 
operator that operates one or more trains through a highway-rail or 
pathway crossing on, or connected to, the general railroad system of 
transportation.
    Pathway crossing means a pathway that:
    (1) Is explicitly authorized by a public authority or a railroad;
    (2) Is dedicated for the use of non-vehicular traffic, including 
pedestrians, bicyclists, and others;
    (3) Is not associated with a public highway, road, or street, or a 
private roadway; and
    (4) Crosses one or more railroad tracks either at grade or grade-
separated.
    Primary operating railroad means the operating railroad that either 
owns or maintains the track through the highway-rail or pathway 
crossing, unless the crossing is located within a private company, 
port, or dock area. If more than one operating railroad either owns or 
maintains the track through the highway-rail or pathway crossing, or if 
no operating railroad owns or maintains the track through the highway-
rail or pathway crossing, then the operating railroad that operates the 
highest number of trains through the crossing is the primary operating 
railroad. In the event that there is only one operating railroad that 
operates one or more trains through a highway-rail or pathway crossing, 
that operating railroad is the primary operating railroad. For highway-
rail and pathway crossings that are located within a private company, 
port, or dock area, each railroad that owns track leading to the 
private company, port, or dock area will be considered a primary 
operating railroad as applied to crossings within the private company, 
port, or dock area.
    Private crossing means a highway-rail or pathway crossing that is 
not a public crossing.
    Public crossing means a highway-rail or pathway crossing where the 
approaches are under the jurisdiction of and maintained by a public 
authority and open to public travel. All approaches must be under the 
jurisdiction of the public authority and no approach may be on private 
property, unless State law or regulation provides otherwise.
    Temporary crossing means a highway-rail or pathway crossing created 
to serve a specific activity for a temporary time period not to exceed 
six months.


Sec.  234.403  Submission of data to the Crossing Inventory, generally.

    (a) Highway-rail and pathway crossing data shall be submitted to 
the Crossing Inventory on the Inventory Form. Except as provided in 
paragraph (c) of this section, the Inventory Form may be submitted in 
hard copy or electronically.
    (b) The Inventory Form, or its electronic equivalent, shall be 
completed in accordance with the Inventory Guide. A copy of this guide 
may be obtained from the Office of Railroad Safety, RRS-23, Federal 
Railroad Administration, 1200 New Jersey Avenue SE., Washington, DC 
20590. A copy of this guide can also be viewed or downloaded from FRA's 
Safety Data Web site under the Forms/Publications tab.
    (c) Each Class I railroad shall submit the data required by 
paragraph (a) of this section to the Crossing Inventory electronically.
    (d) Reporting by State agencies on behalf of operating railroads. A 
State agency may submit crossing data to the Crossing Inventory on 
behalf of an operating railroad. The State agency and the operating 
railroad shall provide written notice to the FRA Associate 
Administrator that the State agency has agreed to submit and update 
crossing data for all of the operating railroad's highway-rail and 
pathway crossings within the state.
    (e) Reporting by the parent corporation on behalf of subsidiary 
railroads. (1) In order to satisfy the reporting requirements of this 
section, a

[[Page 787]]

parent corporation may submit crossing data to the Crossing Inventory 
on behalf of one or more of its subsidiary railroads. The parent 
corporation and the subsidiary railroad(s) shall provide written notice 
to the FRA Associate Administrator that the parent corporation has 
assumed reporting and updating responsibility for all of the subsidiary 
railroad's highway-rail and pathway crossings. The written notification 
shall include the following:
    (i) A list of all subsidiary operating railroads for which the 
parent corporation will assume reporting and updating responsibility;
    (ii) An explanation as to how the parent corporation and the 
subsidiary operating railroad(s) operate as a single, seamless, 
integrated United States railroad system; and
    (iii) A statement signed by the chief executive officer of the 
parent corporation, in which the chief executive officer shall consent, 
on behalf of the parent corporation, to guarantee any monetary penalty 
assessments or other liabilities owed to the United States government 
that are incurred by the named subsidiaries for violating the reporting 
or updating requirements set forth in this subpart.
    (2) The parent corporation shall provide immediate written 
notification to the FRA Associate Administrator of any change in the 
list of subsidiary operating railroads for which it has assumed 
reporting and updating responsibility.
    (3) The parent corporation shall submit the data required by 
paragraph (a) of this section to the Crossing Inventory electronically.


Sec.  234.405  Submission of initial data to the Crossing Inventory for 
previously unreported crossings.

    (a) Duty of primary operating railroad. (1)(i) With the exception 
of highway-rail and pathway crossings that are located in a railroad 
yard, passenger station, or within a private company, port, or dock 
area, each primary operating railroad shall assign an Inventory Number 
to each previously unreported highway-rail and pathway crossing through 
which it operates.
    (ii) A primary operating railroad shall assign one or more 
Inventory Numbers to previously unreported highway-rail and pathway 
crossings through which it operates that are located in a railroad 
yard, passenger station, or within a private company, port, or dock 
area.
    (iii) An Inventory Number shall not be assigned to a temporary 
crossing, nor shall an Inventory Form be submitted to the Crossing 
Inventory for a temporary crossing.
    (2) With the exception of highway-rail and pathway crossings that 
are located within a private company, port, or dock area, the primary 
operating railroad shall provide the assigned Inventory Number to each 
operating railroad that operates one or more trains through the 
previously unreported highway-rail or pathway crossing no later than 
January 6, 2016.
    (3) Each primary operating railroad shall submit accurate and 
complete Inventory Forms, or their electronic equivalent, to the 
Crossing Inventory for the previously unreported highway-rail and 
pathway crossings through which it operates, no later than March 7, 
2016. The Inventory Form, or its electronic equivalent, shall reference 
the assigned Inventory Number for the crossing(s) and shall be 
completed and submitted in accordance with Sec.  234.403.
    (b) Duty of operating railroad when operating railroads operate on 
separate tracks. For each previously unreported highway-rail and 
pathway crossing where operating railroads operate trains on separate 
tracks through the crossing, each operating railroad (other than the 
primary operating railroad) shall submit accurate crossing data 
specified in the Inventory Guide to the Crossing Inventory no later 
than March 7, 2016. The Inventory Form, or its electronic equivalent, 
which contains this crossing data shall reference the Inventory Number 
assigned to the crossing by the primary operating railroad and shall be 
completed and submitted in accordance with Sec.  234.403.
    (c) Duty of all operating railroads. Unless a written certification 
statement has been provided by the primary operating railroad in 
accordance with paragraph (d) of this section, each operating railroad, 
other than the primary operating railroad, that operates through a 
previously unreported highway-rail or pathway crossing (except a 
temporary crossing) for which a completed Inventory Form, or its 
electronic equivalent, has not been submitted to the Crossing Inventory 
in accordance with paragraph (a) of this section shall notify the FRA 
Associate Administrator in writing of this oversight. Written 
notification provided by the operating railroad shall include, at a 
minimum, the latitudinal and longitudinal coordinates for each 
previously unreported highway-rail or pathway crossing for which a 
completed Inventory Form, or its electronic equivalent, has not been 
submitted to the Crossing Inventory in accordance with paragraph (a) of 
this section.
    (d) Incomplete submission--State agency data. (1)(i) If a primary 
operating railroad requests State-maintained crossing data from the 
appropriate State agency responsible for maintaining highway-rail and 
pathway crossing data and does not receive the requested data within 60 
days, the primary operating railroad may provide a written statement to 
the FRA Associate Administrator certifying that it requested crossing 
data from the appropriate State agency responsible for maintaining 
highway-rail and pathway crossing data at least 60 days prior, but has 
not yet received the data. If a written statement is provided to the 
FRA Associate Administrator pursuant to this subsection by certified 
mail, return receipt requested, the primary operating railroad will not 
be held liable for failure to timely submit an accurate and complete 
Inventory Form, or its electronic equivalent, as required by Sec.  
234.405(a)(3). If the primary operating railroad receives the requested 
crossing data subsequent to the mailing of a certified statement under 
this section, the primary operating railroad shall submit the crossing 
data to the Crossing Inventory within 60 days of receipt.
    (ii) Any written statement provided pursuant to this subsection 
shall certify that the primary operating railroad requested crossing 
information for one or more data fields that have been assigned by the 
Inventory Guide to the State for updating purposes and the requested 
information has not yet been provided. The written certification 
statement shall be mailed no later than March 7, 2016. Copies of this 
written certification statement shall also be mailed to each operating 
railroad that operates through the crossing and to the State agency 
responsible for maintaining highway-rail and pathway crossing data.
    (2) The written certification statement shall include the 
following:
    (i) A list of each data field for which crossing information has 
been requested from the appropriate State agency; and
    (ii) The date on which this crossing information was requested from 
the appropriate State agency.


Sec.  234.407  Submission of initial data to the Crossing Inventory for 
new crossings.

    (a) Duty of primary operating railroad. (1)(i) With the exception 
of highway-rail and pathway crossings that are located in a railroad 
yard, a passenger station, or within a private company, port, or dock 
area, each primary operating railroad shall assign an Inventory Number 
to each new highway-rail and pathway crossing through which it 
operates.
    (ii) A primary operating railroad shall assign one or more 
Inventory Numbers to new highway-rail and pathway crossings through 
which it operates,

[[Page 788]]

which are located in a railroad yard, passenger station, or within a 
private company, port, or dock area.
    (iii) An Inventory Number shall not be assigned to a temporary 
crossing, nor shall an Inventory Form be submitted to the Crossing 
Inventory for a temporary crossing.
    (2) With the exception of highway-rail and pathway crossings that 
are located within a private company, port, or dock area, the primary 
operating railroad shall provide the assigned Inventory Number to each 
operating railroad that operates one or more trains through the new 
highway-rail or pathway crossing no later than four (4) months after 
the crossing becomes operational or January 6, 2016, whichever occurs 
later.
    (3) Each primary operating railroad shall submit accurate and 
complete Inventory Forms, or their electronic equivalent, to the 
Crossing Inventory for new highway-rail and pathway crossings through 
which it operates, no later than six (6) months after the crossing 
becomes operational or March 7, 2016, whichever occurs later. The 
Inventory Form, or its electronic equivalent, shall reference the 
assigned Inventory Number for the crossing(s) and shall be completed 
and submitted in accordance with Sec.  234.403.
    (b) Duty of operating railroad when operating railroads operate on 
separate tracks. For each new highway-rail and pathway crossing where 
operating railroads operate trains on separate tracks through the 
crossing, each operating railroad shall submit accurate crossing data 
specified in the Inventory Guide to the Crossing Inventory no later 
than March 7, 2016. The Inventory Form, or its electronic equivalent, 
which contains this crossing data shall reference the Inventory Number 
assigned to the crossing by the primary operating railroad and shall be 
completed and submitted in accordance with Sec.  234.403.
    (c) Duty of all operating railroads. Unless a written certification 
statement has been provided by the primary operating railroad in 
accordance with paragraph (d) of this section, each operating railroad, 
other than the primary operating railroad, that operates through a new 
highway-rail or pathway crossing (except a temporary crossing) for 
which a completed Inventory Form, or its electronic equivalent, has not 
been submitted to the Crossing Inventory in accordance with paragraph 
(a) of this section shall notify the FRA Associate Administrator in 
writing of this oversight. Written notification provided by the 
operating railroad shall include, at a minimum, the latitudinal and 
longitudinal coordinates for each new and unreported highway-rail or 
pathway crossing for which a completed Inventory Form, or its 
electronic equivalent, has not been submitted to the Crossing Inventory 
in accordance with paragraph (a) of this section.
    (d) Incomplete submission--State agency data. (1)(i) If a primary 
operating railroad requests State-maintained crossing data from the 
appropriate State agency responsible for maintaining highway-rail and 
pathway crossing data and does not receive the requested data within 60 
days, the primary operating railroad may provide a written statement to 
the FRA Associate Administrator certifying that it requested crossing 
data from the appropriate State agency responsible for maintaining 
highway-rail and pathway crossing data at least 60 days prior, but has 
not yet received the data. If a written statement is provided to the 
FRA Associate Administrator pursuant to this subsection by certified 
mail, return receipt requested, the primary operating railroad will not 
be held liable for failure to timely submit an accurate and complete 
Inventory Form, or its electronic equivalent, as required by Sec.  
234.405(a)(3). If the primary operating railroad submits the requested 
crossing data subsequent to the mailing of a certified statement under 
this section, the primary operating railroad shall submit the crossing 
data to the Crossing Inventory within 60 days of receipt.
    (ii) Any written certification statement provided pursuant to this 
subsection shall certify that the primary operating railroad requested 
crossing information for one or more data fields that have been 
assigned by the Inventory Guide to the State for updating purposes and 
the requested information has not yet been provided. The written 
certification statement shall be mailed no later than six (6) months 
after the crossing becomes operational or March 7, 2016, whichever 
occurs later. Copies of this written certification statement shall also 
be mailed to each operating railroad that operates through the crossing 
and to the State agency responsible for maintaining highway-rail and 
pathway crossing data.
    (2) The written certification statement shall include the 
following:
    (i) A list of each data field for which crossing information has 
been requested from the appropriate State agency; and
    (ii) The date on which this crossing information was requested from 
the appropriate State agency.


Sec.  234.409  Submission of periodic updates to the Crossing 
Inventory.

    (a) Duty of primary operating railroad. Each primary operating 
railroad shall submit up-to-date and accurate crossing data to the 
Crossing Inventory for each highway-rail and pathway crossing (except 
for a grade-separated or closed highway-rail or pathway crossing) 
through which it operates, in accordance with the Inventory Guide. 
Updated crossing data shall be submitted to the Crossing Inventory at 
least every three (3) years from the date of the most recent submission 
of data by the primary operating railroad (or on behalf of the primary 
operating railroad) for the crossing or March 7, 2016, whichever occurs 
later. For hard-copy submissions to Crossing Inventory, this three-year 
period shall be measured from mailing date of the most recent 
submission of data by the primary operating railroad (or on behalf of 
the primary operating railroad).
    (b) Duty of operating railroad when operating railroads operate on 
separate tracks. For each highway-rail and pathway crossing where 
operating railroads operate trains on separate tracks through the 
crossing, each operating railroad shall submit up-to-date and accurate 
crossing data for certain specified data fields on the Inventory Form, 
or its electronic equivalent, to the Crossing Inventory at least every 
three (3) years from the date of the most recent submission of data by 
that operating railroad (or on behalf of that operating railroad) for 
the crossing or March 7, 2016, whichever occurs later. For hard-copy 
submissions to Crossing Inventory, this three-year period shall be 
measured from mailing date of the most recent submission of data by the 
operating railroad (or on behalf of the operating railroad). The 
Inventory Form, or its electronic equivalent, shall be partially 
completed in accordance with the Inventory Guide and submitted in 
accordance with Sec.  234.403.
    (c) Duty of all operating railroads. Each operating railroad, other 
than the primary operating railroad, that operates through a highway-
rail or pathway crossing for which up-to-date information has not been 
timely submitted to the Crossing Inventory in accordance with paragraph 
(a) of this section shall notify the FRA Associate Administrator in 
writing of this oversight. Written notification provided by the 
operating railroad shall include, at a minimum, the Inventory Number 
for each highway-rail and pathway crossing that has not been updated.


Sec.  234.411  Changes requiring submission of updated information to 
the Crossing Inventory.

    (a) Crossing sale. Any railroad that sells all or part of a 
highway-rail or

[[Page 789]]

pathway crossing shall submit to the Crossing Inventory an Inventory 
Form, or its electronic equivalent, which reflects the crossing sale. 
The updated Inventory Form, or its electronic equivalent, shall be 
submitted to the Crossing Inventory in accordance with Sec.  234.403 no 
later than three (3) months after the date of sale or March 7, 2016, 
whichever occurs later.
    (b) Crossing closure. Within three (3) months after the closure of 
any highway-rail or pathway crossing reported to the Crossing Inventory 
or March 7, 2016, whichever occurs later, the primary operating 
railroad shall submit an Inventory Form, or its electronic equivalent, 
that reflects closure of the crossing to the Crossing Inventory, in 
accordance with the Inventory Guide and Sec.  234.403.
    (c) Changes in crossing characteristics. (1) Within three (3) 
months of any change in crossing surface or change in warning device at 
any public highway-rail grade crossing or March 7, 2016, whichever 
occurs later, the primary operating railroad shall submit an Inventory 
Form, or its electronic equivalent, that reflects up-to-date and 
accurate crossing data for the crossing (including the change in 
crossing surface or change in warning device) to the Crossing 
Inventory, in accordance with the Inventory Guide and Sec.  234.403.
    (2) For purposes of this subpart, a ``change in warning device'' 
means the addition or removal of a crossbuck, yield or stop sign, 
flashing lights, or gates at a public highway-rail grade crossing. The 
installation of a crossbuck, yield or stop sign, flashing lights, or 
gates that will be in place for less than six months does not 
constitute a ``change in warning device'' for purposes of this subpart.


Sec.  234.413  Recordkeeeping.

    (a) Each railroad subject to this subpart shall keep records in 
accordance with this section. Records may be kept either on paper or by 
electronic means in a manner that conforms with Sec.  234.415.
    (b) Each operating railroad, including the primary operating 
railroad, responsible for submitting information to the Crossing 
Inventory in accordance with this subpart shall, at a minimum, maintain 
the following information for each required Inventory Form:
    (1) A duplicate copy of each Inventory Form submitted in hard copy 
to the Crossing Inventory; or
    (2) A copy of the electronic confirmation received from FRA after 
electronic submission of crossing data to the Crossing Inventory.
    (c) Each railroad shall identify the locations where a copy of any 
record required to be retained by this subpart is accessible for 
inspection and photocopying by maintaining a list of such establishment 
locations at the office where the railroad's reporting officer conducts 
his or her official business.
    (d) Each operating railroad shall retain for at least four (4) 
years from the date of submission to the Crossing Inventory all records 
referred to in paragraphs (a) and (b) of this section. Records required 
to be kept under this subpart shall be made available to FRA as 
provided by 49 U.S.C. 20107.


Sec.  234.415  Electronic recordkeeping.

    (a) If a railroad subject to this subpart maintains records 
required by this subpart in electronic format in lieu of paper, the 
system for keeping the electronic records must meet all of the 
following conditions:
    (1) The railroad adequately limits and controls accessibility to 
the records retained in its electronic database system and identifies 
those individuals who have such access;
    (2) The railroad has a terminal at the office where the railroad's 
reporting officer conducts his or her official business and at each 
location designated by the railroad as having a copy of any record 
required to be retained by this subpart that is accessible for 
inspection and photocopying;
    (3) Each such terminal has a computer and either a facsimile 
machine or a printer connected to a computer to retrieve and produce 
information in a usable format for immediate review by FRA 
representatives;
    (4) The railroad has a designated representative who is authorized 
to authenticate retrieved information from the electronic system as a 
true and accurate copy of the electronically kept record; and
    (5) The railroad provides FRA representatives with immediate access 
to the record(s) for inspection and copying during normal business 
hours and provides a printout of such record(s) upon request.
    (b) If a record required by this subpart is in the form of an 
electronic record kept by an electronic recordkeeping system that does 
not comply with paragraph (a) of this section, then the record must be 
kept on paper in accordance with the recordkeeping requirements 
contained in Sec.  234.413.

Appendix A to Part 234--Schedule of Civil Penalties

------------------------------------------------------------------------
                                                              Willful
                 Section                     Violation       violation
------------------------------------------------------------------------
   Subpart F--Highway-Rail and Pathway
      Crossing Inventory Reporting
------------------------------------------------------------------------
Sec.   234.403 Submission of data to the
 Crossing Inventory:
    (b) Failure to complete Inventory             $1,000          $2,000
     Form (or electronic equivalent) in
     accordance with the Inventory
     Guide.
    (c) Class I railroad failure to                1,000           2,000
     submit crossing data to the
     Crossing Inventory electronically.
Sec.   234.405 Submission of initial
 data to the Crossing Inventory for
 previously unreported crossings:
    (a) Primary operating railroad                 2,500           5,000
     failure to timely submit an
     accurate and complete Inventory
     Form (or electronic equivalent) to
     the Crossing Inventory for
     previously unreported crossing.
    (b) Operating railroad failure to              2,500           5,000
     timely submit accurate partial
     crossing data to the Crossing
     Inventory for previously unreported
     crossing.
    (c) Operating railroad failure to              1,000           2,000
     provide written notification to FRA
     that the primary operating railroad
     failed to timely report previously
     unreported crossing.
Sec.   234.407 Submission of initial
 data to the Crossing Inventory for new
 crossings:
    (a) Primary operating railroad                 2,500           5,000
     failure to timely submit an
     accurate and complete Inventory
     Form (or electronic equivalent) to
     the Crossing Inventory for new
     crossing.
    (b) Operating railroad failure to              2,500           5,000
     timely submit accurate partial
     crossing data to the Crossing
     Inventory for new crossing.
    (c) Operating railroad failure to              1,000           2,000
     provide written notification to FRA
     that the primary operating railroad
     failed to timely report new
     crossing.
Sec.   234.409 Submission of periodic
 updates to the Crossing Inventory:
    (a) Primary operating railroad                 2,500           5,000
     failure to timely submit up-to-date
     and accurate crossing data to the
     Crossing Inventory for highway-rail
     or pathway crossing.

[[Page 790]]

 
    (b) Operating railroad failure to              2,500           5,000
     timely submit up-to-date and
     accurate partial crossing data to
     the Crossing Inventory for highway-
     rail or pathway crossing.
    (c) Operating railroad failure to              1,000           2,000
     provide written notification to FRA
     that the primary operating railroad
     failed to timely submit up-to-date
     crossing data.
Sec.   234.411 Changes requiring
 submission of updated information to
 the Crossing Inventory:
    (a) Failure to timely report                   2,500           5,000
     crossing sale to the Crossing
     Inventory.
    (b) Primary operating railroad                 2,500           5,000
     failure to timely report crossing
     closure to the Crossing Inventory.
    (c) Primary operating railroad                 2,500           5,000
     failure to timely submit up-to-date
     and accurate crossing data to the
     Crossing Inventory after change in
     crossing characteristics.
Sec.   234.413 Recordkeeping.                      1,000           2,000
Sec.   234.415 Electronic recordkeeping.           1,000           2,000
------------------------------------------------------------------------


    Issued in Washington, DC, on December 19, 2014.
Melissa L. Porter,
Chief Counsel.
[FR Doc. 2014-30279 Filed 1-5-15; 8:45 am]
BILLING CODE 4910-06-P