[Federal Register Volume 69, Number 51 (Tuesday, March 16, 2004)]
[Rules and Regulations]
[Pages 12532-12538]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 04-5913]



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Part V





Department of Transportation





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Federal Railroad Administration



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49 CFR Part 229



Railroad Locomotive Safety Standards: Clarifying Amendments; Headlights 
and Auxiliary Lights; Final Rule

  Federal Register / Vol. 69, No. 51 / Tuesday, March 16, 2004 / Rules 
and Regulations  

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DEPARTMENT OF TRANSPORTATION

Federal Railroad Administration

49 CFR Part 229

[Docket No. FRA-2003-14217; Notice No. 2]
RIN 2130-AB58


Railroad Locomotive Safety Standards: Clarifying Amendments; 
Headlights and Auxiliary Lights

AGENCY: Federal Railroad Administration (FRA), DOT.

ACTION: Final rule.

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SUMMARY: On August 19, 2003, FRA published an interim final rule making 
a technical clarification to the locomotive headlight and auxiliary 
light provisions contained in Sec.  229.125(a) and (d) of title 49 of 
the Code of Federal Regulations (CFR). The purpose of the modification 
was to codify FRA's longstanding acceptance of lamps used in locomotive 
headlights and auxiliary lights. FRA believes that the clarification is 
consistent with both FRA's intent when issuing the requirements related 
to locomotive headlights and auxiliary lights and FRA's enforcement 
policies related to those provisions. FRA also believes that the 
clarification furthers FRA's goal of facilitating the use of advanced 
technologies and enhances FRA's safety enforcement program by 
recognizing specific types of lamps it considers acceptable for use in 
headlights and auxiliary lights. This final rule retains the technical 
clarifications made in the interim final rule with minor changes for 
consistency and clarity.

DATES: This final rule is effective March 16, 2004.

ADDRESSES: Petitions: Any petitions for reconsideration related to 
Docket No. FRA-2003-14217, may be submitted by any of the following 
methods:
     Web Site: http://dms.dot.gov. Follow the 
instructions for submitting comments on the DOT electronic docket site.
     Fax: 1-202-493-2251.
     Mail: Docket Management Facility; U.S. 
Department of Transportation, 400 Seventh Street, SW., Nassif Building, 
Room PL-401, Washington, DC 20590-001.
     Hand Delivery: Room PL-401 on the plaza level of 
the Nassif Building, 400 Seventh Street, SW., Washington, DC between 9 
a.m. and 5 p.m. Monday through Friday, except Federal Holidays.
     Federal eRulemaking Portal: Go to http://www.regulations.gov. Follow the online instructions for submitting 
comments.
    Instructions: All submissions must include the agency name and 
docket number or Regulatory Identification Number (RIN) for this 
rulemaking. Note that all petitions for reconsideration will be posted 
without change to http://dms.dot.gov including any personal 
information. Please see the ``General Information'' heading in the 
SUPPLEMENTARY INFORMATION section of this document for Privacy Act 
information related to any submitted petition, comment, or material.
    Docket: For access to the docket to read background documents, 
comments, or petitions for reconsideration received, go to http://dms.dot.gov at any time or to PL-401 on the plaza level of the Nassif 
Building, 400 Seventh Street SW., Washington, DC between 9 a.m. and 5 
p.m. Monday through Friday, except Federal holidays.

FOR FURTHER INFORMATION CONTACT: Charles L. Bielitz, Mechanical 
Engineer, FRA Office of Safety, RRS-14, 1120 Vermont Avenue NW., Stop 
25, Washington, DC 20590 (telephone: 202-493-6314), or Thomas J. 
Herrmann, Trial Attorney, Office of Chief Counsel, FRA, 1120 Vermont 
Avenue, NW., Stop 10, Washington, DC 20590 (telephone: 202-493-6036).

SUPPLEMENTARY INFORMATION:

Background

    On August 19, 2003, FRA published an interim final rule making a 
technical clarification to the locomotive headlight and auxiliary light 
provisions contained in 49 CFR 229.125(a) and (d). See 68 FR 49713 
(``Interim Final Rule''). In this Interim Final Rule, FRA stated its 
belief that, based on new technologies and designs related to the lamps 
utilized in road locomotive headlights and auxiliary lights over the 
last decade, the Federal regulations governing these components needed 
to be modified both to remain consistent with FRA's intent when it 
originally issued those provisions and to incorporate FRA's enforcement 
policies developed over the intervening years. Currently, there are two 
primary types of lamps utilized in locomotive headlight and auxiliary 
light fixtures: a Parabolic Allumination Reflection (PAR)-56, 200-watt, 
30-volt lamp (200-watt lamp) and a PAR-56, 350-watt, 75-volt lamp (350-
watt lamp).
    Prior to the mid-1990s, the primary lamp used in road locomotive 
headlights throughout the industry was the 200-watt lamp, which 
produces a mean luminous intensity that is well in excess of 200,000 
candela at the center of its beam, with all production samples having a 
minimum luminous intensity of 200,000 candela. In the early to mid-
1990s, with the advent of locomotive auxiliary lights, the railroad 
industry began using the 350-watt lamp in both headlight and auxiliary 
light fixtures. Controlled testing of auxiliary lights performed for 
FRA by the Volpe National Transportation Systems Center (Volpe) in 1995 
used regular production 350-watt lamps. A single 350-watt lamp tested 
by the U.S. Coast Guard for the Volpe test, as well as data supplied by 
the lamp vendor, showed a center beam luminous intensity well in excess 
of 250,000 candela, but it has since been determined that these data 
were not representative of typical lamp production. At present, most 
new locomotives are equipped with the 350-watt lamps in both the 
headlight and auxiliary light fixture. Due to normal variations in 
production processes, the vast majority of 350-watt lamps produced 
since 1994 do not produce 200,000 candela. The current production (2001 
through mid-2003) of 350-watt lamps is centered at approximately 
160,000 candela. Although most 350-watt lamps do not meet the 200,000 
candela requirements related to headlights and auxiliary lights 
contained in 49 CFR 229.125(a) and (d) before their revision through 
the Interim Final Rule, FRA has accepted and will continue to accept 
the use of 350-watt lamps in both headlight and auxiliary light 
fixtures for the reasons discussed below. In this preamble, reference 
to a section or numbered part is to a section or numbered part in title 
49 of the CFR. In order to clarify FRA's continued acceptance of the 
use of these lamps and to incorporate existing enforcement guidance, 
FRA issued the Interim Final Rule amending the regulatory provisions 
contained in part 229 to specifically address the use of these types of 
lamps in both headlight and auxiliary light locations. This final rule 
retains the amendments made in that Interim Final Rule with minor 
changes for consistency and clarity.

Discussion of Comments

    In response to the Interim Final Rule, FRA received comments from 
three organizations: the Brotherhood Railway Carmen Division of the 
Transportation Communications International Union (BRC), the 
Association of American Railroads (AAR), and the Long Island Rail Road 
(LIRR). The concerns raised by the AAR and the LIRR were similar in 
that they both sought additional relief from the requirements related 
to the handling of a locomotive that experiences the failure of one 
lamp in a dual 350-watt lamp headlight. The

[[Page 12533]]

concerns raised by the BRC related to the process by which FRA issued 
the clarifying amendments contained in the Interim Final Rule and 
retained in this final rule. The BRC expressed concern over FRA's 
publication of the clarifying amendments in an immediately effective 
interim final rule. Although the BRC does not object to either the 
substance or the issuance of the Interim Final Rule in this instance, 
the organization did want to ensure that FRA was not utilizing 
immediately effective interim final rules to make substantive changes 
to existing regulations. It appears that the BRC's primary concern is 
that FRA not abuse the procedure utilized in this proceeding.
    As the modifications contained in the Interim Final Rule and 
retained in this final rule were intended merely to clarify FRA's 
intent when issuing the final rule related to auxiliary lights and 
incorporate existing FRA enforcement policies related to locomotive 
headlights and auxiliary lights, FRA initially issued the technical 
clarifications as an Interim Final Rule with a request for comments. 
The Interim Final Rule made clear that the clarifications were intended 
to reinforce FRA's continued acceptance of locomotive lamps which have 
been used throughout the industry for nearly a decade. See 68 FR 49713-
16. Because FRA viewed the amendments as technical clarifications of 
the existing regulations, FRA believes that good cause existed for 
finding that prior public notice of the action was both impracticable 
and unnecessary. See 5 U.S.C. 553(b)(3)(B).
    With this said, FRA wishes to make clear that the issuance of an 
immediately effective interim final rule is a very rare procedural 
action used by the agency. FRA believes that due to the historical 
development and enforcement of the provisions involved that it was 
necessary to issue an immediately effective interim final rule to 
ensure continued, consistent, and unambiguous enforcement of the 
headlight and auxiliary light provisions contained in the regulations. 
FRA fully agrees with the BRC that substantive rule changes should not 
be made through such a regulatory vehicle and that such an action would 
violate the Administrative Procedure Act. FRA welcomes the BRC's 
continued vigilance of its regulatory activities and appreciates the 
organization's participation and input in all areas of its enforcement 
program to ensure the safety of the nation's railroads.
    The comments of both the AAR and the LIRR seek additional latitude 
with regard to the handling of a locomotive that utilizes two PAR-56, 
350-watt, 75-volt (350-watt) lamps to achieve the 200,000 candela 
headlight requirement when one of the two lamps becomes inoperative. 
The AAR seeks to have the provisions related to movement of locomotives 
with defective auxiliary lights contained at Sec.  229.125(g) applied 
to locomotives that experience the failure of one or more of the 350-
watt lamps utilized in a locomotive's headlight. Similarly, the LIRR 
seeks to have the regulation amended to permit a locomotive with one 
inoperative 350-watt lamp in the headlight, found during or after the 
performance a calendar-day inspection, to continue in revenue service 
until the next calendar-day inspection. Both these commenters base 
their requests on the fact that one operative 350-watt lamp is still 
available in the headlight and that the auxiliary lights mounted on the 
locomotive will provide additional illumination in front of the 
locomotive and would not compromise safety.
    The Interim Final Rule made clear that FRA will consider a 
locomotive with a dual-lamp headlight fixture that is equipped with two 
PAR-56, 350-watt, 75-volt lamps to meet the 200,000-candela requirement 
contained in Sec.  229.125(a), provided both lamps are operative. The 
preamble to the Interim Final Rule further stated that if either lamp 
in such a configuration became inoperative, the locomotive was to be 
handled in accordance with the movement-for-repair provisions contained 
in Sec.  229.9. See 68 FR 49714. Under the provisions of Sec.  229.9, 
such a locomotive may continue to use its propelling motors only if it 
is properly tagged and only until the earlier of either the next 
calendar day inspection or the arrival of the locomotive at the nearest 
forward point where the repairs necessary to bring it into compliance 
can be made. See 49 CFR 229.9(b).
    The purpose of the technical amendments made to the locomotive 
headlight requirements in the Interim Final Rule was to clarify the 
alternative methods by which the existing 200,000 candela requirement 
could be achieved based on the design of locomotive headlight fixtures 
and the type of lamps used in those fixtures. Because the purpose of 
the clarifying amendments was to merely incorporate longstanding 
enforcement policies related to locomotive headlights into the 
regulation, FRA proceeded directly to an interim final rule with a 
request for comments. In FRA's opinion, the additional latitude sought 
by the AAR and LIRR regarding the handling of a locomotive with a 
headlight fixture not capable of producing 200,000 candela would 
constitute a substantive change to the existing regulation. With the 
concerns of the BRC in mind, FRA believes that to make such a 
substantive change in a rulemaking proceeding, intended to be a 
technical clarification of the existing regulation, would clearly 
violate the Administrative Procedure Act. Thus, although there may be 
some merit to the requests made by the AAR and the LIRR, FRA does not 
believe this rulemaking is the proper forum in which to address the 
issues. While their comments may have merit when considering 
locomotives with auxiliary lights aimed parallel to the centerline of 
the locomotive and burning steadily, Part 229 permits auxiliary lights 
to be aimed up to 15 degrees of the centerline and permits auxiliary 
lights to flash. See 49 CFR 229.125(d)(3) and (e)(1). Further, 
auxiliary lights may be extinguished or dimmed when trains are passing 
and under certain other conditions. See 49 CFR 229.125(f). FRA believes 
that changes in these provisions would be beyond the scope of this 
rulemaking proceeding. The relief sought by AAR and LIRR also raises a 
number of technical and operational issues that would need to be fully 
explored and evaluated before any action could be considered by FRA. 
Consequently, FRA is denying the requests made by AAR and LIRR in their 
comments to this proceeding. AAR and LIRR can of course file a petition 
under 49 C.F.R. part 211 seeking an FRA rulemaking to address the 
additional latitude they favor.
    In addition to the specific relief sought by AAR and LIRR, both 
parties' comments contain information and suggestions for FRA. LIRR's 
comments note that qualification testing of a 350-watt lamp conducted 
in late-2001 indicated that the lamp could successfully illuminate a 
person at 800 feet. The results of this testing were not included with 
the comments, and FRA is not aware of these tests. A similar test that 
was reviewed by FRA produced inconclusive results, at best. Moreover, 
the old performance standard from which the existing 200,000-candela 
requirement is derived required the headlight to illuminate a dark 
object the size of a man at least 800 feet in front of the light. See 
44 FR 29618 and 45 FR 21109. At this time FRA is not aware of any 
testing which definitively establishes that the typical 350-watt lamp 
is capable of meeting that old performance standard or the existing 
200,000-candela requirement.
    AAR's comments also urge FRA to convene a group of technical 
experts to develop a permanent illumination standard for headlights and 
auxiliary

[[Page 12534]]

lights that is based on sound scientific analysis. AAR notes that there 
was little scientific analysis conducted when the 200,000-candela 
requirement was adopted in 1980 and stresses that the intensity 
requirement was established prior to the requirements related to 
auxiliary lights which add to the illumination provided by a 
locomotive's headlight. AAR states that it is eager to participate in 
such a review. FRA agrees that such an endeavor may be useful. FRA 
welcomes any additional details, information, suggestions, and views 
related to such a review from AAR and any other interested party. FRA 
also notes that AAR enjoys custody and control of the Transportation 
Technology Center, where controlled tests could be readily 
accomplished.

Section Analysis

A. Headlights: Sec.  229.125(a).

    The regulatory provisions related to locomotive headlights are 
contained at Sec.  229.125(a) through (c). These requirements were 
included in the regulations when part 229 was added to the Code of 
Federal Regulations in 1980. See 45 FR 21109 (March 31, 1980). Part 229 
was added in order to modernize the federal regulations previously 
contained in part 230 related to all types of locomotives by separating 
and amending the requirements related to diesel and electric 
locomotives from those related to steam locomotives. The provisions 
contained in Sec.  229.125(a)-(c) were intended to be a modified and 
condensed version of the requirements previously contained in Sec.  
230.231 prior to 1980. See 44 FR 29618 (May 21, 1979).
    In the 1979 Notice of Proposed Rulemaking (NPRM) and the 1980 final 
rule, FRA explained that the approach contained in Sec.  230.231 for 
determining intensity was imprecise and unscientific. Section 230.231 
used a vague performance standard to describe the intensity, which read 
as follows:

a headlight which shall afford sufficient illumination to enable a 
person in the cab of such locomotive who possesses the usual visual 
capacity required of locomotive enginemen, to see in a clear 
atmosphere, a dark object as large as a man of average size standing 
erect at a distance of at least 800 feet ahead and in front of such 
headlight. * * *

    See Sec.  230.231 in pre-1980 CFR. In order to make this vague 
performance standard more precise and scientific, FRA specified that a 
locomotive headlight must produce a luminous intensity of at least 
200,000 candela. See 44 FR 29618 and 45 FR 21109. In the preamble to 
the final rule, FRA stated that the more scientific 200,000-candela 
minimum standard could be met by the headlights used in the existing 
locomotive fleet and that the use of the more modern standard should 
not be viewed as a change in FRA's enforcement approach. Id. At the 
time the final rule was issued, virtually all locomotive headlights 
were equipped with the 200-watt lamps which are capable of producing in 
excess of 200,000 candela. Thus, FRA was merely attempting to describe, 
in scientific terms, the type of lamps being used by the industry in 
locomotive headlight fixtures at that time.
    Subsequent to the issuance of the final rule, FRA developed 
informal enforcement guidance for its field inspectors related to when 
a locomotive's headlight should be considered inoperative. The guidance 
was eventually included in FRA's Motive Power and Equipment (MP&E) 
Enforcement Manual distributed in July of 1992. See MP&E Enforcement 
Manual at 8-79. This guidance instructed FRA inspectors to consider a 
locomotive's headlight to be operative when the locomotive is equipped 
with a sealed two-beam (two-lamp) headlight fixture and only one of the 
lamps is illuminated. The rationale for this guidance was based on the 
fact that virtually all locomotives were equipped with a dual-lamp 
headlight fixture and prior to the early 1990s the lamps used in these 
fixtures were the 200-watt lamps, each independently capable of 
producing at least 200,000 candela. Because the regulation only 
requires the headlight to produce 200,000 candela, FRA determined that 
it would not consider a dual-lamp headlight inoperative if it is 
equipped with at least one operative lamp capable of producing 200,000 
candela. Id.
    As noted above, in the early to mid-1990s, the industry began 
widespread use of the 350-watt lamps in both headlight and auxiliary 
light fixtures. The vast majority of 350-watt lamps produced since 1994 
do not produce 200,000 candela. The current production of the 350-watt 
lamps is centered at approximately 160,000 candela. Furthermore, data 
provided to FRA do not definitively establish that an individual 350-
watt lamp meets the underlying performance standard, discussed above, 
on which the 200,000-candela requirement was based. Moreover, FRA is 
not comfortable applying an old and somewhat subjective performance 
standard in place of the more precise and scientific standard that was 
adopted several decades ago. Therefore, because most 350-watt lamps do 
not individually produce the luminous intensity specified in the 
existing regulation, FRA believed it was necessary to clarify its 
existing enforcement guidance and specifically modify the regulation to 
reflect its position regarding the use of 350-watt lamps in locomotive 
headlight fixtures.
    In the Interim Final Rule, consistent with FRA's existing 
enforcement guidance related to the headlight provisions contained in 
Sec.  229.125(a), FRA asserted that it would continue to interpret the 
term ``headlight,'' as used in this provision, to mean the entire 
headlight fixture whether it is comprised of either one or more lamps. 
Thus, the requirement contained in this provision to produce 200,000 
candela is to be determined by the luminous intensity of the entire 
headlight fixture. Although a single 350-watt lamp, as described above, 
generally does not produce 200,000 candela, data clearly establish that 
the beams of two 350-watt lamps in a dual-lamp headlight easily produce 
well in excess of 200,000 candela once the two beams overlap 
sufficiently, which occurs within a few feet in front of the fixture.
    In view of the above, the Interim Final Rule made clear that FRA 
will consider a locomotive with a dual-lamp headlight fixture that is 
equipped with two PAR-56, 350-watt, 75-volt lamps to meet the 200,000-
candela requirement contained in Sec.  229.125(a), provided both lamps 
are operative. If either lamp in such a configuration becomes 
inoperative, the locomotive is to be handled in accordance with the 
movement-for-repair provisions contained in Sec.  229.9. Similarly, the 
Interim Final Rule made clear that FRA will continue to consider a 
headlight fixture equipped with a single operative PAR-56, 200-watt, 
30-volt lamp to meet the intensity requirement of Sec.  229.125(a) 
because such a lamp is capable of individually producing 200,000 
candela. This final rule retains the amendments made in the Interim 
Final Rule to the regulatory language contained in Sec.  229.125(a) to 
specifically include the interpretations and clarifications discussed 
above. It should be noted that FRA expects railroads to have some 
method or procedure in place which notifies the operating crew and 
mechanical employees of the type of lamps being utilized in the 
locomotive headlight fixture in order that the locomotive can be 
properly handled for repairs, if necessary.

B. Auxiliary Lights: Sec.  229.125(d)(2)

    The regulatory provisions related to locomotive auxiliary lights 
are found at Sec.  229.125(d) through (h) and Sec.  229.133. These 
requirements were added to the

[[Page 12535]]

regulations between 1993 and 1996 and were established through a 
rulemaking that began with a 1993 interim final rule, containing 
interim provisions related to auxiliary lights, and then proceeded to a 
1995 NPRM proposing many of the auxiliary light provisions that were 
ultimately issued in the 1996 final rule. See 58 FR 6899 (February 3, 
1993), 60 FR 44457 (August 28, 1995), and 61 FR 8881 (March 6, 1996). 
At this time, the provisions relating to auxiliary lights contained in 
Sec.  229.133 are for the most part superseded by similar provisions 
contained at Sec.  229.125, except to the extent that certain types of 
auxiliary lights were ``super-grandfathered'' as meeting the 
requirements of Sec.  229.125. See 61 FR 8885-86 and Sec.  229.133(c). 
Although these documents require that each prescribed auxiliary light 
produce 200,000 candela, none of them directly discusses FRA's 
rationale for including the specified luminous intensity. It can be 
assumed that the 200,000-candela requirement was based on the headlight 
provision discussed above. Moreover, at the time the auxiliary light 
provisions were added to the regulations, both the 200-watt and 350-
watt lamps were believed to be capable of producing 200,000 candela. 
Consequently, when FRA incorporated the 200,000-candela requirement 
into the auxiliary light provisions, it is clear that FRA was merely 
attempting to describe the locomotive lamps being used by the industry 
at that time.
    As part of the auxiliary light rulemaking, FRA's Office of Research 
and Development, through Volpe, studied the impact of auxiliary lights 
as alerting devices to improve locomotive conspicuity. The final report 
on this study was issued in July of 1995 under Report Number DOT/FRA/
ORD-95-13 (Volpe Report). The report is part of FRA Docket No. RSGC-2 
and is available online at: http://www.fra.dot.gov/rdv30/reports/index.htm. As part of this study, FRA evaluated various lighting 
systems. Four alerting light systems were evaluated for compliance with 
FRA's interim advisory standards, for costs, and for reliability. Field 
tests were also conducted on these lighting systems to determine their 
ability to increase an approaching train's visibility. These four 
alerting light systems included: standard locomotive headlights, 
crossing, ditch, and strobe lights. FRA utilized the data developed in 
this study as the basis for the auxiliary light provisions currently 
contained in Sec.  229.125(d) through (h). See 60 FR 44457; and 61 FR 
8881.
    Based on FRA's review of the Volpe Report and its supporting data 
and in light of data subsequently provided by General Electric Company 
(GE), FRA believes that use of either a 350-watt lamp or a 200-watt 
lamp in locomotive auxiliary lights meets FRA's intent when issuing the 
regulations pertaining to such fixtures. A review of the Volpe Report 
establishes that the lamps tested in the headlight, ditch light, and 
crossing light systems were all PAR-56, 350-watt, 75-volt lamps. See 
Volpe Report at Appendix D-4.
    Although the report notes that two 350-watt lamps sampled for 
luminous intensity produced peak intensity reading in excess of 200,000 
candela, there is no indication in the report that those specific lamps 
were ever used in any of the subsequent testing. One of these 
measurements was on an isocandela plot supplied to Volpe by Quest 
Corporation, the lamp vendor, based on data supplied by GE, the lamp 
manufacturer, and the second was from a test conducted by the U.S. 
Coast Guard for Volpe. See Volpe Report at Table 4-5 and Appendix C. 
Based on information recently provided by GE, FRA believes that the 
intensity readings on these two lamps were an anomaly in terms of peak 
intensity for 350-watt lamps. The data supplied by GE show that only 
one of 93 samples of the 350-watt lamp tested from 1994 to the present 
produced a maximum beam candle power above 250,000 candela. This fact 
leads FRA to suspect that the lamp for which data was supplied by Quest 
Corporation and the lamp that was tested by the Coast Guard in relation 
to the Volpe Report may have been the same lamp, which was not 
representative of the lamps actually used in the Volpe tests. In fact, 
the lamps used in the Volpe field tests (which validated the benefits 
of using auxiliary lights) were 350-watt lamps. A large proportion of 
the lamps used in the tests in all probability did not meet the 
luminous intensity requirement because they were from normal production 
runs which included a high proportion of lamps with a peak luminous 
intensity below the minimum 200,000 candela.
    In addition to the fact that the 350-watt lamp was used in the 
Volpe tests, FRA also believes that the 350-watt lamp currently being 
used in the industry provides equal, if not greater, benefits when used 
in auxiliary light fixtures than a 200-watt lamp capable of producing 
200,000 candela. The primary purpose of locomotive auxiliary lights is 
to enhance the visibility of the front-end locomotive of a train from 
the perspective of a driver of a motor vehicle approaching a grade 
crossing. See 61 FR 8881. With this purpose in mind, FRA believes that, 
due to the design of 350-watt lamps, they provide equal, if not 
greater, visibility to motorists approaching grade crossings. Although 
FRA used peak candela to describe the type of lamps to be used in 
auxiliary light fixtures, FRA believes that a more appropriate measure 
is the intensity of the light at an angle from the head of the 
locomotive. The Volpe Report indicates that the point of first 
detection of a train's auxiliary lights for a motorist approaching a 
grade crossing (205 feet from centerline of the tracks) occurred at 
approximately 1,550 feet, a point that is 7.5 degrees from the 
centerline of the locomotive. See Volpe Report at Section 5. The Volpe 
Report also indicates that the point at which the separation of the 
lamps in the headlight and auxiliary lights became detectable to an 
approaching motorist was at a distance of approximately 570 feet, a 
point that is 20 degrees from the centerline of the locomotive. Id. 
Based on this information, it is evident that the key intensity figure 
for an auxiliary light is the intensity of the light at angles of 
between 7.5 degrees and 20 degrees from the centerline of the 
locomotive.
    Although a 350-watt lamp does not generally produce a maximum beam 
candle power (MBCP) in excess of 200,000 candela, these lamps do 
produce a greater luminous intensity over a broader angle off the beam 
centerline than the traditional 200-watt lamp capable of producing a 
MBCP in excess of 200,000 candela. In fact, the available data clearly 
establish that the currently produced 350-watt lamp has a higher light 
intensity at any angle greater than 3.5 degrees off the centerline when 
compared to the more traditional 200-watt lamp used on older 
locomotives. Thus, the 350-watt lamps are particularly well suited for 
use in auxiliary light locations, which are primarily intended to be 
seen by motorists well away from an approaching grade crossing. 
Consequently, FRA believes that available data support a determination 
that the 350-watt lamp currently being produced and which has been 
permitted to be used in most newer locomotive auxiliary light fixtures 
since the mid-1990s, actually enhances the ability of a motorist to 
detect an oncoming train.
    In addition to the supporting data, FRA also notes that it has 
accepted the use of both 200-watt and 350-watt lamps since they began 
being used in auxiliary light fixtures beginning in the early to mid-
1990s. It should also be noted that grade crossing accidents, deaths, 
and injuries have dropped sharply since the introduction of the 350-
watt auxiliary lights in the mid-1990s. Furthermore,

[[Page 12536]]

FRA is not aware of any complaints by operating crews or any 
deficiencies being noted by its field inspectors related to the 
luminous intensity produced by the 350-watt lamps since they began 
being used in locomotives. Moreover, FRA is not aware of any private 
litigation where the intensity of the light produced by a locomotive's 
auxiliary lights was brought into question.
    In order to reflect FRA's intent when issuing the regulations 
related to auxiliary lights and to incorporate FRA's existing 
enforcement posture with regard to the use of 350-watt lamps, the 
Interim Final Rule amended the regulatory provisions relating to the 
auxiliary light provisions contained at Sec.  229.125(d)(2) to 
specifically permit the continued use of 350-watt lamps. FRA received 
no specific substantive objections to the clarifying amendments made in 
the Interim Final Rule. Therefore, this final rule retains the 
clarifying amendments made in the Interim Final Rule with minor changes 
for consistency and clarity. FRA continues to believe this modification 
is necessary to ensure that there is no misunderstanding by either the 
regulated community or its field inspectors with regard to FRA's 
position. The modification makes clear that FRA will accept the use of 
either a lamp capable of producing at least 200,000 candela (a PAR-56, 
200-watt, 30-volt lamp) or a lamp capable of producing a minimum of 
3,000 candela at 7.5 degrees and a minimum of 400 candela at 20 degrees 
from the centerline of the locomotive when the lamp is aimed parallel 
to the tracks (either a PAR-56, 200-watt, 30-volt lamp or a PAR-56, 
350-watt, 75-volt lamp). The light intensities specified in the Interim 
Final Rule and retained in this final rule are based on the luminous 
intensity produced at those angles by a PAR-56, 200-watt, 30-volt lamp 
(according to data supplied by GE) when such a lamp is aimed parallel 
to the tracks. FRA continues to believe this is the most appropriate 
measure because the agency has interpreted the regulations as 
permitting this light intensity since their inception. Thus, acceptance 
of a lamp that produces an equivalent or greater intensity at these 
critical angles is consistent with the intent and purpose of the 
auxiliary light provisions when originally prescribed and is consistent 
with FRA's goal of promoting and facilitating new technologies. In 
furtherance of this goal, FRA also notes that, although the 
modification made to the regulation by the Interim Final Rule and 
retained in this final rule identifies specific lamps as meeting the 
specified criteria, the modification also acknowledges that lamps of 
equivalent design and capable of producing equivalent light intensities 
would be considered acceptable by FRA.

Related Provisions

    Although there are provisions contained in Sec. Sec.  229.133 and 
238.443 that reference the use of lamps producing at least 200,000 
candela, FRA does not intend to change any of the language contained in 
those provisions at this time. Section 229.133 contains interim 
locomotive conspicuity measures that were incorporated into the 
regulations in 1993 while the final provisions related to locomotive 
auxiliary lights were being developed. See 58 FR 6899; 60 FR 44457; and 
61 FR 8881. Although locomotives equipped with one of the specified 
interim conspicuity measures were ``grandfathered'' or exempted from 
the subsequent auxiliary light provisions included in Sec.  229.125, 
that grandfathering expired on March 6, 2000. See 61 FR 8885 and Sec.  
229.125(d). When issuing the final rule related to locomotive auxiliary 
lights in 1996, FRA did ``super-grandfather'' certain locomotives if 
equipped with some of the auxiliary conspicuity measures specified in 
Sec.  229.133, which included: oscillating lights; strobe lights; and 
auxiliary lights if spaced at least 44 inches apart. See 61 FR 8885 and 
Sec.  229.133(c). Of the three types of measures ``super-
grandfathered,'' only the provision related to oscillating lights 
specifies the use of a lamp capable of producing at least 200,000 
candela. See Sec.  229.133(c)(1) through (c)(3). As there are very few 
locomotives currently being operated that are equipped with oscillating 
lights and because FRA has no data related to the impact of utilizing 
350-watt lamps in single-lamp oscillating light fixtures, FRA is not in 
a position to accept the use of such lamps in these devices at this 
time. However, FRA will continue to accept the use of 350-watt lamps in 
those circumstances where an oscillating light is used in conjunction 
with the auxiliary lights described in Sec.  229.125, and in 
circumstances where an oscillating light under Sec.  
229.133(b)(4)(i)(A) consists of a dual-lamp fixture equipped with two 
operative 350-watt lamps.
    The requirements related to Tier II passenger equipment also 
contain a requirement that Tier II power cars be equipped with 
headlights that produce at least 200,000 candela. See Sec.  238.443. 
However, contrary to the headlight provisions in part 229, which 
require that a locomotive be equipped with at least one headlight, the 
provision in Sec.  238.443 requires each Tier II power car to be 
equipped with at least two headlights and that each headlight produce 
no less than 200,000 candela. Id. Moreover, the present design of the 
headlights on Tier II power cars utilizes a single lamp in each of the 
two required headlight fixtures. Thus, the preceding discussion related 
to FRA's acceptance of the use of 350-watt lamps in traditional 
locomotives covered under the provisions of Sec.  229.125(a), is not 
applicable to the headlights on Tier II power cars, which are 
separately addressed in part 238.

General Information

    FRA wishes to inform all potential commenters that anyone is able 
to search the electronic form of all comments received into any agency 
docket by the name of the individual submitting the comment (or signing 
the comment, if submitted on behalf of an association, business, labor 
union, etc.). You may review DOT's complete Privacy Act Statement in 
the Federal Register published on April 11, 2000 (Volume 65, Number 70; 
Pages 19477-78) or you may visit http://dms.dot.gov.

Regulatory Impact

Executive Order 12866 and DOT Regulatory Policies and Procedures

    This final rule has been evaluated in accordance with Executive 
Order 12866 and DOT policies and procedures. The modifications retained 
in this final rule are not considered significant because they are 
intended merely to clarify FRA's intent when issuing the final rule 
related to auxiliary lights and to incorporate existing FRA enforcement 
policies related to locomotive headlights and auxiliary lights. The 
economic impact of the modifications and clarifications contained in 
this final rule will not generally affect the cost of compliance with 
the existing regulations.

Regulatory Flexibility Act

    The Regulatory Flexibility Act of 1980 (5 U.S.C. 601 et seq.) 
requires a review of rules to assess their impact on small entities. 
FRA certifies that this final rule does not have a significant impact 
on a substantial number of small entities. Because the modifications 
retained in this document either clarify existing regulatory 
requirements, codify existing enforcement policy, or are consistent 
with FRA's intent when issuing the original regulatory provisions, FRA 
has concluded that there are no substantial

[[Page 12537]]

economic impacts on small units of government, businesses, or other 
organizations.

Paperwork Reduction Act

    This final rule does not change any of the information collection 
requirements contained in the original regulatory provisions being 
amended.

Environmental Impact

    FRA has evaluated this final 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 document 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) of FRA's Procedures.

Federalism Implications

    FRA believes it is in compliance with Executive Order 13132. 
Because the modifications retained in this document either clarify 
existing regulatory requirements, codify existing enforcement policy, 
or are consistent with FRA's intent when issuing the original 
regulatory provisions, this document will not have a substantial effect 
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. This final rule will not have 
federalism implications that impose any direct compliance costs on 
State and local governments.

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 $100,000,000 or more (adjusted 
annually for inflation) in any 1 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. 
Because the modifications retained in this document either clarify 
existing regulatory requirements, codify existing enforcement policy, 
or are consistent with FRA's intent when issuing the original 
regulatory provisions, this document will not result in the 
expenditure, in the aggregate, of $100,000,000 or more in any one year, 
and thus preparation of such a statement is not required.

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. Because the modifications retained in this document either 
clarify existing regulatory requirements, codify existing enforcement 
policy, or are consistent with FRA's intent when issuing the original 
regulatory provisions, FRA has determined that this document will not 
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.

List of Subjects in 49 CFR Part 229

    Auxiliary lights, Headlights, Locomotives, Railroad safety.

Adoption of the Amendment

0
In consideration of the foregoing, part 229 of chapter II of title 49 
of the Code of Federal Regulations is amended to read as follows:

PART 229--RAILROAD LOCOMOTIVE SAFETY STANDARDS

0
1. The authority citation for Part 229 continues to read as follows:

    Authority: 49 U.S.C. 20102-03, 20107, 20133, 20137-38, 20143, 
20701-03, 21301-02, 21304; 49 CFR 1.49(c), (m).

0
2. Section 229.125 is amended by revising paragraphs (a) and (d)(2) to 
read as follows:


Sec.  229.125  Headlights and auxiliary lights.

    (a) Each lead locomotive used in road service shall have a 
headlight that produces a peak intensity of at least 200,000 candela. 
If a locomotive or locomotive consist in road service is regularly 
required to run backward for any portion of its trip other than to pick 
up a detached portion of its train or to make terminal movements, it 
shall also have on its rear a headlight that produces at least 200,000 
candela. Each headlight shall be arranged to illuminate a person at 
least 800 feet ahead and in front of the headlight. For purposes of 
this section, a headlight shall be comprised of either one or two 
lamps.
    (1) If a locomotive is equipped with a single-lamp headlight, the 
single lamp shall produce a peak intensity of at least 200,000 candela. 
The following lamps meet the standard set forth in this paragraph 
(a)(1): a single operative PAR-56, 200-watt, 30-volt lamp; or an 
operative lamp of equivalent design and intensity.
    (2) If a locomotive is equipped with a dual-lamp headlight, a peak 
intensity of at least 200,000 candela shall be produced by the 
headlight based either on a single lamp capable of individually 
producing the required peak intensity or on the candela produced by the 
headlight with both lamps illuminated. If both lamps are needed to 
produce the required peak intensity, then both lamps in the headlight 
shall be operational. The following lamps meet the standard set forth 
in this paragraph (a)(2): a single operative PAR-56, 200-watt, 30-volt 
lamp; two operative PAR-56, 350-watt, 75-volt lamps; or operative 
lamp(s) of equivalent design and intensity.
* * * * *
    (d) * * *
    (2) Each auxiliary light shall produce a peak intensity of at least 
200,000 candela or shall produce at least 3,000 candela at an angle of 
7.5 degrees and at least 400 candela at an angle of 20 degrees from the 
centerline of the locomotive when the light is aimed parallel to the 
tracks. Any of the following lamps meet the standard set forth in this 
paragraph (d)(2): an operative PAR-56, 200-watt, 30-volt lamp; an 
operative PAR-56,350-watt,

[[Page 12538]]

75-volt lamp; or an operative lamp of equivalent design and intensity.
* * * * *

    Issued in Washington, DC, on March 10, 2004.
Allan Rutter,
Federal Railroad Administrator.
[FR Doc. 04-5913 Filed 3-15-04; 8:45 am]
BILLING CODE 4910-06-P