limited to using only cab end 2 for trainset A as the leading end for
all revenue service movements.
     Example 2 (Trainset A, with cab ends 1 and 2): In this
example, the trainset's entire image recording system has been
discovered as non-functional (either each cab end has non-functional
image recording devices, or some other failure is affecting the image
recording system's functionally as a whole), and has been properly
taken out of service under Sec.  299.449(i)(2). Trainset A can remain
in service only until the next pre-service inspection required under
the railroad's inspection, testing, and maintenance program, and then
the railroad would be required to repair or replace the image recording
system for trainset A before returning it to revenue service.
    The distinction between the above examples is that in Example 2,
there is no cab end that can serve as the leading end for trainset A
while operating in revenue service.
    Finally, FRA has added paragraphs (k)(1) and (2) to provide the
same employee protections as described under Sec.  217.9(b)(3) and (4).
As the rationale for the requirements is the same as discussed under
Sec.  217.9(b)(3) and (4), FRA will rely on that discussion without
repeating here. FRA's omission of paragraph (k) in the NPRM to provide
these protections expressly was inadvertent, and notes that there are
some minor differences between paragraph (k) and Sec.  217.9(b)(3) and
(4) only to harmonize the language with that used in part 299 for TCRR.
Appendix A to Part 299--Criteria for Certification of Crashworthy Event
Recorder Memory Module
    FRA is revising the introductory paragraph of appendix A to part
299 to harmonize the language of the appendix with the introductory
paragraph of appendix D to part 229, reflecting the changes made in
this final rule.

VI. Regulatory Impact and Notices

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

    This final rule was designated as significant by the Office of
Information and Regulatory Affairs. The final rule follows the
direction of Executive Order 13563, which emphasizes the importance of
quantifying both costs and benefits, of reducing costs, of harmonizing
rules, and of promoting flexibility. However, FRA was unable to
determine how effective locomotive image recording devices will be at
reducing accidents. Thus, instead of presenting the quantifiable
benefits, FRA presents the benefits qualitatively, as discussed further
below. Details on the estimated costs of this final rule can be found
in the rule's economic analysis.
    This final rule directly responds to the Congressional mandate in
section 11411 of the FAST Act that FRA, by delegation from the
Secretary, require each railroad that provides intercity rail passenger
or commuter rail passenger transportation to install image recording
devices on the controlling locomotives of its passenger trains. The
requirements of this final rule, as applied to passenger trains, are
directly or implicitly required by the Statute and will promote
railroad safety.
    FRA has prepared and placed an RIA addressing the economic impact
of this final rule in the rulemaking docket (Docket no. FRA-2016-0036).
The RIA provides estimates of the costs of this final rule that are
likely to be incurred over a ten-year period. FRA estimates the low-
and high-range costs of this final rule using discount rates of 3 and 7
percent in the tables below.

                  Table 1--Total 10-Year Costs of Locomotive Image Recording Devices, Low Range
                                    [Costs are in 2018 dollars, in millions]
----------------------------------------------------------------------------------------------------------------
                                       Discounted at 7%   Discounted at 3%   Annualized at 7%   Annualized at 3%
----------------------------------------------------------------------------------------------------------------
Costs...............................              $42.2              $46.2               $6.0               $5.4
Cost Savings........................                2.0                2.4                0.3                0.3
                                     ---------------------------------------------------------------------------
    Net Costs.......................               40.2               43.9                5.7                5.1
----------------------------------------------------------------------------------------------------------------

                 Table 2--Total 10-Year Costs of Locomotive Image Recording Devices, High Range
                                                  [In millions]
----------------------------------------------------------------------------------------------------------------
                                       Discounted at 7%   Discounted at 3%   Annualized at 7%   Annualized at 3%
----------------------------------------------------------------------------------------------------------------
Costs...............................              $87.3              $94.0              $12.4              $11.0
Cost Savings........................                2.0                2.4                0.3                0.3
                                     ---------------------------------------------------------------------------
    Net Costs.......................               85.3               91.6               12.1               10.7
----------------------------------------------------------------------------------------------------------------

    As discussed in the preamble above, FRA may consider
crashworthiness protection requirements unnecessary (or met) in the
future for passenger locomotive image recording device memory modules
if recorded data is stored at a remote location away from a locomotive
consist, safe from accident destruction. FRA did not require this
option because the agency does not believe current technology would
reliably allow for such remote transmission and storage in all
instances, and such a system would likely be much costlier to develop
in order to transfer the recorded data to a centralized location.
    In the 2015 Amtrak accident in Philadelphia, Pennsylvania, image
recording devices could have helped provide additional causal
information during the post-accident investigation. Causal data is
especially critical for the prevention of future accidents when no
apparent accident cause can be determined through other means. Further,
images can become key to identifying new safety concerns that otherwise
would be difficult to research or identify, which could lead FRA and
the railroad industry to better understand areas in which safety could
be improved. Other safety benefits will also primarily accrue from the
deterrence of unsafe behaviors that cause railroad accidents. For
instance, the presence of locomotive image recording devices could have
deterred the engineer from text messaging while operating the Metrolink
train involved in the 2008 accident at Chatsworth, California. In the
RIA, FRA discusses and provides examples of how the deterrent effect of
locomotive image recording devices could reduce negative behavior
because train crews know their actions are being recorded.\64\
---------------------------------------------------------------------------

    \64\ See Benefits, Section VIII, of the RIA for more
information.
---------------------------------------------------------------------------

    The primary source of expected benefits is the potential reduction
in safety risk. FRA conducted a literature review to determine the
effectiveness rate of inward- and outward-facing recording devices, but
was unable to determine an appropriate rate. The benefits for the final
rule are qualitatively discussed. The reduction in safety risk is
expected to come primarily from the change in crew behavior. Railroads
can deter unsafe behavior if crewmembers realize their actions may be
observed on a frequent, but random, basis by railroad supervisors.
Locomotive image recorders cannot directly prevent an accident from
occurring, but rather can provide investigators with information after
an accident occurs that can help to prevent future accidents of that
type from occurring.
    Although FRA is declining to require locomotive recording devices
in freight locomotives, many freight railroads have informed FRA the
above reasons are why railroads install camera systems even without an
FRA regulation. FRA's analysis shows there are many factors that are
difficult to quantify that combine to warrant the final rule.
    Tables: Costs of the final rule:

                               Table 3--10-Year Costs and Cost Savings (Low Range)
                                                  [In millions]
----------------------------------------------------------------------------------------------------------------
                                                   Discounted at   Discounted at   Annualized at   Annualized at
                                   Undiscounted         7%              3%              7%              3%
----------------------------------------------------------------------------------------------------------------
Costs:
    Camera......................           $40.6           $34.6           $37.7            $4.9            $4.4
    Crashworthiness.............             9.2             7.5             8.4             1.1             1.0
    Administrative Costs........             0.1             0.1             0.1             0.0             0.0
    Governmental Costs..........           0.004           0.004           0.004          0.0006          0.0005
                                 -------------------------------------------------------------------------------
        Total Costs.............            49.9            42.2            46.2             6.0             5.4
Cost Savings:
    Operational Testing.........             2.7             2.0             2.4             0.3             0.3
                                 -------------------------------------------------------------------------------
        Net Costs...............            47.2            40.2            43.9             5.7             5.1
----------------------------------------------------------------------------------------------------------------

                              Table 4--10-Year Costs and Cost Savings (High Range)
                                                  [In millions]
----------------------------------------------------------------------------------------------------------------
                                                   Discounted at   Discounted at   Annualized at   Annualized at
                                   Undiscounted         7%              3%              7%              3%
----------------------------------------------------------------------------------------------------------------
Costs:
    Camera......................           $90.6           $79.7           $85.5           $11.3           $10.0
    Crashworthiness.............             9.2             7.5             8.4             1.1             1.0
    Administrative Costs........             0.1             0.1             0.1             0.0             0.0
    Governmental Costs..........           0.004           0.004           0.004          0.0006          0.0005
                                 -------------------------------------------------------------------------------
        Total Costs.............            99.9            87.3            94.0            12.4            11.0
Cost Savings:
    Operational Testing.........             2.7             2.0             2.4             0.3             0.3
                                 -------------------------------------------------------------------------------
        Net Costs...............            97.2            85.3            91.6            12.1            10.7
----------------------------------------------------------------------------------------------------------------

B. Regulatory Flexibility Act and Executive Order 13272; Certification

    The Regulatory Flexibility Act of 1980 (5 U.S.C. 601 et seq.) and
Executive Order 13272 (67 FR 53461, Aug. 16, 2002) require agency
review of proposed and final rules to assess their impacts on small
entities. An agency must prepare a Final Regulatory Flexibility
Analysis (FRFA) unless it determines and certifies that a rule, if
promulgated, would not have a significant economic impact on a
substantial number of small entities. As discussed below, FRA does not
believe this final rule will have a significant economic impact on a
substantial number of small entities.
    Under section 312 of the Small Business Regulatory Enforcement
Fairness Act of 1996, Public Law 104-121, FRA has issued a final policy
statement that formally establishes ``small entities'' as railroads
that meet the line-haulage revenue requirements of a Class III
railroad, 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 49 CFR part 209, app. C.
    This final rule will apply to railroad carriers that provide
regularly scheduled intercity rail or commuter rail passenger
transportation to the public. FRA notes that one passenger railroad is
considered a small entity: the Hawkeye Express (operated by the Iowa
Northern Railway Company). All other passenger railroad operations in
the United States are part of larger governmental entities whose
service jurisdictions exceed 50,000 in population, and, based on the
definition, are not considered small entities. Hawkeye Express is a
short-haul passenger railroad that does not provide commuter or
intercity passenger service, and therefore will not be affected by the
final rule. Additionally, the Hawkeye Express has not been in operation
for at least the past two years. FRA does not believe that the
provisions of the final rule will significantly impact a substantial
number of small entities.
    FRA invited all interested parties to submit comments, data, and
information demonstrating the potential economic impact on any small
entity that would result from the adoption of the final rule. During
the NPRM comment period, FRA did not receive any comments from the
public or stakeholders regarding the impact that the final rule would
have on small entities.
    Accordingly, the FRA Administrator hereby certifies this rule will
not have a significant economic impact on a substantial number of small
entities.

C. Paperwork Reduction Act

    The information collection requirements in this final rule are
being submitted to the Office of Management and Budget (OMB) for review
and approval in accordance with the Paperwork Reduction Act of 1995 (44
U.S.C. 3501 et seq.). The sections that contain the new information and
current information collection requirements and the estimated time to
fulfill each requirement are as follows:

--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                                Total cost
        CFR section \65\               Respondent universe         Total annual responses     Average time per responses   Total annual     equivalent
                                                                                burden hours        \66\
--------------------------------------------------------------------------------------------------------------------------------------------------------
217.7(a)--Operating rules;        2 new railroads.............  2 documents................  1 hour.....................               2            $154
 filing and recordkeeping--
 Filing of code of operating
 rules, timetables, and
 timetable special instructions
 by Class I, Class II, Amtrak,
 and commuter railroads with FRA.
    --(b) Amendments to code of   53 railroads................  312 revised documents......  20 minutes.................             104           8,008
     operating rules,
     timetables, and timetable
     special instructions by
     Class I, Class II, Amtrak,
     and commuter railroads with
     FRA.
    --(c) Class III and other     2 new railroads.............  2 documents................  1 hour.....................               2             154
     railroads--Copy of code of
     operating rules,
     timetables, and timetable
     special instructions at
     system headquarters.
    --(c) Class III and other     714 railroads...............  1,596 amendments...........  15 minutes.................             399          30,723
     railroads--Amendments to
     code of operating rules,
     timetables, and timetable
     special instructions at
     system headquarters.
217.9(b)(2)--Program of           765 railroads...............  4,732 records..............  2 minutes..................             158          12,166
 operational tests and
 inspections; recordkeeping--
 Written records documenting
 qualification of each railroad
 testing officer.
    --(b)(3) Development and      36 railroads................  12 adopted procedures......  24 hours...................             288          34,560
     adoption of procedure
     ensuring random selection
     of employees by railroads
     utilizing inward-facing
     locomotive and in-cab audio
     recordings to conduct
     operational tests and
     inspections (New
     requirement).
    --(c) Written program of      2 new railroads.............  2 programs.................  10 hours...................              20           2,400
     operational tests and
     inspections.
    --(d)(1) Records of           765 railroads...............  9,120,000 test records and   5 minutes..................         760,000      58,520,000
     operational tests/                                          updates.
     inspections.
    --(d)(2) Railroad copy of     53 railroads................  159 program revisions......  70 minutes.................             186          14,322
     current program operational
     tests/inspections--
     Amendments.
    --(e)(1)(i) Written           8 (Amtrak + 7 Class I)        32 reviews.................  2 hours....................              64           4,928
     quarterly review of           railroads.
     operational tests/
     inspections by RRs other
     than passenger RRs.
    --(e)(1)(ii) 6-month review   7 Class I railroads.........  14 reviews.................  2 hours....................              28           2,156
     of operational tests/
     inspections/naming of
     officer.
    --(e)(2) 6-month review by    35 (Amtrak + 34 passenger)    70 reviews.................  2 hours....................             140          10,780
     passenger railroads           railroads.
     designated officers of
     operational testing and
     inspection data.
    --(e)(3) Records of periodic  50 railroads................  116 records................  1 minute...................               2             154
     reviews.
    --(f)-(g) Annual summary of   50 railroads................  71 summary records.........  1 hour.....................              71           5,467
     operational tests and
     inspections.
    --(h)(1)(i) RR amended        765 railroads...............  6 revised programs.........  30 minutes.................               3             231
     program of operational
     tests/inspections.
    --(h)(1)(ii) FRA disapproval  765 railroads...............  6 supporting documents.....  1 hour.....................               6             462
     of RR program of
     operational tests/
     inspections and RR written
     response in support of
     program.
217.11(a)--RR periodic            2 new railroads.............  2 written programs.........  8 hours....................              16           1,232
 instruction of employees on
 operating rules--New railroads.

217.11(b)--RR copy of amendment   765 railroads...............  110 modified written         30 minutes.................              55           4,235
 of program for periodic                                         programs.
 instruction of employees.
218.95(a)(5)-(b)--Instruction,    765 railroads...............  85,600 employees' records..  1 minute...................           1,427         109,879
 training, examination--Employee
 records.
    --(c)(1)(i) Amended RR        765 railroads...............  5 amended programs.........  30 minutes.................               3             231
     program of instruction,
     testing, examination.
218.97(b)(4)--RR copy of good     765 railroads...............  4,732 copies to new          6 minutes..................             473          36,421
 faith challenge procedures.                                     employees.
218.97(c)(1) and (c)(4)--RR       10 workers..................  10 gd. faith challenges....  15 minutes.................               3             231
 employee good faith challenge
 of RR directive.
    --(c)(5) RR resolution of     2 new railroads.............  5 responses................  15 minutes.................               1              77
     employee good faith
     challenge.
    --(d)(1) RR officer           2 new railroads.............  3 reviews..................  30 minutes.................               2             154
     immediate review of
     unresolved good faith
     challenge.
    --(d)(2) RR officer           2 new railroads.............  3 answers..................  15 minutes.................               1              77
     explanation to employee
     that Federal law may
     protect against employer
     retaliation for refusal to
     carry out work if employee
     refusal is a lawful, good
     faith act.
    --(d)(3) Employee written/    2 new railroads.............  3 written protests.........  15 minutes.................               1              77
     electronic protest of
     employer final decision.
    --(d)(3) Employee copy of     2 new railroads.............  3 copies...................  1 minute...................             0.1               8
     protest.
    --(d)(4) Employer further     2 new railroads.............  2 further reviews..........  15 minutes.................             0.5              39
     review of good faith
     challenge after employee
     written request.
    --(d)(4) RR verification      2 new railroads.............  2 decisions................  15 minutes.................             0.5              39
     decision to employee in
     writing.
    --(e) Recordkeeping and       765 railroads...............  765 copies.................  5 minutes..................              64           4,928
     record retention--
     Employer's copy of written
     procedures at division
     headquarters.
218.99(a)--Shoving or pushing     2 new railroads.............  2 rule modifications.......  1 hour.....................               2             154
 movement--RR operating rule
 complying with section's
 requirements.
218.101(a)-(c)--Leaving           2 new railroads.............  2 rule modifications.......  30 minutes.................               1              77
 equipment in the clear--
 Operating rule that complies
 with this section.
218.103(a)(1)--Hand-Operated      2 new railroads.............  2 rule modifications.......  30 minutes.................               1              77
 Switches--Operating Rule that
 Complies with this section.
229.22--Locomotive image          36 railroads................  4,500 passenger locomotives  15 minutes.................           1,125          86,625
 recording systems--Form FRA F
 6180-49AP (New requirements)
 \67\.
229.136(f)(1)--Passenger          36 railroads................  12 c of c procedures.......  48 hours...................             576          44,352
 railroads adoption and
 development of chain of custody
 (c of c) procedures (New
 requirements).
    --(f)(2)-(3) Passenger        36 railroads................  140 saved recordings.......  10 minutes.................              23           1,771
     railroad preservation of
     accident/incident data of
     image and audio recording
     system from locomotive
     using such system at time
     of accident/incident
     (includes voluntary freight
     railroads & restates
     previous requirement under
     section 229.135(e)) (New
     requirements).
    --(g) Locomotive image        36 railroads................  12 descriptions/plans......  20 hours...................             240          18,480
     recording system approval
     process--Description of
     technical aspects any
     locomotive image recording
     system to FRA for approval
     (New requirements).
                                 -----------------------------------------------------------------------------------------------------------------------
        Total...................  765 railroads...............  9,223,047 responses........  N/A........................         765,488      58,955,829
--------------------------------------------------------------------------------------------------------------------------------------------------------

    All estimates include the time for reviewing instructions;
searching existing data sources; gathering or maintaining the needed
data; and reviewing the information.
---------------------------------------------------------------------------

    \65\ FRA anticipates that no procedures will be disapproved
under Sec.  217.9(b)(4). Additionally, the burdens associated under
Sec.  299.449 and appendix A to part 299 have been accounted for
under the burden associated with Sec.  229.136(f) and (g).
    \66\ The dollar equivalent cost is derived from the Surface
Transportation Board's Full Year Wage A&B data series using the
appropriate employee group hourly wage rate that includes 75-percent
overhead charges.
    \67\ The burdens for Sec. Sec.  229.21, 229.136(a)(3), (e)(2),
and 229.139(i) are covered under Sec.  229.22.
---------------------------------------------------------------------------

    For information or a copy of the paperwork package submitted to
OMB, contact Ms. Arlette Mussington, Information Collection Clearance
Officer, at email: [email protected] or telephone: (571) 609-
1285 or Ms. Joanne Swafford, Information Collection Clearance Officer,
at email: [email protected] or telephone:<PHONE_NUMBER>.
    Organizations and individuals desiring to submit comments on the
collection of information requirements should direct them to Ms.
Arlette Mussington, Information Collection Clearance Officer, at email:
[email protected] or telephone:<PHONE_NUMBER> or Ms. Joanne
Swafford, Information Collection Clearance Officer, at email:
[email protected] or telephone:<PHONE_NUMBER>.
    OMB must make a decision concerning the collection of information
requirements contained in this 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 received two public
comments on the information collection requirements contained in the
NPRM.
    FRA is not authorized to impose a penalty on persons for violating
information collection requirements that do not display a current OMB
control number, if required. The current OMB control number for this
rule is 2130-0035.

D. Federalism Implications

    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.
    FRA has analyzed this final rule under the principles and criteria
contained in Executive Order 13132. This final rule could affect State
and local governments to the extent that they sponsor, or exercise
oversight of, passenger railroads. Because this final rule is required
by Federal statute for passenger railroads under 49 U.S.C. 20168, the
consultation and funding requirements of Executive Order 13132 do not
apply. However, this final rule could have preemptive effect by
operation of law under certain provisions of the Federal railroad
safety statutes, specifically the former Locomotive Inspection Act and
the former Federal Railroad Safety Act of 1970, repealed and recodified
at 49 U.S.C. 20701 et seq. and 49 U.S.C. 20106, respectively. Section
20701 governs all ``parts and appurtenances'' of locomotives, and has
been held to occupy the field.\68\ 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 of
Transportation (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.
---------------------------------------------------------------------------

    \68\ See, e.g., Napier v. Atlantic Coastline RR. Co., 272 U.S.
605 (1926).
---------------------------------------------------------------------------

    In sum, FRA has analyzed this final rule under the principles and
criteria in Executive Order 13132. As explained above, FRA has
determined 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. 20701 et seq. and 49 U.S.C. 20106.
Therefore, preparation of a federalism summary impact statement for
this final rule is not required.

E. Environmental Impact

    Consistent with the National Environmental Policy Act (NEPA; 42
U.S.C. 4321 et seq.), the Council on Environmental Quality's NEPA
implementing regulations at 40 CFR parts 1500 through 1508, and FRA's
NEPA implementing regulations at 23 CFR part 771, FRA has evaluated
this final rule and determined that it is categorically excluded from
environmental review and therefore does not require the preparation of
an environmental assessment (EA) or environmental impact statement
(EIS). Categorical exclusions (CEs) are actions identified in an
agency's NEPA implementing regulations that do not normally have a
significant impact on the environment and therefore do not require
either an EA or EIS.\69\ Specifically, FRA has determined that this
final rule is categorically excluded from detailed environmental review
pursuant to 23 CFR 771.116(c)(15), ``[p]romulgation of rules, the
issuance of policy statements, the waiver or modification of existing
regulatory requirements, or discretionary approvals that do not result
in significantly increased emissions of air or water pollutants or
noise.''
---------------------------------------------------------------------------

    \69\ See 40 CFR 1508.4.
---------------------------------------------------------------------------

    The purpose of this rulemaking is to require commuter and intercity
passenger railroads to install recording devices on locomotives in
compliance with this rule and use those devices to help investigate and
prevent railroad accidents. This rule does not directly or indirectly
impact any environmental resources and will not result in significantly
increased emissions of air or water pollutants or noise. In analyzing
the applicability of a CE, FRA must also consider whether unusual
circumstances are present that would warrant a more detailed
environmental review.\70\ FRA has concluded that no such unusual
circumstances exist with respect to this final rule and it meets the
requirements for categorical exclusion under 23 CFR 771.116(c)(15).
---------------------------------------------------------------------------

    \70\ See 23 CFR 771.116(b).
---------------------------------------------------------------------------

    Pursuant to Section 106 of the National Historic Preservation Act
and its implementing regulations, FRA has determined this undertaking
has no potential to affect historic properties.\71\ FRA has also
determined that this rulemaking will not approve a project resulting in
a use of a resource protected by Section 4(f).\72\ Further, FRA
reviewed this final rule and found it consistent with Executive Order
14008, Tackling the Climate Crisis at Home and Abroad.
---------------------------------------------------------------------------

    \71\ See 54 U.S.C. 306108.
    \72\ See Department of Transportation Act of 1966, as amended
(Pub. L. 89-670, 80 Stat. 931); 49 U.S.C. 303.
---------------------------------------------------------------------------

F. Executive Order 12898 (Environmental Justice)

    Executive Order 12898, Federal Actions to Address Environmental
Justice in Minority Populations and Low-Income Populations, and DOT
Order 5610.2C (require DOT agencies to achieve environmental justice as
part of their mission by identifying and addressing, as appropriate,
disproportionately high and adverse human health or environmental
effects, including interrelated social and economic effects, of their
programs, policies, and activities on minority populations and low-
income populations. The DOT Order instructs DOT agencies to address
compliance with Executive Order 12898 and requirements within the DOT
Order in rulemaking activities, as appropriate. FRA has evaluated this
final rule under Executive Order 12898 and the DOT Order and has
determined it will not cause disproportionately high and adverse human
health and environmental effects on minority populations or low-income
populations.

G. Executive Order 13175 (Tribal Consultation)

    FRA has evaluated this final rule under the principles and criteria
in Executive Order 13175, Consultation and Coordination with Indian
Tribal Governments, dated November 6, 2000. The final rule will not
have a substantial direct effect on one or more Indian tribes, will not
impose substantial direct compliance costs on Indian Tribal
Governments, and will not preempt tribal laws. Therefore, the funding
and consultation requirements of Executive Order 13175 do not apply,
and a tribal summary impact statement is not required.

H. Unfunded Mandates Reform Act of 1995

    Under 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 Unfunded Mandates Reform 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. This final rule will not
result in the expenditure, in the aggregate, of $100,000,000 or more
(as adjusted annually for inflation) in any one year, and thus
preparation of such a statement is not required.

I. Energy Impact

    Executive Order 13211 requires Federal agencies to prepare a
Statement of Energy Effects for any ``significant energy action.'' \73\
FRA evaluated this final rule in accordance with Executive Order 13211
and determined that this regulatory action is not a ``significant
energy action'' within the meaning of the Executive order.
---------------------------------------------------------------------------

    \73\ 66 FR 28355 (May 22, 2001).
---------------------------------------------------------------------------

J. 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 are safety standards, which,
as noted, are not considered unnecessary obstacles to trade.

K. Congressional Review Act

    Pursuant to the Congressional Review Act (5 U.S.C. 801 et seq.),
the Office of Information and Regulatory Affairs did not designate this
rule as a ``major rule'' as defined by 5 U.S.C. 804(2).

List of Subjects

49 CFR Part 217

    Occupational safety and health, Penalties, Railroad employees,
Railroad safety, Reporting and recordkeeping requirements.

49 CFR Part 218

    Locomotives, Occupational safety and health, Penalties, Railroad
employees, Railroad safety, and Tampering.

49 CFR Part 229

    Locomotives, Penalties, Railroad employees, Railroad safety,
Reporting and recordkeeping requirements.

49 CFR Part 299

    High-speed rail, Railroad safety, Reporting and recording
requirements, Tokaido Shinkansen.

The Final Rule

    For the reasons discussed in the preamble, FRA is amending chapter
II, subtitle B of title 49, Code of Federal Regulations, as follows:

PART 217--RAILROAD OPERATING RULES

    The authority citation for part 217 is revised to read as follows:

0
1. Authority: 49 U.S.C. 20103, 20107, 20168, 28 U.S.C. 2461, note; and
49 CFR 1.89.

Subpart A--General

0
2. In Sec.  217.9, add paragraphs (b)(3) and (4) to read as follows:

Sec.  217.9   Program of operational tests and inspections;
recordkeeping.

* * * * *
    (b) * * *
    (3) A passenger railroad that utilizes inward-facing locomotive
image or in-cab audio recordings to conduct operational tests and
inspections shall adopt and comply with a procedure in its operational
tests and inspections program that ensures employees are randomly
subject to such operational tests and inspections involving image or
audio recordings. The procedure adopted by a passenger railroad must:
    (i) Establish objective, neutral criteria to ensure every employee
subject to such operational tests and inspections is selected randomly
for such operational tests and inspections within a specified time
frame;
    (ii) Not permit subjective factors to play a role in selection,
i.e., no employee may be selected based on the exercise of a railroad's
discretion; and
    (iii) Require that any operational test or inspection using
locomotive image or audio recordings be performed within 72 hours of
the completion of the employee's tour of duty that is the subject of
the operational test. Any operational test performed more than 72 hours
after the completion of the tour of duty that is the subject of the
test is a violation of this section. The 72-hour limitation does not
apply to investigations of railroad accidents/incidents or to
violations of Federal railroad safety laws, regulations, or orders, or
any criminal laws.
    (4) FRA may review a passenger railroad's procedure implementing
paragraph (b)(3) of this section, and, for cause stated, may disapprove
such procedure under paragraph (h) of this section.
* * * * *

PART 218--RAILROAD OPERATING PRACTICES

0
3. The authority citation for part 218 continues to read as follows:

    Authority:  49 U.S.C. 20103, 20107, 20131, 20138, 20144, 20168;
28 U.S.C. 2461 note; and 49 CFR 1.89.

Subpart D--Prohibition Against Tampering With Safety Devices

0
4. In Sec.  218.53, revise paragraph (c) and add paragraph (d) to read
as follows:

Sec.  218.53   Scope and definitions.

* * * * *
    (c) Safety Device means any locomotive-mounted equipment used
either to assure the locomotive engineer is alert, not physically
incapacitated, and aware of and complying with the indications of a
signal system or other operational control system, or a system used to
record data concerning the operations of that locomotive or the train
it is powering. See appendix C to this part for a statement of agency
policy on this subject.
    (d) The provisions in Sec. Sec.  218.59 and 218.61 do not apply to
locomotive-mounted image or audio recording equipment on freight
locomotives.

0
5. Revise Sec.  218.61(c) to read as follows:

Sec.  218.61   Authority to deactivate safety devices.

* * * * *
    (c) If a locomotive in commuter or intercity passenger service is
equipped with a device to record data concerning the operation of that
locomotive or the train it is powering, that device may be deactivated
only under the provisions of Sec.  229.135 of this chapter. Inward- and
outward-facing image recording devices on commuter or intercity
passenger

locomotives may be deactivated only under the provisions of Sec.
229.136 of this chapter. This section does not apply to inward- or
outward-facing image recording devices that are installed on freight
locomotives.

0
6. In appendix C to part 218, revise the fifth sentence of the fourth
paragraph of appendix C to part 218 to read as follows:

Appendix C--Statement of Agency Enforcement Policy on Tampering

* * * * *

Safety Devices Covered by This Rule

    * * * This regulation applies to a variety of devices including
equipment known as ``event recorders,'' ``alerters,'' ``deadman
controls,'' ``automatic cab signal,'' ``cab signal whistles,''
``automatic train stop equipment,'' ``automatic train control
equipment,'' ``positive train control equipment,'' and ``passenger
locomotive-mounted image and audio recording equipment.'' * * *
* * * * *

PART 229--RAILROAD LOCOMOTIVE SAFETY STANDARDS

0
7. The authority citation for part 229 is revised to read as follows:

    Authority:  49 U.S.C. 20103, 20107, 20133, 20137-38, 20143,
20168, 20701-03, 21301-02, 21304, 28 U.S.C. 2461, note; and 49 CFR
1.89.

Subpart A--General

0
8. In Sec.  229.5, revise the definition of ``Event recorder memory
module'' and add, in alphabetical order, definitions of ``Image
recording system'' and ``Recording device'' to read as follows:

Sec.  229.5   Definitions.

* * * * *
    Event recorder memory module means that portion of an event
recorder used to retain the recorded data as described in Sec. Sec.
229.135(b) and 229.136(a) through (c).
* * * * *
    Image recording system means a system of cameras or other
electronic devices that record images as described in Sec.  229.136,
and any components that convert those images into electronic data
transmitted to, and stored on, a memory module.
* * * * *
    Recording device means a device that records images or audible
sounds, as described in Sec.  229.136.
* * * * *

Subpart B--Inspections and Tests

0
9. In Sec.  229.21, revise paragraphs (a) and (b) to read as follows:

Sec.  229.21  Daily inspection.

    (a) Except for MU locomotives, each locomotive in use shall be
inspected at least once during each calendar day. A written report of
the inspection shall be made. This report shall contain the name of the
carrier; the initials and number of the locomotive; the place, date and
time of the inspection; a description of the non-complying conditions
disclosed by the inspection; and the signature of the employee making
the inspection. Except as provided in Sec. Sec.  229.9, 229.136,
229.137, and 229.139, any conditions that constitute non-compliance
with any requirement of this part shall be repaired before the
locomotive is used. Except with respect to conditions that do not
comply with Sec. Sec.  229.136, 229.137, or 229.139, a notation shall
be made on the report indicating the nature of the repairs that have
been made. Repairs made for conditions that do not comply with
Sec. Sec.  229.136, 229.137, or 229.139 may be noted on the report, or
in electronic form. The person making the repairs shall sign the
report. The report shall be filed and retained for at least 92 days in
the office of the carrier at the terminal at which the locomotive is
cared for. A record shall be maintained on each locomotive showing the
place, date and time of the previous inspection.
    (b) Each MU locomotive in use shall be inspected at least once
during each calendar day and a written report of the inspection shall
be made. This report may be part of a single master report covering an
entire group of MU locomotives. If any non-complying conditions are
found, a separate, individual report shall be made containing the name
of the carrier; the initials and number of the locomotive; the place,
date, and time of the inspection; the non-complying conditions found;
and the signature of the inspector. Except as provided in Sec. Sec.
229.9, 229.136, 229.137, and 229.139, any conditions that constitute
non-compliance with any requirement of this part shall be repaired
before the locomotive is used. Except with respect to conditions that
do not comply with Sec. Sec.  229.136, 229.137, or 229.139, a notation
shall be made on the report indicating the nature of the repairs that
have been made. Repairs made for conditions that do not comply with
Sec. Sec.  229.136, 229.137, or 229.139 may be noted on the report, or
in electronic form. A notation shall be made on the report indicating
the nature of the repairs that have been made. The person making the
repairs shall sign the report. The report shall be filed in the office
of the carrier at the place where the inspection is made or at one
central location and retained for at least 92 days.
* * * * *

0
10. Add Sec.  229.22 to read as follows:

Sec.  229.22   Passenger locomotive inspection and repair record.

    (a) Application. This section applies only to lead locomotives of
trains used in commuter or intercity passenger service, i.e.,
locomotives subject to the requirements of Sec.  229.136.
    (b) Dates. (1) Each locomotive subject to the requirements of Sec.
229.136 shall use and maintain Form FRA F 6180-49AP in accordance with
the requirements of Sec.  229.136, except that Form FRA F 6180-49A may
fulfill any requirement in Sec.  229.136 with respect to Form FRA F
6180-49AP until October 12, 2027.
    (2) For purposes of complying with the inspection, testing, and
repair recordkeeping requirements in Sec. Sec.  229.23, 229.27, 229.29,
229.31, 229.33, 229.55, 229.103, 229.105, 229.114, 229.123, and 229.135
with respect to Form FRA F 6180-49A, each locomotive subject to the
requirements of Sec.  229.136 shall instead use and maintain Form FRA F
6180-49AP no later than October 12, 2027.
    (c) Earlier adoption. Railroads may adopt use of Form FRA F 6180-
49AP earlier than required for locomotives subject to the requirements
of Sec.  229.136.
    (d) Effect. Nothing in this section affects the requirements in
this part for use of Form FRA F 6180-49A for locomotives not subject to
the requirements of Sec.  229.136.

Subpart C--Safety Requirements

0
11. Add Sec.  229.136 to read as follows:

Sec.  229.136   Locomotive image and audio recording devices.

    (a) Duty to equip and record. (1) Effective October 12, 2027, each
lead locomotive of a train used in commuter or intercity passenger
service must be equipped with an image recording system to record
images of activities ahead of the locomotive in the direction of travel
(outward-facing image recording device), and of activities inside the
cab of the locomotive (inward-facing image recording device).
    (i) If the lead locomotive is equipped with an image recording
system, the system must be turned on and recording whenever a train is
in motion, at all train speeds.
    (ii) If operating circumstances cause the controlling locomotive to
be other than the lead locomotive, railroads must

also record images of activities inside the cab of the controlling
locomotive.
    (iii) Both cabs of a dual-cab locomotive shall be equipped with
inward- and outward-facing image recording systems. Image recordings
for only a dual-cab locomotive's active cab and the leading end of the
locomotive's movement are required to be made and retained.
    (2) Image recording systems installed after October 12, 2024, on
new, remanufactured, or existing lead locomotives used in commuter or
intercity passenger service shall meet the requirements of this
section. Lead locomotives used in commuter or intercity passenger
service must be equipped with an image recording system meeting the
requirements of this section no later than October 12, 2027.
    (3) For lead locomotives in commuter or intercity passenger
service, railroads must note the presence of any image or audio
recording systems in the REMARKS section of Form FRA F 6180-49AP in the
locomotive cab.
    (4) As required under paragraph (a)(1) or (2) of this section, the
image recording system shall record at least the most recent 12 hours
of operation of a lead locomotive in commuter or intercity passenger
service.
    (5) Locomotive recording device data for each lead locomotive used
in commuter or intercity passenger service shall be recorded on a
memory module meeting the requirements for a certified crashworthy
event recorder memory module described in appendix D to this part, or
on an alternative, remote storage system that provides at least
equivalent data protections and is approved by FRA under paragraph (g)
of this section.
    (i) Paragraph (a)(5) of this section applies to locomotive image
recording systems as required under paragraph (a)(1) or (2) of this
section.
    (ii) Audio recording systems installed after October 12, 2024, on
new, remanufactured, or existing lead locomotives used in commuter or
intercity passenger service shall meet the requirements of paragraph
(a)(5) of this section. Audio recording systems installed on lead
locomotives in commuter or intercity passenger service must meet the
requirements of paragraph (a)(5) of this section no later than October
12, 2027.
    (b) Outward-facing recording system requirements for lead
locomotives in commuter or intercity passenger service. (1) As required
under paragraph (a)(1) or (2) of this section, the image recording
system shall:
    (i) Include an image recording device aimed parallel to the
centerline of tangent track within the gauge on the front end of the
locomotive;
    (ii) Be able to distinguish the signal aspects displayed by wayside
signals;
    (iii) Record at a minimum frame rate of 15 frames per second (or
its equivalent) and have sufficient resolution to record the position
of switch points 50 feet in front of the locomotive;
    (iv) Be able to capture images in daylight or with normal nighttime
illumination from the headlight of the locomotive; and
    (v) Include an accurate time and date stamp on image recordings.
    (2) If a lead locomotive in commuter or intercity passenger service
experiences a technical failure of its outward-facing image recording
system, then the system shall be removed from service and handled in
accordance with paragraph (i) of this section.
    (c) Inward-facing image recording system requirements for lead
locomotives in commuter or intercity passenger service. (1) As required
under paragraph (a)(1) or (2) of this section, the image recording
system shall include an image recording device positioned to provide
complete coverage of all areas of the controlling locomotive cab where
a crewmember typically may be positioned, including complete coverage
of the instruments and controls required to operate the controlling
locomotive in normal use, and:
    (i) Have sufficient resolution to record crewmember actions;
    (ii) Record at a minimum frame rate of 5 frames per second;
    (iii) Be capable of using ambient light in the cab, and when
ambient light levels drop too low for normal operation, automatically
switch to infrared or another operating mode that enables the recording
sufficient clarity to comply with the requirements of this paragraph
(c)(1); and
    (iv) Include an accurate time and date stamp on image recordings.
    (2) No image recordings may be made of any activities within a
locomotive's sanitation compartment as defined in Sec.  229.5, and no
image recording device shall be installed in a location where the
device can record activities within a sanitation compartment.
    (3) If a lead locomotive in commuter or intercity passenger service
experiences a technical failure of its inward-facing image recording
system, the system shall be removed from service and handled in
accordance with paragraph (i) of this section.
    (d) Image and audio recording system protection requirements for
lead locomotives in commuter or intercity passenger service. Railroads
must provide convenient wired or wireless connections to allow
authorized railroad personnel to download audio or image recordings
from any certified crashworthy event recorder memory module in a lead
locomotive in commuter or intercity passenger service. The railroads
must use electronic security measures, and apply appropriate
cybersecurity measures, to prevent unauthorized access to, and
download, deletion, or alteration of, the recording system or its
recordings.
    (1) Paragraph (d) of this section applies to locomotive image
recording systems as required under paragraph (a)(1) or (2) of this
section.
    (2) Audio recording systems installed after October 12, 2024, on
new, remanufactured, or existing lead locomotives used in commuter or
intercity passenger service shall meet the requirements of paragraph
(d) of this section. Audio recording devices installed on lead
locomotives in commuter or intercity passenger service must meet the
requirements of paragraph (d) of this section no later than October 12,
2027.
    (e) Inspection, testing, and maintenance for image recording
systems on lead locomotives in commuter or intercity passenger service.
As required under paragraph (a)(1) or (2) of this section, the image
recording system shall have self-monitoring features to assess whether
the system is operating properly, including whether the system is
powered on.
    (1) If a fault with the image recording system is detected, the
locomotive may be used in the lead position only in accordance with
paragraph (i) of this section.
    (2) As required under paragraph (a)(1) or (2) of this section, at
each annual test required under Sec.  229.27, the railroad conducting
the inspection shall take sample download(s) from the image recording
system's crashworthy event recorder memory module, or an FRA-approved
equivalent under paragraph (g) of this section, to confirm proper
operation of the system, and, if necessary, repair the system to full
operation.
    (f) Handling of recordings--(1) Chain-of-custody procedure. Each
railroad with locomotives in commuter or intercity passenger service
subject to this section shall adopt, maintain, and comply with a chain-
of-custody procedure governing the handling and the release of the
locomotive image recordings described in paragraphs (a) through (c) of
this section and any locomotive audio recordings. The chain-of-custody
procedure must specifically address the preservation and handling

requirements for post-accident/incident recordings provided to FRA or
other Federal agencies under paragraph (f)(2) of this section.
    (2) Accident/incident preservation. If any locomotive in commuter
or intercity passenger service equipped with an image or audio
recording system is involved in an accident/incident that must be
reported to FRA under part 225 of this chapter, the railroad that was
using the locomotive at the time of the accident shall, to the extent
possible, and to the extent consistent with the safety of life and
property, preserve the data recorded by each such device for analysis
by FRA or other Federal agencies. A railroad must either provide the
image and/or audio data in a format readable by FRA or other Federal
agencies; or make available to FRA or other Federal agencies any
platform, software, media device, etc., that is required to play back
the image and/or audio data. This preservation requirement shall expire
one (1) year after the date of the accident, unless FRA or another
Federal agency notifies the railroad in writing that it must preserve
the recording longer. Railroads may extract and analyze such data for
the purposes described in paragraph (f)(3) of this section, only if:
    (i) The original downloaded data file, or an unanalyzed exact copy
of it, is retained in secure custody under the railroad's procedure
adopted under paragraph (f)(1) of this section; and
    (ii) The original downloaded data file, or an unanalyzed exact copy
of it, is not utilized for any other purpose, except by direction of
FRA or another Federal agency.
    (3) Recording uses. A railroad may use the image and audio
recordings from a locomotive in commuter or intercity passenger service
subject to this section to:
    (i) Investigate an accident/incident that is required to be
reported to FRA under part 225 of this chapter;
    (ii) Investigate a violation of a Federal railroad safety law,
regulation, or order, or a railroad's operating rules and procedures;
    (iii) Conduct an operational test under Sec.  217.9 of this
chapter;
    (iv) Monitor for unauthorized occupancy of a locomotive's cab or a
control cab locomotive's operating compartment;
    (v) Investigate a violation of a criminal law;
    (vi) Assist Federal agencies in the investigation of a suspected or
confirmed act of terrorism; or
    (vii) Perform inspection, testing, maintenance, or repair
activities to ensure the proper installation and functioning of an
image or audio recorder.
    (g) Locomotive image recording system approval process. Each
railroad with locomotives in commuter or intercity passenger service
subject to this section must provide the FRA Associate Administrator
for Railroad Safety and Chief Safety Officer with a description of the
technical aspects of any locomotive image recording system installed to
comply with this section. The required description must be submitted
via electronic mail to the following email address: [email protected].
    (1) The description must include information specifically
addressing the image recording system's:
    (i) Minimum 12-hour continuous recording capability;
    (ii) Crashworthiness; and
    (iii) Post-accident accessibility of the system's recordings.
    (2) The railroad must submit the statement not less than 90 days
before the installation of such image recording system, or, for
existing systems, not more than 60 days after November 13, 2023.
    (3) The FRA Associate Administrator for Railroad Safety and Chief
Safety Officer will review a railroad's submission and must approve any
locomotive image recording system intended to comply with this section
before the system can be installed or put into service. FRA may
disapprove any locomotive image recording systems that do not meet the
requirements of this section.
    (h) Relationship to other laws. Nothing in this section is intended
to alter the legal authority of law enforcement officials investigating
potential violation(s) of State criminal law(s), and nothing in this
section is intended to alter in any way the priority of investigations
under 49 U.S.C. 1131 and 1134, or the authority of the Secretary of
Transportation to investigate railroad accidents under 49 U.S.C. 5121,
5122, 20107, 20111, 20112, 20505, 20702, 20703, and 20902.
    (i) Removal of device from service and handling for repair. A
railroad may remove from service an image recording device on a
locomotive in commuter or intercity passenger service, and must remove
the device from service if the railroad knows the device is not
properly recording. When a railroad removes a locomotive image
recording device from service, a qualified person shall record the date
the device was removed from service on Form FRA F 6180-49AP, under the
REMARKS section. Except as provided in this paragraph, a locomotive on
which an image recording device has been taken out of service as
provided in this paragraph may remain as the lead locomotive only until
the next calendar-day inspection required under Sec.  229.21. A
locomotive with an inoperative image recording device alone is not
deemed to be in an improper condition, unsafe to operate, or a non-
complying locomotive under Sec. Sec.  229.7 and 229.9. A locomotive in
a long-distance intercity passenger train, as defined in Sec.  238.5 of
this chapter, with a non-operational image recording device may remain
as the lead locomotive until arrival at its destination terminal or its
nearest forward point of repair, whichever occurs first.
    (j) Disabling or interfering with locomotive-mounted audio and
video recording equipment. Any individual who willfully disables or
interferes with the intended functioning of locomotive-mounted image or
audio recording system equipment on a passenger locomotive, or who
tampers with or alters the data recorded by such equipment, is subject
to a civil penalty and to disqualification from performing safety-
sensitive functions on a railroad as provided in parts 209 and 218 of
this chapter.
    (k) As used in this section--Train means (1) A single locomotive;
    (2) Multiple locomotives coupled together; or
    (3) One or more locomotives coupled with one or more cars.
    (l) Freight rescue locomotives. The requirements of this section do
not apply to a freight locomotive when used to haul a passenger train
due to the failure of a passenger locomotive.

0
12. Revise the introductory paragraph of appendix D to part 229 to read
as follows:

Appendix D to Part 229--Criteria for Certification of Crashworthy Event
Recorder Memory Module

    Section 229.135(b) requires railroads to equip certain
locomotives with an event recorder that includes a certified
crashworthy event recorder memory module. Section 229.136(a)(1)
requires passenger railroads to install locomotive-mounted image
recording systems in every lead locomotive used in commuter or
intercity passenger service. As required by Sec.  229.136(a)(5),
data from these image and voluntarily installed audio recording
systems must be recorded on a certified crashworthy memory module or
on an alternative, remote storage system that provides at least
equivalent data protections and is approved by FRA under Sec.
229.136(g). This appendix prescribes the requirements for certifying
an event recorder memory module (ERMM) or a locomotive-mounted audio
and/or image recording device memory module as crashworthy. For
purposes of this

appendix, a locomotive-mounted audio or image recording device
memory module is also considered an ERMM. This appendix includes the
performance criteria and test sequence for establishing the
crashworthiness of the ERMM and marking the event recorder or
locomotive-mounted image or audio recording system containing the
crashworthy ERMM.
* * * * *

PART 299--TEXAS CENTRAL RAILROAD HIGH-SPEED RAIL SAFETY STANDARDS

0
13. The authority citation for part 299 continues to read as follows:

    Authority:  49 U.S.C. 20103, 20107, 20133, 20141, 20302-20303,
20306, 20701-20702, 21301-21302, 21304; 28 U.S.C. 2461, note; and 49
CFR 1.89.

0
14. In Sec.  299.5, add definitions for the terms ``Event recorder
memory module,'' ``Image recording system'', and ``Image recording
device'' to read as follows:

Sec.  299.5  Definitions.

* * * * *
    Event recorder memory module means that portion of an event
recorder used to retain the recorded data as described in Sec. Sec.
299.439(c) and 299.449(a) through (c).
* * * * *
    Image recording device means a device that records images, as
described in Sec.  299.449.
    Image recording system means a system of electronic devices capable
of recording images as described in Sec.  299.449, and any components
that convert those images into electronic data transmitted to, and
stored on, a certified crashworthy memory module as described in
appendix A to this part.
* * * * *

0
15. Add Sec.  299.449 to read as follows:

Sec.  299.449   Trainset image and audio recording system.

    (a) Duty to equip and record. (1) Each trainset used in revenue
service must be equipped with an image recording system comprised of--
    (i) Outward-facing image recording devices capable of recording
images of the right-of-way ahead of the trainset in the direction of
travel as further described in paragraph (b) of this section; and,
    (ii) Inward-facing image recording devices capable of recording
images of crewmember activities inside the leading trainset cab as
further described in paragraph (c) of this section.
    (2) The image recording system must be turned on and recording
whenever a trainset is in motion, at all speeds. If operating
circumstances cause the controlling cab to be other than the cab of the
leading end of the trainset, the railroad must also record images of
activities inside the controlling cab.
    (3) The trainset image recording system shall record at a minimum
the most recent 12 hours of operation of a leading trainset cab used in
revenue service.
    (4) Image recording device data for each leading trainset cab used
in revenue service shall be recorded on a memory module meeting the
requirements for a certified crashworthy event recorder memory module
described in appendix A to this part or on an alternative, remote
storage system that provides at least equivalent data protections and
is approved by FRA under paragraph (g) of this section.
    (b) Outward-facing recording device requirements for leading
trainset cabs used in revenue service. The image recording system
shall--
    (1) Include an image recording device aimed parallel to the
centerline of tangent track within the gauge on the leading end of the
trainset;
    (2) Be able to distinguish the signal aspects displayed by go/no-go
signals;
    (3) Record at a minimum frame rate of 15 frames per second (or its
equivalent);
    (4) Have sufficient resolution, as defined by the railroad in the
railroad's inspection, testing, and maintenance program under Sec.
299.445, to record the position of switch points in advance of the
trainset at speeds of 170 km/h (106 mph) and below, and to capture
images in daylight or with normal nighttime illumination from the
headlight of the trainset; and
    (5) Include an accurate time and date stamp on image recordings.
    (c) Inward-facing image recording device requirements for leading
trainset cabs used in revenue service. (1) The image recording system
shall include an image recording device positioned to provide complete
coverage of all areas of the leading trainset cab where a crewmember
typically may be positioned, including complete coverage of the
instruments and controls required to operate the trainset in normal
use, and--
    (i) Have sufficient resolution, as defined in the railroad's
inspection, testing, and maintenance program under Sec.  299.445, to
record crewmember actions;
    (ii) Record at a minimum frame rate of 5 frames per second;
    (iii) Be capable of using ambient light in the cab, and when
ambient light levels drop too low for normal operation, automatically
switch to infrared or another operating mode that enables the recording
sufficient clarity to comply with the requirements of this paragraph
(c)(1); and
    (iv) Include an accurate time and date stamp on image recordings.
    (2) Inward-facing image recording devices shall not be installed in
a location where the device can record activities within a trainset
cab's sanitation compartment, as defined in Sec.  229.5 of this
chapter, and shall not be used to make recordings of any activities
within a trainset cab's sanitation compartment.
    (3) If a leading trainset cab used in revenue service experiences a
technical failure of its inward-facing image recording system, then the
system shall be removed from service and handled in accordance with
paragraph (i) of this section.
    (d) Image recording system protection requirements for leading
trainset cabs used in revenue service. The railroad must provide
convenient wired or wireless connections to allow authorized railroad
personnel to download audio or image recordings from any certified
crashworthy event recorder memory module in leading trainset cabs used
in revenue service. The railroad also must use electronic security
measure(s), and apply appropriate cybersecurity measures, to prevent
unauthorized access to, and download, deletion, or alteration of, the
recording system or its recordings.
    (e) Inspection, testing, and maintenance for image recording
systems in leading trainset cabs used in revenue service. (1) The image
recording system in trainsets used in revenue service shall have self-
monitoring features to assess whether the system is operating properly,
including whether the system is powered on.
    (2) Periodic inspection requirements for the trainset image
recording system shall be defined in the railroad's inspection,
testing, and maintenance program required under Sec.  299.445. As part
of the periodic inspection, the railroad shall take sample download(s)
from the image recording system's crashworthy memory module to confirm
proper operation of the system, and, if necessary, repair the system to
full operation.
    (f) Handling of recordings. (1) Chain-of-custody procedure. The
railroad shall develop, adopt, maintain, and comply with a chain-of-
custody procedure governing the handling and the release of the image
recordings described in paragraphs (a) through (c) of this section and
any audio recordings. The chain-of-custody procedure must specifically
address the preservation and handling requirements for post-accident/
incident

recordings provided to FRA or other Federal agencies under paragraph
(f)(2) of this section.
    (2) Accident/incident preservation. If any trainset equipped with
an image or audio recording system is involved in an accident/incident
that must be reported to FRA under part 225 of this chapter, the
railroad shall, to the extent possible, and to the extent consistent
with the safety of life and property, preserve the data recorded by the
system for analysis by FRA or other Federal agencies. The railroad must
either provide the image and/or audio data in a format readable by FRA
or other Federal agencies; or make available to FRA or other Federal
agencies any platform, software, media device, etc., that is required
to play back the image and/or audio data. This preservation requirement
shall expire one year after the date of the accident unless FRA or
another Federal agency notifies the railroad in writing that it must
preserve the recording longer. The railroad may extract and analyze
such data for the purposes described in paragraph (f)(3) of this
section, only if--
    (i) The original downloaded data file, or an unanalyzed exact copy
of it, is retained in secure custody under the railroad's procedure
adopted under paragraph (f)(1) of this section; and
    (ii) It is not utilized for analysis or any other purpose, except
by direction of FRA or another Federal agency.
    (3) Recording uses. Subject to the conditions specified in
paragraph (f)(2) of this section, the railroad may use image and audio
recordings from a leading trainset cab used in revenue service subject
to this section to--
    (i) Investigate an accident/incident that is required to be
reported to FRA under part 225 of this chapter;
    (ii) Investigate a violation of a Federal railroad safety law,
regulation, or order, or the railroad's operating rules and procedures;
    (iii) Conduct an operational test under Sec.  299.505;
    (iv) Monitor for unauthorized occupancy of a trainset's cab or
operating compartment;
    (v) Investigate a violation of a criminal law;
    (vi) Assist Federal agencies in the investigation of a suspected or
confirmed act of terrorism; or
    (vii) Perform inspection, testing, maintenance, or repair
activities to ensure the proper installation and functioning of an
image or audio recorder as required under paragraph (e)(2) of this
section.
    (g) Image recording system approval process. The railroad must
submit for approval a description of the technical aspects of its
trainset image recording system installed pursuant this section. The
required description must be submitted via electronic mail to the
following email address: [email protected].
    (1) The description must specifically address the image recording
system's--
    (i) Minimum 12-hour continuous recording capability;
    (ii) Crashworthiness; and
    (iii) Post-accident accessibility of the system's recordings.
    (2) The railroad must submit the written statement not less than 90
days before the installation of such image recording system.
    (3) The Associate Administrator will review the railroad's
description and may approve, or disapprove, the image recording system
if it does not meet the requirements of this section. FRA may
disapprove any recording systems that do not meet the requirements of
this section.
    (h) Relationship to other laws. Nothing in this section is intended
to alter the legal authority of law enforcement officials investigating
potential violation(s) of State criminal law(s), and nothing in this
section is intended to alter in any way the priority of investigations
under 49 U.S.C. 1131 and 1134, or the authority of the Secretary of
Transportation to investigate railroad accidents under 49 U.S.C. 5121,
5122, 20107, 20111, 20112, 20505, 20702, 20703, and 20902.
    (i) Removal of an image recording system or device from service and
handling for repair. (1) Notwithstanding the duty established in
paragraph (a) of this section to equip trainsets cabs used in revenue
service with an image recording system, the railroad--
    (i) May remove from service the entire image recording system or an
image recording device in a leading trainset cab used in revenue
service for any reason.
    (ii) Must remove from service the entire image recording system or
an image recording device in a leading trainset cab used in revenue
service if the railroad knows the system or device is not properly
recording.
    (2) When a railroad removes the entire image recording system or an
image recording device in a leading trainset cab used in revenue
service from service, a qualified person shall record the date the
system or device was removed from service in the trainset's maintenance
records.
    (3) A trainset on which the entire image recording system, or an
image recording device in a leading trainset cab used in revenue
service, has been taken out of service as provided in paragraphs
(i)(1)(i) or (ii) of this section may be used as a leading trainset cab
in revenue service only until the next pre-service inspection required
under the railroad's inspection, testing, and maintenance program.
    (4) A trainset with an image recording device that has been taken
out of service on only one cab end may be used in revenue service
beyond the next pre-service inspection without repair provided the
other cab end is the leading end of the trainset and the image
recording system is otherwise operative for that cab end.
    (5) A trainset with an inoperative image recording device alone is
not deemed to be in an improper condition, unsafe to operate, or non-
complying under Sec.  299.447. However, a trainset with an entire image
record system taken out of service or image recording devices taken out
service in both cab ends, may not be used in revenue service beyond the
next pre-service inspection required under the railroad's inspection,
testing, and maintenance program without repair or replacement of the
non-operative system or devices.
    (j) Disabling or interfering with locomotive-mounted audio and
video recording equipment. Any individual who willfully disables or
interferes with the intended functioning of image or audio recording
system equipment mounted in a leading trainset cab used in revenue
service, or who tampers with or alters the data recorded by such
equipment, is subject to a civil penalty and to disqualification from
performing safety-sensitive functions on a railroad as provided in
parts 209 and 218 of this chapter.
    (k) Employee protections. (1) If inward-facing image or in-cab
audio trainset recordings are utilized to conduct operational tests and
inspections under Sec.  299.505, the railroad shall adopt and comply
with a procedure in its operational tests and inspections program that
ensures employees are randomly subject to such operational tests and
inspections involving image or audio recordings. The procedure adopted
must:
    (i) Establish objective, neutral criteria to ensure every employee
subject to such operational tests and inspections is selected randomly
for such operational tests and inspections within a specified time
frame;
    (ii) Not permit subjective factors to play a role in selection,
i.e., no employee may be selected based on the exercise of the
railroad's discretion; and
    (iii) Require that any operational test or inspection using
trainset image or audio recordings be performed within 72 hours of the
completion of the

employee's tour of duty that is the subject of the operational test.
Any operational test performed more than 72 hours after the completion
of the tour of duty that is the subject of the test is a violation of
this section. The 72-hour limitation does not apply to investigations
of railroad accidents/incidents or to violations of Federal railroad
safety laws, regulations, or orders, or any criminal laws.
    (2) FRA may review the railroad's procedure implementing paragraph
(k)(1) of this section, and, for cause stated, may disapprove such
procedure under Sec.  299.505(h).

0
16. Revise the introductory paragraph of appendix A to part 299 to read
as follows:

Appendix A to Part 299--Criteria for Certification of Crashworthy Event
Recorder Memory Module

    Section 299.439(c) requires that trainsets be equipped with an
event recorder that includes a certified crashworthy event recorder
memory module. Section 299.449(a)(1) requires the railroad to
install an image recording system in its trainsets used in revenue
service. As required by Sec.  299.449(a)(4), data from these image
recording systems must be recorded on a certified crashworthy memory
module or an alternative, remote storage system that provides at
least equivalent data protections and is approved by FRA under Sec.
299.15. This appendix prescribes the requirements for certifying an
event recorder memory module (ERMM) or a trainset-mounted audio and/
or image recording device memory module as crashworthy. For purposes
of this appendix, a trainset-mounted audio or image recording system
memory module is also considered an ERMM. This appendix includes the
performance criteria and test sequence for establishing the
crashworthiness of the ERMM as well as the marking of the event
recorder containing the crashworthy ERMM.

* * * * *

    Issued in Washington, DC.
Amitabha Bose,
Administrator.
[FR Doc. 2023-21291 Filed 10-11-23; 8:45 am]
BILLING CODE 4910-06-P


[Federal Register: September 18, 2006 (Volume 71, Number 180)]
[Notices]
[Page 54698-54699]
[DOCID:fr18se06-123]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-54425; File No. SR-NYSEArca-2006-57]

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing
and Immediate Effectiveness of a Proposed Rule Change Relating to
Exchange Fees and Charges

September 11, 2006.
    Pursuant to section 19(b)(1) of the Securities Exchange Act of 1934
(``Act''),\1\ and Rule 19b-4 thereunder,\2\ notice is hereby given that
on September 7, 2006, the NYSE Arca, Inc. (``NYSE Arca'' or
``Exchange'') filed with the Securities and Exchange Commission
(``Commission'') the proposed rule change as described in Items I, II,
and III below, which items have been prepared by the Exchange. The
Exchange has designated the proposed rule change as one establishing or
changing a due, fee, or other charge, pursuant to section
19(b)(3)(A)(ii) of the Act \3\ and Rule 19b-4(f)(2) thereunder,\4\
which renders the proposal effective upon filing with the Commission.
The Commission is publishing this notice to solicit comments on the
proposed rule change from interested persons.
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    \1\ 15 U.S.C. 78s(b)(1).
    \2\ 17 CFR 240.19b-4.
    \3\ 15 U.S.C. 78s(b)(3)(A)(ii).
    \4\ 17 CFR 240.19b-4(f)(2).
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I. Self-Regulatory Organization's Statement of the Terms of Substance
of the Proposed Rule Change

    The Exchange proposes to amend its Schedule of Fees and Charges in
order to modify the fee that applies to Option Strategy Executions.\5\
The text of the proposed rule change is available on NYSE Arca's Web
site at (http://www.nyseacra.com), at the Office of the Secretary at

NYSE Arca, and at the Commission's Public Reference Room.
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    \5\ Fees on Options Strategy Executions are applicable through a
Pilot Program until March 1, 2007.
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II. Self-Regulatory Organization's Statement of the Purpose of, and
Statutory Basis for, the Proposed Rule Change

    In its filing with the Commission, the Exchange included statements
concerning the purpose of, and basis for, the proposed rule change and
discussed any comments it received on the proposal. The text of these
statements may be examined at the places specified in Item IV below.
The Exchange has prepared summaries, set forth in

Sections A, B, and C below, of the most significant aspects of such
statements.

A. Self-Regulatory Organization's Statement of the Purpose of, and
Statutory Basis for, the Proposed Rule Change

1. Purpose
    The Exchange represents that the purpose of this proposed rule
change is to modify the fee that applies to Option Strategy Executions.
These transactions include reversals and conversions,\6\ dividend
spreads,\7\ and box spreads \8\ and merger spreads.\9\ Because the
referenced Options Strategy Transactions are generally executed by
professionals whose profit margins are generally narrow, the Exchange
caps the transaction fees associated with such executions at $1,000 per
strategy execution that are executed on the same trading day in the
same option class. In addition, the Exchange has a monthly fee cap of
$50,000 per initiating firm for all strategy executions. At this time,
the Exchange is proposing lowering the monthly fee cap in order to stay
competitive with other national options exchanges. The Exchange
proposes lowering the monthly fee cap to $25,000 per month. The daily
cap of $1,000 will remain unchanged. NYSE Arca believes that by keeping
fees on strategy executions low, the Exchange will be able to attract
additional liquidity by accommodating these transactions.
---------------------------------------------------------------------------

    \6\ Reversals and conversions are transactions that employ
calls, puts and the underlying stock to lock in a nearly risk free
profit. Reversals are established by combining a short stock
position with a short put and a long call position that shares the
same strike and expiration. Conversions employ long positions in the
underlying stock that accompany long puts and short calls sharing
the same strike and expiration.
    \7\ Dividend spreads are trades involving deep in the money
options that exploit pricing differences arising around the time a
stock goes ex-dividend.
    \8\ Box Spreads is a strategy that synthesizes long and short
stock positions to create a profit. Specifically, a long call and
short put at one strike is combined with a short call and long put
at a different strike to create synthetic long and synthetic short
stock positions, respectively.
    \9\ A merger spread is a transaction executed pursuant to a
strategy involving the simultaneous purchase and sale of options of
the same class and expiration date, but with different strike prices
followed by the exercise of the resulting long option position.
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    OTP Holders and OTP Firms who wish to benefit from the fee cap will
be required to submit to the Exchange forms with supporting
documentation (e.g., clearing firm transaction data) to qualify for the
cap.
2. Statutory Basis
    The Exchange believes that the proposal is consistent with section
6(b) of the Act,\10\ in general, and section 6(b)(4),\11\ in
particular, in that it provides for the equitable allocation of dues,
fees, and other charges among its members.
---------------------------------------------------------------------------

    \10\ 15 U.S.C. 78f(b).
    \11\ 15 U.S.C. 78f(b)(4).
---------------------------------------------------------------------------

B. Self-Regulatory Organization's Statement on Burden on Competition

    The Exchange does not believe that the proposed rule change will
impose any burden on competition that is not necessary or appropriate
in furtherance of the purposes of the Act.

C. Self-Regulatory Organization's Statement on Comments on the Proposed
Rule Change Received From Members, Participants, or Others

    Written comments on the proposed rule change were neither solicited
nor received.

III. Date of Effectiveness of the Proposed Rule Change and Timing for
Commission Action

    The foregoing rule change has become effective pursuant to section
19(b)(3)(A)(ii) of the Act \12\ and subparagraph (f)(2) of Rule 19b-4
thereunder \13\ because it establishes or changes a due, fee, or other
charge. At any time within 60 days of the filing of the proposed rule
change, the Commission may summarily abrogate such rule change if it
appears to the Commission that such action is necessary or appropriate
in the public interest, for the protection of investors, or otherwise
in furtherance of the purposes of the Act.
---------------------------------------------------------------------------

    \12\ 15 U.S.C. 78s(b)(3)(A)(ii).
    \13\ 17 CFR 240.19b-4(f)(2).
---------------------------------------------------------------------------

IV. Solicitation of Comments

    Interested persons are invited to submit written data, views, and
arguments concerning the foregoing, including whether the proposed rule
change is consistent with the Act. Comments may be submitted by any of
the following methods:

Electronic Comments

     Use the Commission's Internet comment form (http://www.sec.gov/rules/sro.shtml.
); or     Send an e-mail to<EMAIL_ADDRESS>Please include

File Number SR-NYSEArca-2006-57 on the subject line.

Paper Comments

     Send paper comments in triplicate to Nancy M. Morris,
Secretary, Securities and Exchange Commission, 100 F Street, NE.,
Washington, DC 20549-1090.

All submissions should refer to File Number SR-NYSEArca-2006-57. This
file number should be included on the subject line if e-mail is used.
To help the Commission process and review your comments more
efficiently, please use only one method. The Commission will post all
comments on the Commission's Internet Web site (http://www.sec.gov/rules/sro.shtml
). Copies of the submission, all subsequent amendments,

all written statements with respect to the proposed rule change that
are filed with the Commission, and all written communications relating
to the proposed rule change between the Commission and any person,
other than those that may be withheld from the public in accordance
with the provisions of 5 U.S.C. 552, will be available for inspection
and copying in the Commission's Public Reference Room. Copies of such
filing also will be available for inspection and copying at the
principal office of NYSE Arca. All comments received will be posted
without change; the Commission does not edit personal identifying
information from submissions. You should submit only information that
you wish to make available publicly. All submissions should refer to
File Number SR-NYSEArca-2006-57 and should be submitted on or before
October 10, 2006.
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    \14\ 17 CFR 200.30-3(a)(12).

    For the Commission, by the Division of Market Regulation,
pursuant to delegated authority.\14\
Nancy M. Morris,
Secretary.
[FR Doc. E6-15405 Filed 9-15-06; 8:45 am]

BILLING CODE 8010-01-P